Emerging and Sustainable Cities: Indicators

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative Methodological guide 2013 Version

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

2013 Version

Inter-American Development Bank

This document was prepared by the Emerging and Sustainable Cities Initiative (ESCI) under the coordination and supervision of Carolina Barco, Luis Manuel Espinoza, David Maleki, and Rebecca Sabo. This document also benefited from the contribution of Rafael Acevedo, Verónica Adler, Carla del Águila, Arturo Alarcón, Leandro Alves, Sergio Ballón, Lenin Balza, Andrés Blanco, Jaime Bonet, Mauricio Bouskela, Mario Durán-Ortiz, José Detta, Maricarmen Esquivel, Aída Gomez, Alfred Grunwaldt, Nidia Hidalgo, Tsuneki Hori, Soo Hyun Lee, Ivelisse Justiniano, Jorge Kaufmann, Sergio Lacambra, Alberto Levy, Sebastián Lew, Nora Libertun, Luis López-Torres, Natacha Marzolf, Paola Méndez, Carlos Mojica, Ramon Muñoz, Juan Paredes, Manuel Pacheco, Alejandra Perroni, Ricardo Quiroga, Alfredo Rihm, Rodrigo Riquelme, Lea Rüfenacht, Juan Salvatierra, Federico Scodelaro, Martín Soulier, Claudia Stevenson, Ginés Suarez, Jesus Tejeda, Horacio Terraza, Patricia Torres, Marco Varea, Mercedes Velasco, Luis Villela, David Wilk, Patricio Zambrano, and Ramón Zamora.

Coordinators of the ESCI: Ellis Juan General Coordinator Andrés Blanco Sector Coordinator, Institutions for Development Horacio Terraza Sector Coordinator, Infrastructure and Environment

Table of Contents

Abbreviations and acronyms........................................................................................... v

Introduction.......................................................................................................... 1 The Role of Indicators in the Initiative................................................................................. 2 Why a Rapid Assessment Is Needed.................................................................... 2 The Indicators’ Place in the ESCI’s Methodology.................................................. 3 The Objectives of the Indicators Set and the Importance of Data........................... 5 Criteria for the Indicators Included in the ESCI...................................................................6 Representativeness and Measurement of Impact.................................................. 6 Universality....................................................................................................... 7 Ease of Collection.............................................................................................. 7 Objectivity and Low Potential for Manipulation or Misinterpretation...................... 7 Stoplight Classification Criteria............................................................................................8 Implementation of the Indicators: Data Collection and Analysis........................................9 Conclusion...........................................................................................................................10

Breakdown of the Dimensions.............................................................................. 13

List of Indicators.................................................................................................. 17

Detailed Descriptions of the Indicators................................................................. 45

iii

Abbreviations and acronyms

ADB

Asian Development Bank

CEPIS

Council of European Professional Informatics Societies

CEROI

Cities Environment Reports on the Internet

DANE

National Administrative Department of Statistics (Colombia)

EAP

Economically Active Population

ECHO

European Community Humanitarian Office

EPA

Environmental Protection Agency

ESCI

Emerging and Sustainable Cities Initiative

EWS

Early warning system

FCM

Federation of Canadian Municipalities

GCIF

Global City Indicators Facility

GDP

Gross domestic product

GHGE

Greenhouse Gas Effect

GNP

Gross national product

IASC

Inter-Agency Standing Committee

ICLEI

International Council for Local Environmental Initiatives

ICSE

International Classification by Status in Employment

IDB

Inter-American Development Bank

IEEE

Institute of Electrical and Electronics Engineers

IFD

Institutions for Development Sector (IDB)

ILO

International Labor Organization

INE

Infrastructure and Environment Sector (IDB)

LAC

Latin America and the Caribbean

OAS

Organization of American States

OEB

Ontario Energy Board

Abbreviations and acronyms

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

OECD

Organization for Economic Cooperation and Development

PAHO

Pan American Health Organization

SDC

Swiss Agency for Development and Cooperation

UNDESA

United Nations Department of Economic and Social Affairs

UNDP

United Nations Development Program

UNEP

United Nations Environment Program

UNESCO

United Nations Educational, Scientific and Cultural Organization

UNFCCC

United Nations Framework Convention on Climate Change

UN-Habitat

United Nations Human Settlement Program

UNODC

United Nations Office on Drugs and Crime

USAID

United States Agency for International Development

USEPA

United States Environmental Protection Agency

UTBI

Urban Transport Benchmarking Initiative

WBC SD

World Business Council for Sustainable Development

WRI

World Resources Institute

Introduction

1.1

The Emerging and Sustainable Cities Initiative (ESCI) was created by the Inter-American Development Bank (IDB) in 2010 in response to rapid and largely unregulated urbanization in the Latin American and Caribbean (LAC) region, and the resulting urgent need to deal with the sustainability issues faced by the region’s rapidly growing intermediate-size cities.

1.2

The Initiative supports its partner cities in developing action plans that address three dimensions of sustainability: environmental sustainability and climate change, urban sustainability, and fiscal sustainability and governance. The environmental dimension includes topics such as air and water quality, mitigation of greenhouse gas emissions, adaptation to climate change, reduction of vulnerability to natural disasters, and utilities coverage. The urban dimension looks at the physical, economic, and social aspects of urban development. The fiscal and governance dimension looks at characteristics of good governance, such as transparency, public participation, and management for results, as well as cities’ fiscal practices, such as service cost recovery, debt management, and public investment. This multi-sectoral approach allows cities to overcome typical pitfalls associated with thinking in sectoral silos.

1.3

In June 2012, the ESCI published a methodological guide describing how to implement the Initiative’s methodology. One of the first steps of the Initiative’s methodology is an assessment of the city, based on an analysis of indicators of the state of each topic within each of the three dimensions. The second annex of that guide describes the characteristics of the ESCI’s indicators and contains a table of the indicators with their basic descriptions, units of measurement, and criteria for classifying the values for each indicator. The objective of the current document is to complement these publications by providing more detail on the indicators, how to collect them, and their role in the Initiative’s methodology.

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

1.4

In conjunction with qualitative information collected through interviews and specialist

Introduction

expertise, the indicators are used to identify the critical issues in a city. The ESCI currently has one to nine indicators for each of 23 different topics related to the environmental, urban, and fiscal/governance dimensions of sustainability. The ESCI has developed three ranges to classify the value of each indicator as “green” (sustainable, good performance), “yellow” (potentially problematic performance), or “red” (unsustainable, highly problematic performance). Based on the resulting color designations of each topic’s indicators, the topic itself is classified as red, yellow, or green.

1.5

The topics that are classified red, or critical, are then evaluated and prioritized based on three criteria (“filters”): public opinion (how important this issue is to the citizens), vulnerability to climate change (impact of climate change on this topic or mitigation problems associated with this topic), and the potential cost of the issue to the city’s economy (cost of not resolving the problem). With the city’s input and approval, the two to five topics with the highest scores in these three prioritization exercises are selected to be the subject of the action plan. The IDB specialists, consultants, city officials, and other relevant actors then analyze the prioritized topics in the city in more depth, and begin to develop solutions to the selected prioritized topics, choosing the best combination of solutions for the action plan.

The Role of Indicators in the Initiative Why a Rapid Assessment Is Needed 1.6

Cities are complex, dynamic systems that involve a myriad of interacting components. To understand a city’s issues, it is necessary to examine as many of these components as possible. On the other hand, the amount of time and resources city officials have to examine each of these topics in depth is finite. Considering this situation, the ESCI begins the process with a rapid assessment of fundamental topics related to the aforementioned dimensions of sustainable growth, focusing on a few key indicators for each topic to find out whether action to improve the topic is urgently required. Once the critical topics are identified through this rapid assessment, they are prioritized according

Introduction

itized critical topic in greater depth to develop a set of possible, effective solutions. In this way, time and resources are used efficiently in the initial diagnosis; the city’s critical areas are identified using a small set of representative indicators for each topic, and a more manageable number of prioritized topics are analyzed in greater depth.

1.7

A rapid assessment allows cities to move on to the action phase of the Initiative faster.

Introduction

to social, environmental, and economic criteria. The ESCI then researches each prior-

Keeping the initial diagnosis light enables cities to focus on developing and implementing innovative solutions to their sustainability issues. There are two key reasons this is important. The first is that cities were chosen for the ESCI because they are growing quickly, and therefore need to take steps to resolve their sustainability issues immediately or risk developing in an unsustainable way that may be much more difficult and expensive to correct. In this sense, the faster these cities can address the pending issues, be it through legislation, planning, or specific projects, the better for their sustainability.

1.8

Another reason for moving to the action phase quickly is administrative continuity. Many excellent studies are never used because they are not adequately linked to concrete solutions or because it takes too long to conduct the studies and in the meantime the administration changes and the studies, when completed, are ignored. Cities, frustrated by this phenomenon, are demanding prompt action. By moving from the diagnostic phase to the action phase quickly, there is greater likelihood of the action plan being implemented.

The Indicators’ Place in the ESCI’s Methodology 1.9

With the city’s participation, the ESCI rapidly identifies the city’s critical issues, prioritizes the most important poorly performing sectors, and develops an action plan of innovative, feasible solutions. As implementation of the action plan begins, the ESCI also sets up a citizen monitoring system to track the results of the action plan using specific goals and indicators.

1.10 As described above, the indicators play a fundamental role in helping to identify the topics that are performing the most poorly within the city. In this sense, although the

Introduction

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Figure 1. The Indicators’ Place in the ESCI’s Methodology

“stoplight” criteria may be based on international standards and regional averages, the indicators’ primary function in the methodology is not to compare the city to other cities, but to help select the critical areas within the city. That is, a comparison with other cities helps to identify the problems in the city, but is not the end goal.

1.11 Nor is the goal of the indicators a detailed analysis of each sector. The indicators and their classification criteria only serve to signal where there is a problem and the seriousness of the situation, for the purposes of prioritizing action. The indicators do not need to identify the specific issue within the topic, nor do they need to suggest solutions. Those more detailed analyses are conducted later on for the smaller number of prioritized topics, in preparation for the development of solutions. 1.12 The data collected during the diagnostic phase of the Initiative also serve as a baseline for the citizen monitoring system. Once the city decides what outcomes it wants to achieve, it can select the indicators most relevant to its goals. Tracking the indicators through time becomes a good internal administrative monitoring tool and increases transparency. It can also be an important way for citizens to take a more proactive role in ensuring that the programs continue and improve. In this way, through the citizen monitoring system the indicators help to sustain change over time.

Introduction

1.13 The ESCI’s set of indicators provides three important qualities to the Initiative’s assessment: comprehensiveness, objectivity, and comparability. • Comprehensiveness. A standard set of indicators across a wide range of topics helps to ensure that all important topics are considered and evaluated in each city. In many cases this is the first time the city has an overall, integral view of all these various topics as a basis for determining the projects that the administration will undertake.

Introduction

The Objectives of the Indicators Set and the Importance of Data

• Objectivity. The indicators also bring a crucial element of objectivity to the analysis of the city’s issues, their prioritization, and city planning in general. Many city leaders, residents, and IDB specialists already have a sense of the key issues that need to be addressed in a city, but these opinions can be influenced by sector of specialty, personal experience, and recent events, among other factors. To ensure local support, participation, and self-determination, the Initiative takes public opinion into account in the prioritization of topics for the action plan, usually through a representative public opinion survey, and the ultimate decision of which topics to include in the action plan is made jointly with city leadership. However, having a data-based analysis of an established set of indicators informs this decision in a way that helps to ensure it is made through consideration of objective technical criteria. • Comparability. Having a clearly established set of indicators also allows the city’s performance to be compared over time and to other cities’. Whether the city’s performance is improving or worsening can be just as important as its current state. Since perceptions can be capricious, to accurately measure change it is important to systematically evaluate city issues over time using standardized criteria and objective data. Although the indicators for the citizen monitoring system are selected based on the city’s particular interests in tracking the progress of the city’s action plan, the Initiative’s indicator set provides a strong baseline for the citizen monitoring system.

1.14 As the IDB implements the ESCI in cities in each of the Bank’s 26 borrowing member countries, having the same set of standardized indicators for each of these cities will allow emerging cities to compare specific performance measurements to those of similar cities

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Introduction

in the region. Some national statistical institutes have already begun collecting and organizing data by municipality. For example, Brazil’s Instituto Brasileiro de Geografia e Estatística (Brazilian Institute of Geography and Statistics) has a website, Cities@,1 which organizes an extensive array of data by municipality for each of Brazil’s 5,564 municipalities.

1.15 This effort by the IDB feeds into a global effort to develop comparable data. The World Bank supported the establishment of the Global City Indicators Facility (GCIF), which has worked with city governments worldwide to develop and collect a set of basic indicators on cities. The GCIF is now supported through the Ministry of Municipal Affairs and Housing, Government of Ontario, Canada and works with many other partners wishing to participate in this effort, including the IDB. 1.16 In the interest of supporting comparable data collection and taking advantage of the GCIF’s experience in city indicator development, the ESCI has used the GCIF’s set of indicators as a base for the ESCI indicators whenever possible, adjusting, adding, and removing indicators as needed according to the LAC context. The ESCI has also encouraged the cities to join the GCIF, as the additional opportunities for comparison through the GCIF’s growing base of international cities will enrich their policy and program information base.

Criteria for the Indicators Included in the ESCI 1.17 Keeping in mind the need for a rapid assessment, the ESCI indicators are carefully selected based on the following characteristics: representativeness (proximity to impact), universality (relevance to all cities), ease of collection (availability on the city level), and objectivity (low potential for manipulation).

Representativeness 1.18 The indicators seek to identify the critical sustainability issues and to be efficient in “flagging” challenges related to these issues. They are also easily translatable into meaningful 1

http://www.ibge.gov.br/cidadesat/topwindow.htm?1.

Introduction

ed to the desired objective—the impact on quality of life or sustainability—as possible.

Universality 1.19 The indicators should measure phenomena that exist in most emerging cities in Latin America and the Caribbean. This is different from the availability of data. Conceptually, each indicator should be applicable to all emerging cities. In some cases, this required broadening the concept of the indicator.

Introduction

performance targets. The ESCI attempts to select indicators that are as closely connect-

Ease of Collection 1.20 In the interest of a rapid assessment, one of the criteria for the selection of indicators is ease of information collection. The data is generally available through existing records, desktop resources, public information sources, and/or published research, or is easily observed by data collectors. While it may not be possible to come up with a comprehensive set of indicators that will be available in all emerging LAC cities, each of the indicators can be found in most of the region’s emerging cities. 1.21 This is important not only for the initial assessment, but also to facilitate updating the indicators over time. In most cases, this will be the responsibility of the municipality or the citizen monitoring system, and therefore the data must be easy to obtain and inexpensive to update. To compare the city’s indicators over time, they must be feasible for the municipality, a civil society organization, or other local entity to collect at regular intervals, independently of special funding or technical support.

Objectivity and Low Potential for Manipulation or Misinterpretation 1.22 The indicators were also chosen for their objectivity and clarity. Good indicators are clear, well-defined, precise, unambiguous, and easily understood.2 One of the objectives

Daniel Hoornweg et al., “City Indicators: Now to Nanjing,” (World Bank, 2006).

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Introduction

of this document is to precisely define the ESCI’s indicators and clarify the methodology used to calculate them. Third parties should be able to verify and replicate the data collected.

1.23 Furthermore, the ESCI tries to select indicators that are particularly helpful in informing decision-making and planning.

Stoplight Classification Criteria 1.24 As explained above, the ESCI has developed a stoplight classification system for the indicator results, to aid in the prioritization of a city’s issues. The idea is that values in green indicate that the city does not have a problem in that area, while values in red point to a critical issue. When determining the benchmarks, counteracting considerations needed to be balanced delicately: taking into consideration local contexts while maintaining international standards; avoiding applying irrelevant concepts without losing objectivity in a sea of relativism; and using benchmarks established in each sector while creating a coherent system that can be used to compare the state of different sectors.

1.25 The current stoplight classification criteria are based on regional averages, international standards, input from regional sectoral specialists, comparisons of major and intermediate cities in the LAC region, and analysis of data collected for the ESCI’s pilot cities. In the case of internationally used indicators, the criteria are mostly based on international norms and regional averages. In the case of most fiscal indicators, the evaluation depends on the legal framework of the country in question and not region-wide criteria, in which case the city’s data is compared to those of other cities in the country. For qualitative indicators, the criteria tend to be related to the extent to which plans and regulations are implemented and actions are aligned with objectives. 1.26 When evaluating each city, the relevance of the ESCI’s established classification criteria needs to be analyzed for each indicator. Each set of classification criteria was established based on a specific geographic coverage area or political-administrative level, year, and methodology. If the only data available for the city represent a different area

Introduction

different methodology, the ESCI’s established ranges may not be appropriate. These issues highlight the importance of critical thinking, regional knowledge, and analytical abilities when determining the stoplight colors for each city’s indicators. The criteria used for the ESCI’s stoplight classification system was developed with careful, informed consideration, but it must be implemented thoughtfully to be successful.

Introduction

(such as the state instead of the urban area of the municipality), are outdated, or use a

1.27 To evaluate indicators when the ESCI stoplight criteria do not apply or in the case of fiscal indicators, the city’s data should be compared to similar and best practice cities in the country, or in other countries if no comparable cities exist within the same country. Peer cities are generally cities with similar population sizes, are also growing rapidly, and ideally have other similar characteristics (for example, are also coastal, or also have a mostly industrial economy). It is recommended that teams collect some basic information on the target city, such as population, main economic activities, GDP, Human Development Index (or similar development indicators), land area, administrative structure, and geography before data is gathered for the city assessment. This preliminary information can be used to determine appropriate peer cities that can be compared to the ESCI city. Since many sources have data on many cities (for example, a national data source that has data on one municipality is likely to have it for all municipalities), collecting data for the peer cities simultaneously can save time later. It can also be helpful to use other cities as a reference even when the established classification criteria are applicable. It can also be a good idea to include the country’s capital city, even if it has different characteristics than the project city, because it is usually a common reference within the country.

Implementation of the Indicators: Data Collection and Analysis 1.28 In light of the above, it is extremely important that the source, year, geographic coverage, and precise definition of the indicator used be noted next to each data entry when collecting city data. This information is critical to analyzing the data and determining whether the city should be classified as red, yellow, or green for the indicator. This information is also essential when comparing data across cities. Only when this information is present is it possible to judge whether a comparison is appropriate.

Introduction

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

1.29 Clearly, the thoughtful analysis of the data is as important as the collection of the data itself. This is also true for combining supplementary qualitative information with the specific indicator data. Change over time, current implementation of projects, new developments, and area-specific information can create a fuller picture of a city than statistics alone. Specialists with experience in the country can be particularly helpful in putting the collected data in context. 1.30 Every effort should be made to collect the data specified in the indicator table. Sometimes the particular ESCI indicator is not published in that form by the government, but it can be calculated using intermediate variables. This may require some creativity and resourcefulness. Any calculations made should be noted along with the original source data. In some cases, no data is available to calculate the indicator. In these situations, an appropriate proxy indicator should be chosen to replace the missing information.

Conclusion 1.31 The indicators used in the ESCI are tools to quickly identify critical issues in emerging cities in Latin America and the Caribbean based on objective technical criteria. This document presents these indicators and is organized into two sections. 1.32 The first section consists of a table that summarizes the indicators, their definitions, and their stoplight classification criteria. 1.33 The second section is composed of detailed sheets on each indicator, including a recommended methodology for data collection, the rationale for including each indicator, and other organizations that utilize the indicator and can be used as sources of reference. This section is designed to clarify and elaborate on the indicators for those interested in collecting them. 1.34 As mentioned above, when first selecting and defining the indicators, the IDB worked closely with the GCIF and sought to use as many of their indicators as possible. Given a different emphasis, especially in the area of disaster risk reduction in the context of

Introduction

approaches in others. Therefore, these indicators in their present form are the result of the initial work by the IDB and the GCIF and have been refined to the ESCIâ&#x20AC;&#x2122;s needs with the fundamental support of experts from the various divisions of the Infrastructure and Environment (INE) and Institutions for Development (IFD) sectors of the IDB.

Introduction

climate change, IDB specialists suggested additional indicators in some cases and new

Dimension Pillar A. Topic A.1 Subtopic

Key

D. Energy D.1 Energy coverage D.2 Energy efficiency D.3 Alternative and renewable energy

C. Solid waste management C.1 Solid waste collection coverage C.2 Adequate final disposal of solid waste C.3 Treatment of solid waste

B. Sanitation and drainage B.1 Sanitation coverage B.2 Wastewater treatment B.3 Effectiveness of drainage

A. Water A.1 Water coverage A.2 Efficiency in the use of water A.3 Efficiency in the water supply service A.4 Availability of water resources

Environmental management and natural resource consumption

G. Noise G.1 Noise control

F. Mitigation of climate change F.1 GHG emission measurement systems F.2 Total GHG emissions F.3 Mitigation plans and objectives

E. Air quality E.1 Air quality control E.2 Concentration of pollutants in the air

Mitigation of greenhouse gases (GHG) and other forms of pollution

H. Vulnerability to natural disasters in the context of climate change H.1 Climate change adaptation capacity and extreme natural events H.2 Sensitivity to natural disasters

Reduction of vulnerability to natural disasters and adaptation to climate change

Dimension I: Environmental Sustainability and Climate Change

Breakdown of the Dimensions

Dimension Pillar A. Topic A.1 Subtopic

Key

J. Urban inequality J.1 Poverty J.2 Socio-spatial segregation J.3 Income inequality

I. Land use, planning, and zoning I.1 Density I.2 Housing I.3 Green and recreational areas I.4 Land use planning

Control of growth and improvement of human habitat K. Mobility/ Transportation K.1 Balanced transportation infrastructure K.2 Clean transportation K.3 Safe transportation K.4 Reduced congestion K.5 Planned and managed transportion K.6 Affordable transportation K.7 Balanced demand

Promotion of sustainable urban transportation

N. Connectivity N.1 Internet N.2 Telephones

M. Employment M.1 Unemployment M.2 Informal employment

L. Competitiveness of the economy L.1 Regulation of business and investment L.2 Strategic infrastructure L.3 Gross product

Promotion of competitive and sustainable local economic development

Dimension II. Urban Sustainability

Q. Health Q.1 Level of health Q.2 Provision of health services

P. Security P.1 Violence P.2 Citizensâ&#x20AC;&#x2122; confidence in security

O. Education O.1 Quality of education O.2 Attendance O.3 Higher education

Provision of high-level social services and promotion of social cohesion

Breakdown of the Dimensions Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Dimension Pillar A. Topic A.1 Subtopic

Key

T. Transparency T.1 Transparency and auditing of the governmentâ&#x20AC;&#x2122;s public management

S. Modern public management S.1 Modern processes of public management of the municipal budget S.2 Modern systems of public management of the municipal government

R. Participatory public management R.1 Citizen participation in planning of governmentâ&#x20AC;&#x2122;s public management R.2 Accountability to the public

Adequate mechanisms of government U. Tax and financial autonomy U.1 Municipal revenue and taxes U.2 Collection management

Adequate management of revenue

W. Debt W.1 Contingent liabilities W.2 Sustainability of municipal debt

Adequate management of debt and tax obligations

Breakdown of the Dimensions

V. Expenditure management V.1 Quality of public spending

Adequate management of expenditure

Dimension III: Fiscal Sustainability and Governance

Breakdown of the Dimensions

List of Indicators

3.1

This section presents a detailed list of the indicators for each topic, in each of the three dimensions: i) The indicators for the dimension of environmental sustainability and climate change are organized into the following topics: water; sanitation and drainage; solid waste management; energy; air quality; climate change mitigation; noise; and vulnerability to natural disasters in the context of climate change. ii) The indicators for the urban sustainability dimension are organized into the following topics: land use, planning, and zoning; urban inequality; mobility/transportation; competitiveness of the economy; employment; connectivity; education; security; health; participatory public management; and modern public management. iii) The indicators for the fiscal and government sustainability dimension are organized into the following topics: transparency; taxes and financial autonomy; expenditure; and debt management.

3.2

The definitions and reference values for stoplight classification are given for each indicator.

List of Indicators

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

I. Environmental Sustainability and Climate Change # Topics A Water

B Sanitation and Drainage

# Indicator

Unit of Measurement

A.1 Water coverage

A.2 Efficiency in the use of water

Percentage of households with home connections to the city’s water network Annual water consumption per capita

A.3 Efficiency in the water supply service

Continuity of water service

h/day

Water quality

Non-revenue water

# Subtopic

A.4 Availability of water resources

6 Remaining number of years of a positive water balance

years

B.1 Sanitation coverage

B.2 Wastewater treatment B.3 Effectiveness of drainage C Solid Waste Management

L/person/day

C.1 Solid waste collection coverage C.2 Adequate final disposal of solid waste

Percentage of households with a home connection to the sewer system 8 Percentage of wastewater that is treated according to national standards 9 Percentage of dwellings damaged by the most intense flooding in the last 10 years 10 Percentage of population with regular municipal solid waste collection 11 Percentage of the city’s municipal solid waste disposed of in sanitary landfills

% % % %

12 Remaining life of the site where the landfill is located

years

13 Percentage of the city’s municipal solid waste that is disposed of in open dumps, controlled dumps, or bodies of water or is burnt

Description Percentage of households with home connections to the city’s water network Annual consumption of water per capita of people whose homes have a water connection to the city’s network Annual average of daily number of hours of continuous water supply per household Percentage of water samples in a year that comply with national potable water quality standards Percentage of water that is lost from treated water entering the distribution system and that is accounted for and billed by the water provider. This includes actual water losses (e.g., leaking pipes) and billing losses (e.g., broken water meters, absence of water meters, and illegal connections). Number of years remaining with a positive water balance, considering the supply of available water (taking into account hydrological cycles) and the demand for water (projected uses, including population, industrial sector, ecological flows, etc.) Percentage of households with a home connection to the sewer system Percentage of wastewater that is treated according to applicable national standards Percentage of dwellings damaged by the most intense flooding in the last 10 years Percentage of the population whose solid waste is collected at least once a week. Percentage of the city’s municipal solid waste disposed of in sanitary landfills. Waste sent for recovery (composting, recycling, etc.) is excluded. To be considered sanitary, the landfill should have leachate and landfill gas collection and treatment systems. Remaining useful life of the site of the sanitary or controlled landfill, based on the city’s municipal solid waste generation projections (in years) Percentage of the city’s municipal solid waste that is disposed of in open dumps, controlled dumps, or bodies of water or is burnt

Green

Benchmarks Yellow

Red

90–100%

75–90%

< 75%

120–200

80–120 or 200–250

< 80 or > 250

> 20 h/day

12–20 h/day

< 12 h/day

> 97%

90–97%

< 90%

0–30%

30–45%

> 45%

> 10

5–10

> 75%

75–60%

< 60%

> 60%

40–60%

< 40%

< 0.5%

0.5–3%

> 3%

90–100%

80–90%

< 80%

90–100%

80–90%

< 80%

5–8

< 10%

10–20%

> 20%

List of Indicators

(continued on next page)

List of Indicators

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

I. Environmental Sustainability and Climate Change (continued) # Topics C Solid Waste Management (continued)

D Energy

# Subtopic C.3 Treatment of solid waste

D.1 Energy coverage

D.2 Energy efficiency

D.3 Alternative and renewable energy

# Indicator

Unit of Measurement

14 Percentage of the city’s municipal solid waste that is composted

15 Percentage of the city’s municipal solid waste that is separated and classified for recycling

16 Percentage of the city’s municipal solid waste that is used as an energy resource

17 Percentage of the city’s households with an authorized connection to electrical energy

18 Percentage of the city’s households with an authorized connection to the network of natural gas supply 19 Average number of electrical interruptions per year, per customer 20 Average length of electrical interruptions 21 Total annual electrical consumption per residential household

22 Energy intensity of the economy

kg of oil equivalent per $1,000 GDP (abbreviated here as **)

23 Existence, monitoring, and enforcement of energy efficiency regulations

Yes/No

24 Percentage of renewable energy in total energy generation

#/yr/customer h/customer kWh/ household/yr

Description

Benchmarks

Percentage of the city’s solid waste that is treated by composting

> 20%

5–20%

< 5%

Formally and informally recycled materials are those diverted from the waste stream, recovered, and sent for processing into new products, following local government permits and regulations. Numerator: Tons separated for recycling Denominator: Total amount of municipal solid waste generated Percentage of the city’s disposed solid waste from which the landfill gas is collected and used for energy or heat Percentage of the city’s households with a legal connection to sources of electrical energy Percentage of the city’s households with an authorized connection to the network of natural gas supply Average number of electrical interruptions per year, per customer Average length of electrical interruptions Annual residential electrical consumption divided by number of households

> 25%

15–25%

< 15%

> 70%

40–70%

< 40%

90–100%

70–90%

< 70%

> 25%

15–25%

< 15%

< 10

10–13

> 13

< 10 1,500–3,500 kWh/ household/year

10–18 900–1,500 kWh/ household/year; 3,500–5,000 kWh/ household/year Higher than 116** and lower than 150*: 116** ≤ x ≤ 150**

> 18 < 900 kWh/ household/year; > 5,000 kWh/ household/year Higher than 150 kg of oil equivalent per $1,000 GDP: 150** < x

Approved regulations, frequent monitoring, adequate enforcement

Approved regulations, inconsistent monitoring, limited enforcement

Regulations not effective, no monitoring or enforcement

> 50%

20–50%

< 20%

Total energy use (kilogram of oil equivalent) per unit of PPP (power purchase parity) GDP (gross domestic product), compared to median of Latin American and Caribbean (LAC) countries; measured in kilogram of oil equivalent per $1,000 GDP Existence of energy efficiency regulations in place, including (i) energy efficiency building standards; (ii) efficient public lighting regulation; (iii) regulations for municipal energy management; (iv) regulations for efficiency in corporate procurement; (v) appliance labeling; and/ or (vi) promotion of thermo-solar use for heating. Energy generated from renewable energy sources, divided by the total energy generated

Lower than the median energy intensity of LAC countries: < 116 kg of oil equivalent per $1,000 GDP

List of Indicators

(continued on next page)

List of Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

I. Environmental Sustainability and Climate Change (continued) # Topics E Air Quality

F Mitigation of Climate Change

# Subtopic

# Indicator

E.1 Air quality control

25 Existence, monitoring, and enforcement of air quality regulations

Yes/No

E.2 Concentration of pollutants in the air

26 Air Quality Index

27 PM10 concentration

24-hour average PM10 in Îźg/m3 Yes/No

F.1 GHG emission measurement 28 Existence and monitoring of a greenhouse gas systems inventory

F.2 Total GHG emissions

29 Per capita greenhouse gas emissions

30 Greenhouse gas emissions per GDP

Unit of Measurement

annual tons of CO2e per capita kg/US$ of GDP

F.3 Mitigation plans and objectives

31 Existence of mitigation plans with reduction targets by sector and a monitoring system in place

Yes/No

G Noise

G.1 Noise control

32 Existence, monitoring, and enforcement of regulations on noise pollution

Yes/No

H Vulnerability to Natural Disasters in the Context of Climate Change

H.1 Climate change adaptation capacity and extreme natural events

33 Existence of risk maps

Yes/No

34 Existence of adequate contingency plans for natural disasters

Yes/No

35 Existence of effective early warning systems

Yes/No

Description Existence, monitoring, and enforcement of air quality regulations Amount of harmful pollutants in the air, as measured by the Air Quality Index Particulate matter in suspension, with a diameter lower than 10 μm, 24-hour average Existence of a greenhouse gas emissions measurement system with monitoring system

Greenhouse gas emissions of the city, divided by city population Greenhouse gas emissions, divided by the GDP of the city Existence of mitigation plans with reduction targets by sector and a monitoring system in place, that all illustrate the capacity of the city to define, regulate, and operationalize GHG mitigation measures in different sectors Existence of regulatory mechanisms to reduce noise pollution Existence of risk maps at an adequate scale for the main hazards threatening the city

The city has prepared an adequate response plan (or contingency plan) for different types of natural disasters.

The city has early warning systems.

Benchmarks Approved regulations, frequent monitoring, adequate enforcemnet 0–50

Approved regulations, inconsistent monitoring, limited enforcement 51–100

Regulations not effective, no monitoring or enforcement > 100

< 50 24-hour average PM10 in μg/m3

50–150 24-hour average PM10 in μg/m3

> 150 24-hour average PM10 in μg/m3

Existence of a specific Existence of an inventory inventory for the city, with based on national sources monitoring system and or a local inventory, capacity without monitoring system or capacity to implement it <5 5–10

< 0.35

0.35–0.8

An inventory does not exist.

List of Indicators

> 10

> 0.8

There is a formally There is a mitigation There is no mitigation plan. adopted mitigation plan but it has not been plan, with quantitative adopted, does not have goals and a monitoring quantitative goals, or lacks and enforcement adequate monitoring or system in place. enforcement. Approved regulations, Approved regulations, Regulations not approved, frequent monitoring, inconsistent monitoring, no monitoring or adequate enforcement limited enforcement enforcement Existence of risk maps at a Existence of risk maps that There are no risk scale of at least 1:10,000 include the main hazards maps as defined in the that include the main threatening the city and methodology, or they exist hazards threatening the that are available at a but at a scale larger than city and take into account scale that is less detailed 1:25,000, or such maps climate change scenarios than 1:10,000 but at least do not include the main 1:25,000 hazards threatening the city. Plan is complete, up to Plan is incomplete, not Plan is incomplete, out of date, and tested through updated, or there have date, or not tested in the simulation drills at least not been any simulation last 24 months. once a year. exercises in the last 12 months. Early warning system for Early warning system for There is no early main natural hazards, main natural hazards, warning system, or it with multiple ways of with multiple ways of has only a single way of communication and tested communication and tested communication and no at least once a year in the last 24 months periodic tests (drills). (continued on next page)

List of Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

I. Environmental Sustainability and Climate Change (continued) # Topics H Vulnerability to Natural Disasters in the Context of Climate Change (continued)

# Subtopic H.1 Climate change adaptation capacity and extreme natural events

H.2 Sensitivity to natural disasters

# Indicator

Unit of Measurement

36 Disaster risk management in city development planning

Yes/No

37 Percentage of deliverables of the disaster risk management planning instruments that have been completed 38 Budget allocation for disaster risk management

Yes/No

39 Critical infrastructure at risk due to inadequate construction or placement in areas of non-mitigable risk 40 Percentage of households at risk due to inadequate construction or placement in areas of nonmitigable risk

Yes/No

Description The city has mainstreamed disaster risk management in its main development planning instruments or has prepared specific disaster risk management planning instruments to reduce its vulnerability to natural hazards.

Percentage of deliverables of the disaster risk management planning instruments that have been completed There are financial resources available for emergency response, vulnerability reduction, and risk-transfer schemes (e.g., insurance).

Percentage of public critical infrastructure vulnerable to natural disasters Percentage of households at risk due to inadequate walls, roofs, or floors, or due to placement in areas of non-mitigable risk

Benchmarks The city has disaster risk management planning instruments (specific or mainstreamed) that fulfill the five conditions described in the methodology and in addition to that consider climate change scenarios. > 50%

The city has disaster risk management planning instruments (specific or mainstreamed) that fulfill the five conditions described in the methodology but do not consider climate change scenarios. 20â&#x20AC;&#x201C;50%

The city does not have disaster risk management planning instruments (specific or mainstreamed) that fulfill the five conditions described in the methodology.

The city has access to funding for emergency response and ex-ante vulnerability reduction, and has a scheme for risk transfer (e.g., insurance). < 10%

The city has access to funding for emergency response and ex-ante vulnerability reduction.

The city only has access to funding for emergency response.

10â&#x20AC;&#x201C;20%

> 20%

< 10%

10â&#x20AC;&#x201C;20%

> 20%

List of Indicators

< 20%

List of Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

II. Urban Sustainability

(continued)

# Topics

# Subtopic

# Indicator

Unit of Measurement

I Land Use, Planning, and Zoning

I.1 Density

41 Annual growth rate of the urban footprint

% annual

42 (Net) urban population density

residents/km2

43 Substandard housing

44 Quantitative housing shortage

45 Green area per 100,000 residents

hectares/ 100,000 residents hectares/ 100,000 residents Yes/No and implementation

I.2 Housing

I.3 Green and recreational areas

46 Public recreational area per 100,000 residents

I.4 Land use planning

J Urban Inequality

48 Up-to-date, legally binding master plan

Yes to both criteria/ yes to only one criterion/ no to both criteria

J.1 Poverty

49 Percentage of the population below the poverty line

J.2 Socio-spatial segregation

50 Percentage of housing located in informal settlements 51 Income Gini coefficient

J.3 Income inequality

47 Existence and active implementation of a land use plan

Description Average annual growth rate of the areal urban footprint within the city’s official limits (minimum last five years or last time period available) People who live in the urbanized area of the municipality, per km2 of urbanized area of the municipality Percentage of homes that do not meet the habitability standards defined by the country (Number of households – number of homes (housing units))/Number of households Hectares of permanent green space per 100,000 city residents Hectares of publicly accessible, openair recreational space per 100,000 city residents The city has a land use plan that includes zoning with environmental protection and preservation zones, and it is actively implemented. Existence and active implementation of a legally binding, comprehensive master plan dated or updated within the last 10 years

The number of persons in the city living below the national urban poverty threshold (the numerator), divided by the total current population of the city (the denominator), expressed as a percentage Percentage of dwellings located in informal settlements Measure of inequality in which 0 corresponds to perfect equality in income and 1 corresponds to perfect inequality in income

Benchmarks < 3%

3–5%

> 5%

7,000–20,000

4,000–7,000; 20,000–25,000

< 4,000; > 25,000

< 10%

10–25%

> 25%

< 10%

10–20%

> 20%

> 50

20–50

< 20

> 10

7–10

List of Indicators

Sole master plan with ecological components; city actively implements it.

Master plan exists but There is no master without ecological plan or the plan is components; there over 10 years old. are no steps toward implementation. The city has a master plan Either: (a) the city has a The city does not have a that is legally binding and master plan and it is legally master plan, or it has a has been updated within binding but has not been master plan but it is neither the last 10 years, and updated in the last 10 years legally binding nor has it actively implements it. or (b) the city has a master been updated within the plan that has been updated last 10 years. within the last 10 years but it is not legally binding. < 15% 10–25% > 25%

< 20%

20–30%

> 30%

< 0.40

0.40–0.49

> 0.49

(continued on next page)

List of Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

II. Urban Sustainability (continued) # Topics K Mobility/ Transportion

# Indicator

Unit of Measurement

52 Kilometers of road per 100,000 population

53 Kilometers of roads dedicated exclusively to public transit per 100,000 population

54 Kilometers of bicycle path per 100,000 population

55 Kilometers of sidewalk and pedestrian path per 100,000 population

56 Modal split (specifically public transport))

K.2 Clean transportion

57 Average age of public transport fleet

years

K.3 Safe transportion

58 Transportation fatalities per 1,000 population

deaths per 1,000 population

K.4 Reduced congestion

59 Average travel speed on primary thoroughfares during peak hours

km/h

60 Number of automobiles per capita

vehicles per capita

# Subtopic K.1 Balanced transportation infrastructure

Description The total lane kilometers of public roads within the city (the numerator), divided by 100,000th of the city population, expressed as kilometers per 100,000 population The total centerline kilometers dedicated exclusively to bus way and centerline kilometers of passenger rail (the numerator), divided by 100,000th of city population, expressed as kilometers of transportation system per 100,000 population The centerline kilometers of way dedicated to bicycles within the city (the numerator), divided by 100,000th of city population, expressed as kilometers per 100,000 population The total walkway kilometers of dedicated pedestrian paths within the city (the numerator), divided by 100,000th of city population, expressed as kilometers per 100,000 population The number of commuters working in the subject city who typically use public transport (including taxis) as their primary way to travel to work (the numerator), divided by all trips to work (the denominator) Average age of the public transport fleet (in years) The annual number of fatalities related to transportation of any kind (the numerator), divided by 1,000th of city population (the denominator), expressed as number of transportation deaths per 1,000 population The average travel speed for all private motorized vehicles and public transit vehicles that use roads (e.g., excluding trains or trolleys), across all locally defined “thoroughfares,” during the peak commuter hours (typically, morning and evening) Number of personal automobiles per capita

Benchmarks < 300

300–400

> 400

> 40

10–40

< 10

> 25

15–25

< 15

More than four times the length of road network

Between two and four times the length of road network

Less than two times the length of road network

> 65%

50–65%

< 50%

6–12

> 12

< 0.1

0.1–0.2

> 0.2

> 30

15–30

< 15

< 0.3

0.3–0.4

> 0.4

List of Indicators

(continued on next page)

List of Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

II. Urban Sustainability (continued) # Topics K Mobility/ Transportion (continued)

L Competitiveness of the Economy

# Indicator

Unit of Measurement

K.5 Planned and managed transportion

61 Transportation planning and management system

Yes/No

K.6 Affordable transportion

62 Affordability index

K.7 Balanced demand

63 Jobs-to-housing ratio

ratio

L.1 Regulation of business and investment

64 Days to obtain a business license

# of days

L.2 Strategic infrastructure

65 Existence of a logistics platform

Yes/No

L.3 Gross product

66 GDP per capita of the city

US$ per capita

# Subtopic

Description This indicator is aimed at establishing whether or not a city has a sound transportation planning and management system. The indicator is measured by the answers to three questions: 1. Is there a recent (maximum two years old) origin/destination survey covering the urban or metropolitan area? 2. Is there a published transport master plan based on the results of the survey and other supporting studies? 3. Has the city implemented a transport management system, including various indicators for measuring and monitoring the transportation system? (Number of trips x average cost per trip)/ (Per capita income of the bottom quintile of the population) The jobs-to-housing ratio refers to the approximate distribution of employment opportunities and workforce population across a geographic area. It is usually measured in terms of the proportion of jobs per household. Time required to obtain an initial business license (not total time required to open a business) The city provides specialized facilities exclusively to logistics operators in diverse activities. Per capita measurement of economic performance. GDP of the city divided by population of the city. The GDP of the city is the total product of the city as defined in national accounts procedures. It may be taken as the total income or value-added income (wages plus business surplus plus taxes plus imports) or the total final demand (consumption plus investment plus exports). The city product expressed in current US dollars (the numerator), divided by the city population (the denominator), expressed in US dollars.

Benchmarks The city has the three elements.

The city has a recent origin/destination survey and has or is in the process of designing and publishing a transportation master plan based on this and other supporting documents.

The city does not have an origin/destination survey that is not older than two years at the time of measuring the indicator.

up to 5%

5â&#x20AC;&#x201C;10%

> 10%

1.3:1 to 1.5:1

1.5:1 to 1.7:1

< 1.3:1 and > 1.7:1

< 12

12â&#x20AC;&#x201C;20

> 20

There is a logistics platform designed and implemented for maritime, air, and land transport. > 9,000

A logistics platform has been designed for at least one type of transport (maritime, air, or land). 9,000â&#x20AC;&#x201C;3,000

No logistics platform has been designed.

List of Indicators

< 3,000

(continued on next page)

List of Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

II. Urban Sustainability (continued) # Topics M Employment

N Connectivity

O Education

# Indicator

Unit of Measurement

M.1 Unemployment

67 Average annual unemployment rate

M.2 Informal employment

68 Informal employment as a percentage of total employment

N.1 Internet

69 Fixed broadband Internet subscriptions per 100 inhabitants

# of subscriptions per 100 residents

70 Mobile broadband Internet subscriptions per 100 inhabitants

# of subscribed mobile phones per 100 residents

N.2 Telephones

71 Mobile cellular phone subscriptions per 100 inhabitants

O.1 Quality of education

72 Adult literacy rate

# of subscriptions per 100 residents %

# Subtopic

73 Percentage of students passing standardized reading tests

74 Percentage of students passing standardized math tests

Description The total number of unemployed persons, divided by the total labor force. The unemployment rate is the percentage of the labor force that actively seeks work but is unable to find work at a given time. The percentage of the economically active population engaged in informal employment as defined by the International Labour Organization Number of fixed-access Internet subscriptions (for every 100 residents) with speeds of 256 kbit/s or greater. These include DSL, fiber optic, and cable modem fixed connections, and exclude mobile phone connections. Number of mobile devices (such as cell phones, tablets, and smartphones) with a data subscription plan to access the Internet with speeds of 256 kbit/s or greater, per 100 people. This excludes mobile subscriptions via data cards or USB modems. Number of mobile cellular phone subscriptions for every 100 residents. (This includes pre-paid and post-pay subscriptions.) Percentage of the adults 15 years and older (unless defined otherwise by the country) in the city who can, with understanding, read and write a short, simple statement about their everyday life Percentage of students in grade x in primary school with a passing/satisfactory grade on national (or state) standardized reading achievement tests, disaggregated by gender Percentage of students in grade x in primary school with a passing/satisfactory grade on national (or state) standardized math achievement tests, disaggregated by gender

Benchmarks < 7%

7–12%

> 12%

< 20%

20–35%

> 35%

> 15%

7–15%

< 7%

> 20%

10–20%

< 10%

> 90%

60–90%

< 60%

> 95%

90–95%

< 90%

Similar to exemplary cities in the country

Similar to peer cities in the country

Lower in comparison to peer cities

Similar to exemplary cities in the country

Similar to peer cities in the country

Lower in comparison to peer cities

List of Indicators

(continued on next page)

List of Indicators

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

II. Urban Sustainability (continued) # Topics

# Subtopic

O Education (continued)

students/ teachers

76 Percentage of three- to five-year-olds receiving comprehensive early childhood development services 77 Percentage of six- to 11-year-olds enrolled in school

78 Percentage of 12- to 15-year-olds enrolled in school

79 Percentage of 16- to 18-year-olds enrolled in school

O.3 Higher education

80 University seats per 100,000 people

P.1 Violence

81 Homicides per 100,000 residents 82 Prevalence of partner violence – last 12 months

# per 100,000 residents # per 100,000 residents %

83 Prevalence of partner violence – lifetime

84 Robberies per 100,000 residents

# every 100,000 residents # every 100,000 residents

85 Larcenies per 100,000 residents

Unit of Measurement

75 Student–teacher ratio

O.2 Attendance

P Security

# Indicator

Description The number of enrolled primary school students (the numerator), divided by the number of full-time equivalent primary school classroom teachers (the denominator), expressed as a ratio. Primary school refers to elementary school, generally for children aged six to 12 years, or first grade through to fifth grade, though in some school systems it may extend to sixth grade. Percentage of the population from three to five years old receiving comprehensive early childhood development services Percentage of the population from six to 11 years old that is enrolled in school Percentage of the population from 12 to 15 years old that is enrolled in school Percentage of the population from 16 to 18 years old that is enrolled in school Number of university seats for every 100,000 residents Annual number of homicides for every 100,000 residents Number of ever-partnered women between 15 and 49 years old who have suffered physical violence from an intimate partner or ex-partner in the last 12 months/Total number of ever-partnered women between 15 and 49 years old, expressed as a percentage Number of ever-partnered women between 15 and 49 years old who have ever suffered physical violence from an intimate partner or ex-partner, divided by the total number of ever-partnered women between 15 and 49 years old, expressed as a percentage Annual number of robberies (theft with violence or threat of violence) for every 100,000 residents Number of larcenies (nonviolent thefts) for every 100,000 residents

Benchmarks < 15:1

Between 15:1 and 25:1

> 25:1

> 80%

60–80%

< 60%

98–100%

95–98%

< 95%

97–100%

90–97%

< 90%

80–100%

60–80%

< 60%

> 5,000

2,500–5,000

< 2,500

< 10

10–25

> 25

< 6%

6–9%

> 9%

< 14%

14–25%

> 25%

< 300

300–1,000

> 1,000

< 3,000

3,000–5,000

> 5,000

List of Indicators

(continued on next page)

List of Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

II. Urban Sustainability (continued) P Security (continued)

# Topics Q Health

P.2 Citizensâ&#x20AC;&#x2122; confidence in security

# Subtopic Q.1 Level of health

Q.2 Provision of health services

86 Percentage of citizens who feel safe

87 Victimization rate

# Indicator

Unit of Measurement

88 Life expectancy at birth

years

89 Male life expectancy at birth

years

90 Female life expectancy at birth

years

91 Under-five mortality rate (per 1,000 live births)

deaths/1,000 live births

92 Doctors per 100,000 residents

doctors/ 100,000 residents

93 Hospital beds per 100,000 residents

beds/100,000 residents

Percentage of citizens who respond that they feel safe or very safe The percentage of people who respond “yes” to the question “Have you been a victim of a crime in the last 12 months?” (Determined through a survey.)

> 60%

30–60%

< 30%

< 10%

10–30%

> 30%

Description The average number of years to be lived by a group of people born in the same year, if health and living conditions at the time of their birth remained the same throughout their lives. (CIA Fact Book and OECD definition, also used by GCIF.) Average life expectancy at birth of the city’s male population Average life expectancy at birth of the city’s female population The probability of a child born in a specified year dying before reaching the age of five, expressed as a rate per 1,000 live births The number of physicians whose workplace is in the city, expressed as the number of physicians per 100,000 of the city population The number of in-patient hospital beds in the city, expressed as the number of hospital beds per 100,000 of the city population

Benchmarks > 74

70–74

< 70

> 70

64–70

< 64

> 76

70–76

< 70

< 20

20–30

> 30

> 200

75–200

< 75

> 100

50–100

< 50

List of Indicators

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

III. Fiscal Sustainability and Government (continued) # Topics R Participatory Public Management

S Modern Public Management

# Subtopic R.1 Citizen participation in planning of government’s public management

Unit of Measurement

94 Existence of a participatory planning process

Yes/ Qualified yes/ No

95 Existence of participatory budgeting

Yes/No and % of the budget

R.2 Public reporting

96 Public reporting sessions per year

S.1 Modern processes of public management of the municipal budget

97 Existence of a multi-annual budget

Yes/No and years

98 Remuneration of personnel based on a system of performance indicators

Yes/No and % of personnel

99 Existence of electronic systems for tracking the municipality’s management

Yes, electronic/ Yes, manual/ No

S.2 Modern systems of public management of the municipal government

# Indicator

Description A participatory planning process is carried out in cooperation with community organizations and with citizen participation.

Participation of civil society in the municipal budget programming, and the percentage of the budget that is determined through civil society participation Number of sessions per year in which the municipal government publicly shares information about its management The city has a multi-annual budget with at least two years of revenue and expenditure planned, and this is used to establish the future budget requirements of existing services, evaluate the resource implications of future policy changes and new programs, and assign resources within a fiscal restriction. The personnelâ&#x20AC;&#x2122;s salaries are based in part on a system of performance indicators

Electronic systems are in place to track fulfillment of the municipalityâ&#x20AC;&#x2122;s goals and objectives.

Benchmarks Planning is not Planning is participatory Planning is not fully and: (a) is part of the participatory. (a) It is participatory. (a) There is no legal framework; national or subnational part of the national legal framework; (b) legal framework and not (b) stakeholders are not part of a subnational consulted, therefore civil society, the private (c) opinions are not sector, and academia are legal framework; (b) consulted; (c) opinions are not all stakeholders are collected, and (d) there is no dissemination; consulted; opinions are not collected methodically; (e) there is no new (d) results are publicly collected methodically; (d) results are partially information to incorporate disseminated; (e) results into the objectives and disseminated; (e) some are incorporated into goals of the plan. the objectives and results are incorporated into the objectives and goals of the plan. goals of the plan. Participation of the civil Participation of the civil Participatory budgeting society in determining society in determining an does not exist at least 10% of the amount equal to less than total budget 10% of the total budget More than one public One annual public There is no annual session reporting session per year reporting session for public reporting The city has a projected budget for the next three years.

The city has a projected budget for the next two years.

The remuneration of The remuneration of at least 40% of the between 10% and 40% of personnel incorporates the the personnel incorporates results of an evaluation the results of an evaluation based on a system of based on a system of performance indicators. performance indicators.

There is an electronic system that measures the progress and results of the municipal management.

There is a system that measure the progress and results of municipal management, but it is manual.

List of Indicators

The budget is for only one year.

The remuneration of the personnel is not related to a system of performance indicators or the remuneration of less than 10% of the personnel incorporates the results of an evaluation based on a system of performance indicators. There is no system of accountability that measures the progress and results of the municipal management. (continued on next page)

List of Indicators

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

III. Fiscal Sustainability and Government (continued) # Topics S Modern Public Management (continued)

T Transparency

U Taxes and Financial Autonomy

# Subtopic

T.1 Transparency and auditing of the government’s public management

U.1 Municipal revenue and taxes

# Indicator

Unit of Measurement

100 Existence of electronic procurement system

Yes/ Qualified yes/ No

101 Transparency index

102 Municipal government accounts audited

103 Municipal companies’ accounts audited by a third party

104 Own-source revenue as a percentage of total revenue

105 Total transfers as a percentage of total revenue

106 Earmarked transfers as a percentage of total transfers

107 Revenue from other sources (external donors) as a percentage of total revenue

Description The municipal government uses an electronic system to carry out procurement and contracting.

Country score from Transparency International’s Corruption Perceptions Index, or municipal score on a national transparency index for municipalities, if available Numerator: number of municipal government’s accounts that are audited with independence from the internal auditing group. Denominator: total number of municipal government accounts. Numerator: number of municipal companies whose accounts are audited by external, independent third parties. Denominator: total number of municipal companies. Percentage of local government revenues originating from fees, charges, and taxes as permitted by law or legislation to all revenues, including those provided by other levels of government. This only includes operating or recurring revenues as determined through methods such as: formula driven payments (such as repatriation of income tax); grant donations from higher government levels, including national or state governments; and other types of financial transfers that may be tied to the delivery of specific services. Total transfers from other levels of government as a percentage of total revenue Transfers with a specific use assigned as a percentage of total transfers Revenue by source: Others (external donors)/total revenue

Benchmarks There is an electronic There is an electronic The municipal government procurement system online procurement system but it does not have an electronic and open to the public does not disseminate the procurement system. that, at the least, publicly results of public bidding. disseminates requests for proposals and the results of public bids. >6 3.0–6.0 < 3.0

More than 50% of accounts are audited.

30–50%

< 30%

100%

75% or 100% but not audited by an independent external organization

< 75%

Similar to exemplary (best practice) cities in the country

Similar to peer cities in the country

Lower in comparison to peer cities

Similar to exemplary (best practice) cities in the country Similar to exemplary (best practice) cities in the country Similar to exemplary (best practice) cities in the country

Similar to peer cities in the country

Higher in comparison to peer cities

Similar to peer cities in the country

Higher in comparison to peer cities

Similar to peer cities in the country

Higher in comparison to peer cities

List of Indicators

(continued on next page)

List of Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

III. Fiscal Sustainability and Government (continued) # Topics U Taxes and Financial Autonomy (continued)

V Expenditure Management

W Debt

# Subtopic U.2 Collection management

# Indicator

Unit of Measurement

108 Utility cost recovery

109 Taxes collected as a percentage of taxes billed

110 Performance indicators and goals for tracking budget execution

Yes/No

111 Gross operating budget (current expenditure as percentage of total expenditures)

112 Gross capital budget (capital expenditure as percentage of total expenditures)

113 Annual growth rate of current expenditure

% annual

114 Budgetâ&#x20AC;&#x2122;s alignment with plan

Yes/No

W.1 Contingent liabilities

115 Contingent liabilities as a percentage of own revenue

W.2 Sustainability of municipal debt

116 Debt service ratio

117 Debt growth

V.1 Quality of public spending

Description Percentage of the cost of the provision of utilities (provided through the municipality or municipal companies) that is covered through rates or fees charged to consumers (for water, sewer, trash collection, electricity) Ratio of the actual tax collected to the mandated tax—that is, the taxes collected over the total of taxes billed Existence of performance indicators and goals for tracking the execution of the budget

The total current expenditure in the preceding year (the numerator) divided by the total expenditure by the city in that same period, expressed as a percentage. The total expenditure on fixed assets in the preceding year (the numerator) divided by the total expenditure by the city in that same period, expressed as a percentage Average annual growth rate of operating expenses in the last five years Determine whether the city’s budget includes the objectives of its development plan with indicators of results.

Total contingent liabilities that could be required to be paid in the next five years as a percentage of the city’s own revenue in the same period Debt service ratio is the ratio of debt service expenditures as a percentage of a municipality’s own source revenue. A lower number can indicate either an increased ability to borrow or a decision by a municipality to limit its debt to enable funding of other service areas. Average annual rate of growth of the debt in the last three years

Benchmarks ≥ 90%

> 50% and < 90%

≤ 50%

Similar to exemplary (best practice) cities in the country There are performance indicators and goals with periodic monitoring and the results are incorporated into the following budget.

Similar to peer cities in the country

Lower in comparison to peer cities

There are performance indicators and goals but without periodic monitoring or the results are not incorporated in the following budget. Similar to peer cities in the country

There are no performance indicators and goals for monitoring the budget.

Similar to exemplary (best practice) cities in the country

Similar to peer cities in the country

Lower in comparison to peer cities

Similar to exemplary (best practice) cities in the country More than 70% of the programs in the city’s budget coincide with those in its government or development plan. < 30%

Similar to peer cities in the country

Higher in comparison to peer cities

Between 30% and 70% of the programs in the budget and the development plan coincide. 30–70%

Less than 30% of the programs in the budget coincide with those in the development or there is no plan. > 70%

Similar to exemplary (best practice) cities in the country

Similar to peer cities in the country

Higher in comparison to peer cities

The annual real growth rate is negative.

The annual real growth rate is between 0% and 2%.

The annual real growth rate is greater than 2%.

Similar to exemplary (best practice) cities in the country

List of Indicators

Higher in comparison to peer cities

Detailed Descriptions of the Indicators

1 Percentage of households with home connections to the city’s water network Topic:

Sub-Topic:

Water

Water coverage

Definition Percentage of households with home connections to the city’s water network

Methodology The commercial department of the water utility will have an up-to-date database of the number of domestic customers. The water utility may also have information on the total number of households in the city (master plans, business plans, expansion strategy, etc.). If not, the city council, which receives updates on the census results, may have this information.

Benchmarks Green

Yellow

Red

> 90–100%

75–90%

< 75%

Rationale A supply of clean water is absolutely necessary for life and health, yet many people lack access to an adequate water supply or can only obtain it at high prices. In many cities, households in informal settlements are rarely connected to the network and can only rely on water from vendors, at up to 200 times the tap price. Improving access to safe water implies less burden on people, mostly women, to collect water. It also means reducing the global burden of water-related diseases and improving the quality of life. This indicator monitors access to the city’s water network based on the assumption that it is likely to provide safe water. Unsafe water is the direct cause of many diseases in developing countries. (Based on ERM 2006: The Current Status of City Indicators. Discussion Paper – Annexes. Indicator 4: Access to safe water.)

Other organizations or agencies that use this indicator Similar to GCIF’s ‘Percentage of city population with potable water supply service’ and ‘Percentage of city population with sustainable access to an improved water source’

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Annual water consumption per capita Topic:

Sub-Topic:

Water

Efficiency in the use of water

Definition Annual consumption of water per capita of people whose homes have a water connection to the city’s network (in liters/ person/day)

Methodology This indicator is generally obtained using billing records that indicate the number of cubic meters measured in a given period. This amount of water is then divided by the total population associated with the households included in the billed figures. This information is usually available from the commercial unit of water utilities, which manages an up-to-date database of customer categories.

Benchmarks Green

Yellow

Red

120–200

80–120 or 200–250

< 80 or > 250

Rationale Water consumption must be in harmony with water resources to be sustainable. This harmony may be achieved through improvements in water supply systems and changes in water consumption patterns. This indicator will need to be measured in terms of changes from year to year in a city within a range of rates, due to the variability among cities. Consumption of water per person depends on availability, quality, price, climate, and the uses to which water is customarily put by individuals (drinking, bathing, washing, gardening). In many cities, potable water supply is not continuous and households rely on a few hours per day to either consume or store it. Water consumption is much higher in cities of higher income countries, as with most other forms of consumption. If no adequate data is available, information from comparable contexts—that is, with similar socioeconomic, cultural, and geographical characteristics—can be used. (Based on GCIF Indicator 43: Total water consumption per capita (liters/day).)

Other organizations or agencies that use this indicator GCIF Indicator 43: Total water consumption per capita (liters/day)

Detailed Descriptions of the Indicators

Continuity of water service Topic:

Sub-Topic:

Water

Efficiency in the water supply service

Definition Annual average of daily number of hours of continuous water supply per household (in hours/day)

Methodology The value is to be calculated using the following formula: x = 24 –

(

Σ365 i=1 Hours of interruptions on day i * Fraction of households affected 365

(

This indicator is determined or estimated depending on the availability of operational information from the water utility. If the network operation department measures flows into the different sectors of the city, this could be determined directly. If no direct information is available, the commercial department may obtain this information from their customer service complaints logs. Some water companies have customer surveys that include service continuity questions that may be used as an estimate for this indicator.

Detailed Descriptions

If no adequate data is available, estimates from the network manager should be used.

Benchmarks Green

Yellow

Red

> 20 h/day

12–20 h/day

< 12 h/day

Rationale The reliability of water service to the user is the ultimate consideration in evaluating water supply, even though this reliability is based on both quantity and quality considerations and on interconnected systems of source water availability, water treatment, and water distribution. This indicator determines whether a water supply system is reliable, or whether the water supply system needs fundamental or marginal improvements. A physically larger service area is likely to have more kilometers of pipes and mains in the distribution system vulnerable to service interruptions. (GCIF Indicator 45: Average annual hours of water service interruption per household)

Other organizations or agencies that use this indicator Ministry of Urban Development, Government of India

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Water quality Topic:

Sub-Topic:

Water

Efficiency in the water supply service

Definition Percentage of water samples in a year that comply with national potable water quality standards

Methodology Many water utilities will carry their own sampling campaigns for treated water, covering treatment plants and some representative network points. The analysis is made either by an internal or external laboratory. The operation unit of the water utility will keep records on the historical results of the water samples. Usually the figure for the water quality indicator is estimated as a monthly average.

Benchmarks Green

Yellow

Red

> 97%

90–97%

< 90%

Rationale Water is one of the great necessities of human life. A supply of clean water is absolutely necessary for life and health, yet many people lack access to adequate water supply or can only obtain it at high prices. Improving access to safe water implies less burden on people, mostly women, to collect water. It also means reducing the global burden of water-related diseases and improving the quality of life. (Based on ERM 2006: The Current Status of City Indicators. Discussion Paper – Annexes. Indicator 4: Access to safe water.)

Other organizations or agencies that use this indicator Ministry of Urban Development, Government of India

5 Non-revenue water Topic:

Sub-Topic:

Water

Efficiency in the water supply service

Definition Percentage of water that is lost from treated water entering the distribution system and that is accounted for and billed by the water provider. This includes actual water losses (e.g., leaking pipes) and billing losses (e.g., broken water meters, absence of water meters, and illegal connections).

Methodology This is usually calculated by water utilities as:

• (Volume of water supplied minus Volume of customer billed water)/(Volume of water supplied) (in %) • Figures for water consumption could be obtained from the commercial department of the water utility. Volume of distributed water could be obtained from the production unit of the operations department.

• If no adequate data is available, information from comparable contexts—that is, with similar socioeconomic, cultural, and geographical characteristics—can be used or estimates from the utilities.

Detailed Descriptions

Detailed Descriptions of the Indicators

• (Based on GCIF Indicator 44: Percentage of water loss (unaccounted for water).) Benchmarks Green

Yellow

Red

0–30%

30–45%

> 45%

Rationale Reducing non-revenue water to acceptable levels is vital for the financial sustainability of the water utility. This can be done through appropriate technical and managerial actions. Monitoring the amount of water unaccounted for can trigger such corrective measures. Reduction of physical losses can be used to meet currently unsatisfied demand or to defer future capital expenditures to provide additional supply capacity. Reducing the amount of non-revenue water is desirable not just from a financial stand point, but also in terms of economic and environmental benefits. The indicator is also influenced by factors outside the control of the water utility, such as city topography, age of network, length of network per connection, and water use per capita. (Based on http://www.asci.org.in/sslb/water4.htm.)

Other organizations or agencies that use this indicator GCIF Indicator 44: Percentage of water loss (unaccounted for water); Ministry of Urban Development, Government of India; IDB

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Remaining number of years of a positive water balance Topic:

Sub-Topic:

Water

Availability of water resources

Definition Number of years remaining with a positive water balance, considering the supply of available water (taking into account hydrological cycles) and the demand for water (projected uses, including population, industrial sector, ecological flows, etc.)

Methodology The amount of available fresh water resources is determined through hydrological studies that are usually carried out by the institution responsible for water resources (ministry of environment, water directorate, etc.). These studies deliver projections of the availability of water resources of similar quality by hydrological catchments. The water utility, on the other hand, will have some specific extraction rights, which represent the maximum volume that they can extract from aquifer and/or water bodies. The available resources are estimated by comparing the maximum amount of fresh resources that are going to be available with the maximum extraction rights. Finally, the number of years with a positive water balance is calculated by comparing the figure of projected water demand (volume of water demanded by customers) for each year with the availability of resources for water treatment. The comparison needs to consider the existing treatment facilities for non-fresh water, such as desalination plants.

Benchmarks Green

Yellow

Red

> 10

5–10

Rationale Sustainable water management requires a holistic approach to water planning and the recognition of interconnections between systems. Maintaining a positive water balance ensures that the amount of water withdrawn from a source is not more than the source’s recharge potential. (Based on Bloetscher & Muniz 2006, October: “Defining Sustainability.” Florida Water Resources Journal. http://www.fwrj. com/TechArticle06/1006%20tech%201.pdf.)

Other organizations or agencies that use this indicator ---

7 Percentage of households with a home connection to the sewer system Topic:

Sub-Topic:

Sanitation and drainage

Sanitation coverage

Definition Percentage of households with a home connection to the sewer system

Methodology The number of households within the city that have a home connection to a sewer system (the numerator) is divided by the number of households (the denominator) and expressed as a percentage. The development and updating of the database of number of households with a home connection to sewer systems is usually made by the commercial department of the water utility. If the database has not been developed by this unit, then the network operation department that keeps a record of the existing infrastructure needs to be consulted. The connection must form part of a publicly, privately, or community owned system of discharge of served waters and other residues through a pipe or similar duct connected to a network that takes it for disposal and/or treatment.

Detailed Descriptions

Detailed Descriptions of the Indicators

(Based on GCIF Indicator: Percentage of city population served by wastewater collection.)

Benchmarks Green

Yellow

Red

> 75%

75–60%

< 60%

Rationale The percentage of households with home connection to the sewer system is an indicator of city health, hygiene, and quality of life. Wastewater collection and treatment is a significant component of the Millennium Development Goals. (Based on GCIF Indicator 35: Percentage of city population served by wastewater collection.)

Other organizations or agencies that use this indicator Similar: GCIF Indicator 35: Percentage of city population served by wastewater collection

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Percentage of wastewater that is treated according to national standards Topic:

Sub-Topic:

Sanitation and drainage

Wastewater treatment

Definition Percentage of wastewater that is treated according to applicable national standards

Methodology This figure can be calculated directly or indirectly. If the city has treatment facilities with adequate flow-measuring technology, this figure can be obtained directly from the flow rates into the wastewater treatment works. The indicator is therefore obtained as the quotient between the treated wastewater and the water consumed (billed). If no figures are obtained from treatment facilities, the figure can be estimated indirectly as the quotient between the sewered population that discharges to a treatment facility and the total population with access to potable water. These figures may be obtained from information compiled from the billing department and operations unit. If septic tanks are well operated and maintained, the percentage of the population that disposes their effluent under this system should also be added if this practice is accepted by the local legislation.

Benchmarks Green

Yellow

Red

> 60%

40–60%

< 40%

Rationale Improvement of water treatment reduces the incidence of a variety of waterborne diseases. A reliable wastewater treatment system is a major indicator of the level of local development and of community health. Water pollution from human waste is less of a problem in countries that can afford to treat sewage and wastewater, and water pollution can be minimized with adequate investment in treatment systems. The percentage of wastewater treated is a key indicator of water quality management. All forms of treatment include treatment to permit water release into water resources of different levels of environmental sensitivity. They are:

• Preliminary treatment to remove large solids and waste (screens, sand removal, etc.) • Primary treatment, which removes large particles of suspended solids and organic matter, generally by sedimentation • Secondary treatment, which reduces biological oxygen demand (BOD) to acceptable levels by microbial oxidation using forced or natural aeration systems

• Tertiary treatment, which reduces the presence of nitrogen and phosphorus and other organic volatile particles, including smell

• Disinfection: This process will remove the remaining bacteria in the effluent, which is measured through the presence of fecal coliforms.

• Sludge: All the biosolids accumulated during the treatment process are treated separately via biological or chemical treatment.

• The treated effluent can be used for irrigation/industrial purposes (wastewater) and as soil conditioning material (sludge), depending on the local environmental standards. (Based on ERM 2006: The Current Status of City Indicators. Discussion Paper – Annexes. Indicator 14: Wastewater treated.)

Other organizations or agencies that use this indicator ---

of dwellings damaged by the most intense flooding in the 9 Percentage last 10 years Topic:

Sub-Topic:

Sanitation and drainage

Effectiveness of drainage

Definition Percentage of dwellings damaged by the most intense flooding in the last 10 years

Methodology The value of the indicator will be calculated for the flooding event in the last 10 years that affected the largest number of dwellings. Causes of floods to be considered include overflows in drainage and sewer systems as well as roads and waterways. This indicator also includes floods caused by snowmelt. Databases from municipalities and utilities, together with other locally available data (such as fire department interventions in flooding emergencies, etc.) that make it possible to characterize the situation with the highest possible accuracy should be used as sources of information. Consistency between information from different sources should be checked before computation.

Detailed Descriptions

Detailed Descriptions of the Indicators

If the damage to dwellings caused by the most intense flooding in the last 10 years does not reflect well the general flooding patterns in the city (for example, if these patterns were highly influenced by factors unlikely to reoccur, such as a big construction site being at a particularly vulnerable location), information on the events with the second- or even third-largest number of flooded dwellings in the last 10 years will also be collected (in addition to information on the event to be considered for the calculation of the indicator). For each of these three events, the date of occurrence and the return period of the rainfall is to be recorded. Injuries and casualties (if any) and a description of any specific factors that could have contributed to the damage (e.g., construction works, dam failure, intense wind) should also be included. As background information facilitating the interpretation of the indicator, the following additional data should be collected: (i) number of people displaced due to the event; (ii) average time before the displaced people were able to return to their dwellings; (ii) estimated amount of damage in US dollars or local currency. If applicable, additional comments should indicate what share of the damaged dwellings constitutes coastal and riverine dwellings located in areas exposed to flooding but subject to zoning regulations according to risk level, including insurance policies, and alert and response programs.

Benchmarks Green

Yellow

Red

< 0.5%

0.5–3%

> 3%

Rationale Flooding hazards in urban areas are caused by inadequate or nonexistent drainage systems and occupation of riverine and coastal areas exposed to high flood risk. The expansion of urbanization—with the related increase in impervious areas and the runoff coefficient and a decrease in concentration time (usually upstream)—contributes to the increase of peak flows and more frequent flooding. Channeling urban rivers has similar consequences. As a result, the capacity of drainage systems is surpassed during peak flows, causing floods. (continued on next page)

Detailed Descriptions

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Percentage of dwellings damaged by the most intense flooding in the lastÂ 10Â years Rationale Sewage system overflows, insufficient levels of wastewater treatment, and solid waste disposed along channels or transported by runoff, combined with sediment yields from construction sites and unpaved streets, result in pollution of receiving water systems. Flood losses are related to flood characteristics, such as flows, duration, and floodwater velocity. Characteristics of infrastructure, alert systems, and response programs are also decisive factors. This indicator helps to assess the magnitude of the problem as a first step towards the preparation of proposals for specific interventions.

Other organizations or agencies that use this indicator ---

9 (continued)

10 Percentage of population with regular municipal solid waste collection Topic:

Sub-Topic:

Solid waste management

Solid waste collection coverage

Definition Percentage of the population whose solid waste is collected at least once a week

Methodology The annual number of households in the city serviced with regular municipal solid waste collection is determined. The definition of regular municipal solid waste collection is that the household’s solid waste is picked up, transported, and dropped off at a proper treatment facility (recycling or landfill site) at least once a week. It includes homes situated less than 200 meters from the waste collection point. If the municipal solid waste is by people who are not formally employed by a legally established entity, the house is considered not to have municipal solid waste collection service. Information should be obtained from the local operator(s) of solid waste collection systems. The number of households being serviced by the regular solid waste collection service is then multiplied by the then current average household size for that city to determine the number of persons serviced with regular solid waste collection. This number is then divided by city population. The result is expressed as a percentage of city population serviced by municipal solid waste collection.

Detailed Descriptions

Detailed Descriptions of the Indicators

(Based on GCIF Indicator 21: Percentage of population with regular solid waste collection.)

Benchmarks Green

Yellow

Red

90–100%

80–90%

< 80%

Other organizations or agencies that use this indicator GCIF; PAHO; CEPIS/PAHO; Lima 2001, Indicadores para el gerenciamiento del servicio de limpieza pública

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Percentage of the city’s municipal solid waste disposed of in sanitary landfills Topic:

Sub-Topic:

Solid waste management

Adequate final disposal of solid waste

Definition Percentage of the city’s municipal solid waste disposed of in sanitary landfills. Waste sent for recovery (composting, recycling, etc.) is excluded. To be considered sanitary, the landfill should have leachate and landfill gas collection and treatment systems.

Methodology The annual total tonnage amount of the city‘s municipal solid waste that is disposed of in sanitary landfills, divided by the total tonnage of municipal solid waste produced in the city. This total is then multiplied by 100. This information should be available from the municipal bodies, public utility companies, and major private contractors dealing with municipal solid waste collection and disposal. Data may be obtained from specific studies carried out on municipal solid waste for specific projects. (Based on GCIF Indicator 26: Percentage of city’s solid waste that is disposed of in a sanitary landfill.)

Benchmarks Green

Yellow

Red

90–100%

80–90%

< 80%

Rationale Many cities generate more municipal solid waste than they can dispose of. Even when municipal budgets are adequate for collection, the safe disposal of collected wastes often remains a problem. Open dumping and unsanitary landfills are sometimes the main disposal methods in many developing countries; sanitary landfills are the norm in only a handful of cities. The main advantage of a sanitary landfill is that handling and processing of refuse is kept to a minimum. Handling is limited to picking up and transporting the waste, spreading it, and covering it with a suitable cover material. (Based on GCIF Indicator 26: Percentage of city’s solid waste that is disposed of in a sanitary landfill, and http://www. cedengineering.com/upload/An%20Introduction%20to%20Sanitary%20Landfills.pdf.)

Other organizations or agencies that use this indicator GCIF Indicator 26: Percentage of city’s solid waste that is disposed of in a sanitary landfill; UN-HABITAT; UN Department of Economic and Social Affairs, Indicators of Sustainable Development; Asian Development Bank; Urban Audit

12 Remaining life of the site where the landfill is located Topic:

Sub-Topic:

Solid waste management

Adequate final disposal of solid waste

Definition Remaining useful life of the site of the sanitary or controlled landfill, based on the city’s municipal solid waste generation projections (in years)

Methodology There are several alternatives: aerial surveys with computer-assisted calculations; ground surveys with manual calculations; weight-based method; and trench volume method. Topographical surveys can be considered the most accurate and reliable method to determine the remaining capacity of a landfill. However, topographical surveys are not necessarily the most inexpensive method, and they require considerable surveying and engineering expertise to be done properly. Using weight to volume or compaction ratios to determine remaining capacity involves tracking the weight or volume of materials received at a landfill, converting these figures to landfilled volume, and calculating net and gross airspace used. This method requires no special expertise beyond careful record keeping and basic mathematical calculations, and requires no special equipment beyond a scientific calculator or spreadsheet program (though a truck scale is an advantage). However, there are a relatively large number of variables in the calculations, and an error in one can compound into significant inaccuracies.

Detailed Descriptions

Detailed Descriptions of the Indicators

For landfills that track the weight of incoming materials, the methodology for determining the remaining capacity using weight to volume conversion is as follows: Remaining Life (time) = [Remaining Volume (volume) x Waste Density (mass/volume)]/[Average Projected Waste Filling Rate (mass/time)] Trench Volume Method: Operators of these facilities can easily determine their remaining capacity with simple field observations and mathematical calculations if their trenches are of consistent dimensions. Determining the remaining capacity of a trench-type fill involves measuring the cross section and length of each existing and planned trench to assess the volume of each. Site life, density of landfilled material, and refuse/soil ratio can all be calculated by measuring the length of trench used, the weight of incoming material, and the volume of cover material used. This method allows cross-checking of the remaining capacity by monitoring the rate of fill over time. For the few operators of landfills that use trenches of consistent dimensions, this method of determining remaining capacity offers unparalleled ease and accuracy.

Benchmarks Green

Yellow

Red

5–8

Rationale The remaining landfill site life measures how much longer a landfill can be used under acceptable conditions. This information is crucial for solid waste disposal planning. (Based on http://www.swanava.org.)

Other organizations or agencies that use this indicator California Integrated Waste Management Board: Determining Remaining Permitted Capacity of California’s Sanitary Landfills (April 1995)

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Percentage of the city’s municipal solid waste that is disposed of in open dumps, controlled dumps, or bodies of water or is burnt Topic:

Sub-Topic:

Solid waste management

Adequate final disposal of solid waste

Definition Percentage of the city’s municipal solid waste that is disposed of in open dumps, controlled dumps, or bodies of water or is burnt

Methodology The annual total tonnage amount of the city‘s municipal solid waste that is disposed of in open dumps, controlled dumps, or bodies of water or is burnt can be approximated by calculating the total city municipal waste generation (per capita waste generation x population) minus waste that is disposed of in sanitary landfills. This amount is then divided by the total tonnage of municipal solid waste produced in the city. This total is then multiplied by 100. This information should be available from the municipal bodies, public utility companies, and major private contractors dealing with municipal solid waste collection and disposal. Data may be obtained from specific studies carried out on municipal solid wastes for specific projects. (Based on GCIF Indicator 25: Percentage of city’s solid waste that is disposed of in an open dump.)

Benchmarks Green

Yellow

Red

< 10%

10–20%

> 20%

Rationale Many cities generate more municipal solid waste than they can dispose of. Even when municipal budgets are adequate for collection, the safe disposal of collected wastes often remains a problem. Disposal in open dumps, controlled dumps, or bodies of water or through burning are sometimes the main disposal methods in many developing countries; sanitary landfills are the norm in only a handful of cities. (Based on GCIF Indicator 25: Percentage of city’s solid waste that is disposed of in an open dump.)

Other organizations or agencies that use this indicator GCIF Indicators: 23, Percentage of city’s solid waste that is disposed of in an incinerator; 24, Percentage of city’s solid waste that is burned openly; 25, Percentage of city’s solid waste that is disposed of in an open dump; and 27, Percentage of city’s solid waste that is disposed of by other means

14 Percentage of the city’s municipal solid waste that is composted Topic:

Sub-Topic:

Solid waste management

Treatment of solid waste

Definition Percentage of the city’s municipal solid waste that is treated by composting

Methodology Municipal solid waste treated by composting, divided by the total amount of municipal solid waste generated. The annual total tonnage amount of the city‘s municipal solid waste that is treated by composting (including facilities and estimated home composting). This amount is then divided by the total tonnage of municipal solid waste produced in the city. This total is then multiplied by 100. This information should be available from the municipal bodies, public utility companies, and major private contractors dealing with municipal solid waste collection, disposal, and treatment; and for a better estimate of home composting, contact NGOs.

Detailed Descriptions

Detailed Descriptions of the Indicators

Data may be obtained from specific studies carried out on municipal solid wastes for specific projects.

Benchmarks Green

Yellow

Red

> 20%

5–20%

< 5%

Other organizations or agencies that use this indicator ---

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Percentage of the city’s municipal solid waste that is separated and classified for recycling Topic:

Sub-Topic:

Solid waste management

Treatment of solid waste

Definition Formally and informally recycled materials are those diverted from the waste stream, recovered, and sent for processing into new products, following local government permits and regulations.

• Numerator: Tons separated for recycling • Denominator: Total amount of municipal solid waste generated Methodology The total annual tonnage amount of the city‘s municipal solid waste that is formally and informally separated for recycling is estimated. This amount is then divided by the total tonnage of municipal solid waste produced in the city. This total is then multiplied by 100. This information should be available from the municipal bodies, public services, and major private contractors dealing with solid waste collection and disposal. Data may be obtained from specific studies carried out for specific municipal solid waste projects, especially relating to the informal sector.

Benchmarks Green

Yellow

Red

> 25%

15–25%

< 15%

Other organizations or agencies that use this indicator UN-HABITAT; UN Department of Economic and Social Affairs, Indicators of Sustainable Development; Asian Development Bank; Urban Audit; GCIF

of the city’s municipal solid waste that is used as an energy 16 Percentage resource Topic:

Sub-Topic:

Solid waste management

Treatment of solid waste

Definition Percentage of the city’s disposed solid waste from which the landfill gas is collected and used for energy or heat

Methodology This indicator is calculated as the percentage of the city’s municipal solid waste that is diverted to a waste-to-energy facility for incineration. If no such facility is in operation, the indicator is calculated as the percentage of the city’s municipal solid waste that is disposed in a sanitary landfill where the landfill gas is collected and used as an energy source. This amount is then divided by the total tonnage of solid waste produced in the city, and expressed as a percentage. This information should be available from the municipal bodies, public services, and major private contractors dealing with solid waste collection and disposal.

Detailed Descriptions

Detailed Descriptions of the Indicators

(Based on GCIF Indicator 25: Percentage of city’s solid waste that is disposed of in an open dump.)

Benchmarks Green

Yellow

Red

> 70%

40–70%

< 40%

Rationale Landfill gas to energy initiatives can deal with two fundamental problems for the environment and health: they can capture methane as a greenhouse gas while at the same time providing an alternative source of energy.

Other organizations or agencies that use this indicator ---

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Percentage of the city’s households with an authorized connection to electrical energy Topic:

Sub-Topic:

Energy

Energy coverage

Definition Percentage of the city’s households with a legal connection to sources of electrical energy

Methodology Each year, on an agreed date, the number of city households lawfully connected to the electricity grid is determined (data to be provided by the local utility and/or local census). Most electricity supply authorities distinguish billing accounts for residential and nonresidential establishments. Residential establishments in most cities equate to households (although in some condominiums, the corporate structure holds the account for multiple households). The number of households with authorized connections to the electricity supply system is then divided by the total number of households in the city, and the result is expressed as a percentage. Authorized connection is defined as one metering system installed per household.

Benchmarks Green

Yellow

Red

90–100%

70–90%

< 70%

Rationale Modern energy services are essential—for example, for the development of activities that raise the income of the poorest, for basic health and educational needs, and for water supply systems. Meeting the Millennium Development Goals requires access to at least three types of energy services: (i) energy for cooking, (ii) electricity for lighting and appliances to support household and commercial activities and the provision of social services, and (iii) mechanical power to operate agricultural and food processing equipment, to carry out supplementary irrigation, to support enterprises and other productive uses, and to transport goods and people.

Other organizations or agencies that use this indicator Global City Indicator Facility (http://cityindicators.org)

of the cityâ&#x20AC;&#x2122;s households with an authorized connection to the 18 Percentage network of natural gas supply Topic:

Sub-Topic:

Energy

Energy coverage

Definition Percentage of the cityâ&#x20AC;&#x2122;s households with an authorized connection to the network of natural gas supply

Methodology Most gas supply authorities distinguish between billing accounts for industrial and for residential establishments. Industrial consumers in most cities equate to thermo-electrical plants or industries with other pressure and volume conditions. In most cities, residential establishments equate to households.

Benchmarks Green

Yellow

Red

> 25%

15â&#x20AC;&#x201C;25%

< 15%

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Modern energy services are essential for progress on many aspects of the Millennium Development Goals. These services should also include access to natural gas to lower the costs for cooking and water heating. Burning gas rather than wood improves health conditions and saves families time that can be used for other activities. When replacing liquefied petroleum gas (LPG), natural gas access reduces costs and increases the reliability of the energy supply.

Other organizations or agencies that use this indicator ---

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Average number of electrical interruptions per year, per customer Topic:

Sub-Topic:

Energy

Energy coverage

Definition Average number of electrical interruptions per year, per customer

Methodology The System Average Interruption Frequency Index (SAIFI) is one of the most widely used reliability indexes. SAIFI indicates the average number of outages for the system over a specific time period. It is calculated as follows: SAIFI =

Σ δ i Ni Σ Ni

where δi is the failure rate and N is the number of customers for location i. In other words, SAIFI =

Total number of customer interruptions Total number of customers served

It is determined by dividing by the total number of customers served. The resulting unit is “interruptions per customer.”

Benchmarks Green

Yellow

Red

< 10

10–3

> 13

Rationale It is fairly common practice in the electric utility industry to use the SAIFI to track and benchmark reliability performance. SAIFI serves as a valuable tool to compare utility reliability performance, as long as similar data is being matched (for example, all data that excludes major storms or defines an interruption in the same manner).

Other organizations or agencies that use this indicator Reliability index widely used by electric power utilities around the world.

20 Average length of electrical interruptions Topic:

Sub-Topic:

Energy

Energy coverage

Definition Average length of electrical interruptions, in hours per customer

Methodology The Customer Average Interruption Duration Index (CAIDI) is a reliability index commonly used by electric power utilities to indicate the average duration of a single outage. It is calculated as follows: CAIDI =

Sum of all customer interruption duration Total number of customer interruptions

Benchmarks Green

Yellow

Red

< 10

10â&#x20AC;&#x201C;18

> 18

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale It is fairly common practice in the electric utility industry to use the CAIDI to track and benchmark reliability performance. CAIDI serves as a valuable tool to compare utility reliability performance, as long as similar data is being matched (for example, all data that excludes major storms or defines an interruption in the same manner).

Other organizations or agencies that use this indicator Institute of Electrical and Electronics Engineers (IEEE); BC Hydro; Ontario Energy Board (OEB) Service Quality Reporting Program; New York State Electric & Gas Corporation

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Total annual electrical consumption per residential household Topic:

Sub-Topic:

Energy

Energy efficiency

Definition Annual residential electrical consumption, divided by number of households (in kWh/household/year)

Methodology Total annual electrical consumption per residential household is calculated by dividing the annual residential electrical use of the city in kilowatt hours by the number of households in the city.

Benchmarks Green

Yellow

Red

1,500–3,500 kWh/ per household/year

900–1,500 kWh/per household/year;

< 900 kWh/per household/year; > 5,000 kWh/per household/year

3,500–5,000 kWh/ per household/year

Rationale Modern energy services are essential for the development of productive activities that raise the incomes of the poorest, for basic health and educational needs, for many water supply systems, and for progress on other aspects of the Millennium Development Goals. High annual electrical consumption per residential household, however, indicates an unsustainable use of energy, e.g., through technical inefficiencies in transmission and end-use, or due to behavioral patterns.

Other organizations or agencies that use this indicator GCIF; all electricity providers in Canada

22 Energy intensity of the economy Topic:

Sub-Topic:

Energy

Energy efficiency

Definition Total energy use (kilogram of oil equivalent) per unit of PPP (power purchase parity) GDP (gross domestic product), compared to median of Latin American and Caribbean (LAC) countries; measured in kilogram of oil equivalent per $1,000 GDP

Methodology Total energy use divided by PPP GDP. Energy use – use of primary energy before transformation to other end-use fuels, which is equal to indigenous production plus imports and stock changes, minus exports and fuels supplied to ships and aircraft engaged in international transport. PPP GDP – gross domestic product converted to 2005 constant international dollars using purchasing power parity rates. An international dollar has the same purchasing power over GDP as a US dollar has in the United States.

Detailed Descriptions

Detailed Descriptions of the Indicators

With regards to the benchmarks, please note the following:

• The cut-offs are calculated based on the distribution of energy intensity in LAC countries with a median of 116 kg of oil equivalent per $1,000 GDP.

• x represents the energy intensity of the city to be evaluated. • ** stands for “kilogram of oil equivalent per $1,000 GDP.” Benchmarks Green

Yellow

Red

Lower than the median energy intensity of LAC countries: < 116**

Higher than 116** and lower than 150**: 116** ≤ x ≤ 150**

Higher than 150**: 150** < x

Rationale Energy intensity is a measure of the amount of energy it takes to produce a dollar’s worth of economic output. It is important to note that its value varies widely between countries, and many factors influence an economy’s overall energy intensity. It depends on the level of industrialization and the mix of services and manufacturing in the economy, as well as the level of the country’s energy efficiency programs. This indicator provides inputs to policy and programs analyses, including improved understanding of the impact of program and policy choices on energy intensity. It also improves understanding of the role of efficiency improvements in changing energy markets.

Other organizations or agencies that use this indicator International Energy Agency; World Bank

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence, monitoring, and enforcement of energy efficiency regulations Topic:

Sub-Topic:

Energy

Energy efficiency

Definition Existence of energy efficiency regulations in place, including (i) energy efficiency building standards; (ii) efficient public lighting regulation; (iii) regulations for municipal energy management; (iv) regulations for efficiency in corporate procurement; (v) appliance labeling; and/or (vi) promotion of thermo-solar use for heating.

Methodology Verify whether there are regulations in place that support energy efficiency. These regulations must be properly enforced and implemented, and renewed/expanded over time (rather than being a one-time measure).

Benchmarks Green

Yellow

Red

Approved regulations, frequent monitoring, adequate enforcement

Approved regulations, inconsistent monitoring, limited enforcement

Regulations not effective, no monitoring or enforcement

Rationale Energy efficiency offers a powerful and cost-effective tool for achieving a sustainable energy future. Improvements in energy efficiency can reduce the need for investment in energy infrastructure, cut fuel costs, increase competitiveness, and improve consumer welfare. Environmental benefits can also be achieved by the reduction of greenhouse gases emissions and local air pollution. Energy security can also profit from improved energy efficiency by decreasing the reliance on imported fossil fuels. Policy-making should promote energy efficiency through corresponding regulations, which need to be monitored and enforced to be effective and sustainable. (Based on http://www.iea.org/topics/energyefficiency/.)

Other organizations or agencies that use this indicator ---

24 Percentage of renewable energy in total energy generation Topic:

Sub-Topic:

Energy

Alternative and renewable energy

Definition Energy generated from renewable energy sources, divided by the total energy generated

Methodology Renewable sources refer to energy collected from current ambient energy flows or from substances derived from them. They can be classified as combustible or noncombustible. Noncombustible renewables include geothermal, solar, wind, hydro, tide, and wave energy. Combustible renewables and wastes include biofuels (biogas, ethanol, biodiesel); biomass products (fuel wood vegetal waste, pulp and paper waste, animal waste, bagasse); and the portion of industrial and municipal waste (produced by the residential, commercial, and public service sectors and collected by the local authorities for disposal) that is used for production of heat and/or power.

Benchmarks Green

Yellow

Red

> 50%

20â&#x20AC;&#x201C;50%

< 20%

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Renewable energy (RE) holds vast potential to transform peopleâ&#x20AC;&#x2122;s lives. Energy price volatility, supply uncertainties, and environmental concerns are leading many to consider renewable energy sources as a solution providing affordable energy services that enhance energy security and reliability. Scaling up RE demands concerted action on a number of frontsâ&#x20AC;&#x201D; policy, legal, regulatory, technical, financial, and risk mitigation.

Other organizations or agencies that use this indicator International Energy Agency

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence, monitoring, and enforcement of air quality regulations Topic:

Sub-Topic:

Air quality

Air quality control

Definition Existence, monitoring, and enforcement of air quality regulations

Methodology Existence: Evaluate whether there are appropriate and specific approved regulations (national or local). Enforcement: Enforcement is adequate if the goals established by the responsible authorities are accomplished. It is limited if the goals are partially accomplished. The goals are defined by the responsible authorities. Monitoring: Monitoring is adequate if it is based on approved regulations, conducted as frequently as set out in these guidelines, and adequately enforced. If self-control of the sources is in place, monitoring is deemed adequate if the requirements of the regulations are completely fulfilled. Monitoring is limited if it is conducted less than adequately.

Benchmarks Green

Yellow

Red

Approved regulations, frequent monitoring, adequate enforcement

Approved regulations, inconsistent monitoring, limited enforcement

Regulations not effective, no monitoring or enforcement

Rationale The responsible authorities must create a list of the important categories of stationary sources of air pollution and establish standards of performance for new sources within these categories. The standards include both equipment specifications as well as operation and measurement requirements.

Other organizations or agencies that use this indicator ---

26 Air Quality Index Topic:

Sub-Topic:

Air quality

Concentration of pollutants in air

Definition Amount of harmful pollutants in the air, as measured by the Air Quality Index (AQI)

Methodology The AQI is based on the five pollutants regulated by the Clean Air Act of the US EPA: ground-level ozone, particulate matter, carbon monoxide, sulfur dioxide, and nitrogen dioxide. I=

Ihigh – Ilow (C – Clow)+ Ilow Chigh – Clow

I = the (Air Quality) index, C = the pollutant concentration,

Detailed Descriptions

Detailed Descriptions of the Indicators

Clow = the concentration breakpoint that is ≤ C, Chigh = the concentration breakpoint that is ≥ C, Clow = the index breakpoint corresponding to Clow, Chigh = the index breakpoint corresponding to Chigh. The US EPA’s table of breakpoints is found at http://www.epa.gov/airnow/aqi_tech_assistance.pdf

Benchmarks Green

Yellow

Red

0–50

51–100

> 100

Rationale The AQI is an indicator used by government agencies or similar institutions to communicate to the public how polluted the air is currently or is projected to become. As the AQI increases, an increasingly large percentage of the population is likely to experience increasingly severe adverse health effects.

Other organizations or agencies that use this indicator ---

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

PM10 concentration Topic:

Sub-Topic:

Air quality

Concentration of pollutants in air

Definition Particulate matter in suspension, with a diameter lower than 10 μm, 24-hour average (in μg/m3)

Methodology Particulate matter is a mixture of microscopic solids and liquid droplets suspended in air. These particulates are made up of a number of components, including acids (such as nitrates and sulfates), organic chemicals, metals, soil or dust particles, and allergens (such as fragments of pollen or mold spores). Coarse particles have a diameter greater than 2.5 microns and less than or equal to 10 microns and are defined as respirable particulate matter, or PM10. Sources of coarse particles include crushing or grinding operations, and dust from paved or unpaved roads. PM10 concentrations in the atmosphere should be measured at one or more monitoring stations in major cities, in accordance with the US EPA Reference Method given in 40 CFR50, Appendix J and implemented in the Quality Assurance Handbook for Air Pollution Measurement Systems, Volume II. This document is available online at: http://www.epa.gov/ttn/ amtic/files/ambient/qaqc/2–11meth.pdf. The method provides for the measurement of mass concentrations of PM10 in ambient air over a 24-hour sampling period from midnight to midnight. In accordance with EPA’s national every-sixth-day particulate sampling schedule, each sampler should be operated at least every designated sixth day throughout the year. The 24-hour (daily) measurements of PM10 concentrations are forwarded to a database where yearly summaries for each monitoring station (maximum values, average values, number of measurements, etc.) are computed. The method involves the use of an air sampler that draws ambient air at a constant flow rate into a specially shaped inlet, where the suspended particulate matter is inertially separated into one or more size fractions within the PM10 size range. Each size fraction in the PM10 size range is then collected on a separate filter over the specified sampling period. Each filter is weighed (after moisture equilibration) before and after use to determine the net weight (mass) gain due to collected PM10. The total volume of air sampled, corrected to EPA reference conditions (25°C, 101.3 kPa), is determined from the measured flow rate and the sampling time. The mass concentration of PM10 in the ambient air is computed as the total mass of collected particles in the PM10 size range, divided by the volume of air sampled, and is expressed in micrograms per standard cubic meter (μg/std m3). For PM10 samples collected at temperatures and pressures significantly different from EPA reference conditions, these corrected concentrations sometimes differ substantially from actual concentrations (in micrograms per actual cubic meter), particularly at high elevations. The vertical placement of the samplers must be such that the inlets are no lower than two meters and no higher than 15 meters above ground elevation. If the sampler is to be located on a roof or near any structures, there must be a minimum clearance of two meters from surrounding walls or obstacles. Although not required, the actual PM10 concentration can be calculated from the corrected concentration, using the average ambient temperature and barometric pressure during the sampling period. (Based on GCIF Indicator 63: PM10 concentration.) (continued on next page)

27 PM10 concentration Benchmarks

(continued)

Green

Yellow

Red

< 50 24-hour average PM10 in μg/m3

50–150 24-hour average PM10 in μg/m3

> 150 24-hour average PM10 in μg/m3

Rationale The evidence on airborne particulate matter (PM) and its public health impact is consistent in showing adverse health effects at exposures that are currently experienced by urban populations in both developed and developing countries. PM poses a health concern because it can be inhaled into and accumulate in the respiratory system. People with heart or lung disease, older adults, and children are considered at greater risk from particle pollution. Long-term exposures (annual mean) to particles, such as those experienced by people living for many years in areas with high particle levels, have been associated with problems such as reduced lung function and the development of chronic bronchitis—and even premature death. Short-term exposures (24-hour) to particles can aggravate lung diseases, causing asthma attacks and acute bronchitis, and may also increase susceptibility to respiratory infections. High particle pollution in major cities like Hong Kong, Beijing, etc. have major negative impacts on economic/business growth due to decline in foreign investments. According to the World Health Organization (WHO), air pollution is estimated to cause approximately two million premature deaths worldwide per year. In many cities, the average annual levels of PM10 exceed 70 micrograms per cubic meter (μ/m3).

Detailed Descriptions

Detailed Descriptions of the Indicators

(Based on GCIF Indicator 63: PM10 concentration.)

Other organizations or agencies that use this indicator GCIF indicator 63: PM10 concentration; US EPA; WHO

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence and monitoring of a greenhouse gas inventory Topic:

Sub-Topic:

Mitigation of climate change

GHG emissions measurement systems

Definition Existence of a greenhouse gas (GHG) emissions measurement system with monitoring system

Methodology GHG inventories involve the development of a profile of GHG emissions by source or sector, including government and community emissions from: stationary combustion sources (combustion processes in power plants and industries), mobile sources (combustion of transportation fuels in public transport and community owned and operated vehicles), solid waste and wastewater (waste disposal sites, wastewater treatment plants), energy consumption in buildings (government, public services, manufacturing, commercial, housing, etc.), fugitive emissions (from use of air conditioning in vehicles, government buildings, commercial, industrial, and residential sectors, electricity transmission and distribution, gas leaks, etc.), and land use and forestry altering carbon stocks (forestry programs, deforestation, land clearing for development, etc.). For each source or sector, a GHG emission factor is applied, which will vary depending on energy consumption patterns, combustion processes, fuel type, technology, or other factors. Technical guidelines on how to compile a GHG inventory are available from various sources (see “Other Organizations” section below).

Benchmarks Green

Yellow

Red

Existence of a specific inventory for the city, with a monitoring system and capacity to implement it

Existence of an inventory based on national sources or a local inventory, without monitoring system or capacity to implement it

An inventory does not exist.

Rationale A GHG inventory provides a profile of emissions for an operating entity, city government, community, or national and subnational jurisdiction. GHG inventories require the establishment of a baseline year or baseline period, so that emissions calculations and projections can be made for future years and periods. GHG inventories provide the necessary emission profiles of a given entity or jurisdiction, and are useful to establish emission scenarios for future periods. Based on GHG inventories, different entities can adopt emission reduction targets as a way to reduce their contribution to global emissions, pursue efficiencies in energy use, and generate economic and social benefits.

Other organizations or agencies that use this indicator International Local Government Greenhouse Gas Emissions Analysis Protocol (IEAP), developed by ICLEI GHG Reporting Protocol (WRI/WBCSD) Climate Leaders GHG Guidance (US EPA) Guidelines for National GHG Inventories (UNFCCC) Global Protocol for Community-Scale Greenhouse Gas Emissions (C40, WRI, Cities Alliance, World Bank Group, UN-HABITAT, and UNEP). This protocol does not yet have an accounting method for emissions from land use change and forestry activities.

29 Per capita greenhouse gas emissions Topic:

Sub-Topic:

Mitigation of climate change

Total GHG emissions

Definition Greenhouse gas (GHG) emissions of the city, divided by city population (in annual tons of CO2e per capita)

Methodology The annual total aggregate tonnage (expressed as carbon dioxide equivalents, CO2e) of greenhouse gas emissions are calculated for all activities within the city for the preceding 12 months. This figure is then divided by the current city population to give a per capita figure. GHGs are gases in the atmosphere that absorb infra-red radiation that would otherwise escape to space, thereby contributing to rising surface temperatures. There are six major GHGs: carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), and sulfur hexafluoride (SF6). These gases stay in the atmosphere for long periods (i.e., they are long-lived).

Benchmarks Green

Yellow

Red

5–10

> 10

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale The annual greenhouse gas emissions from all activities within the city is an indicator of the adverse contribution the city is making to climate change relative to the population size in a region, country, state/province, city, or community.

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Greenhouse gas emissions per GDP Topic:

Sub-Topic:

Mitigation of climate change

Total GHG emissions

Definition Greenhouse gas (GHG) emissions, divided by the GDP of the city (in kg/US$ of GDP)

Methodology This indicator is a measure of greenhouse gas emissions per unit of economic output and thus of the city’s efficiency in carbon emission terms. GHG emissions are measured as CO2 equivalent. Economic output is expressed as the city’s gross domestic product (GDP).

Benchmarks Green

Yellow

Red

< 0.35

0.35–0.8

> 0.8

Rationale The CO2 intensity of the economy is a function of two variables. The first variable is energy intensity, or the amount of energy consumed per unit of GDP. This reflects both a city’s level of energy efficiency and its overall economic structure, including the carbon content of goods imported and exported. An economy dominated by heavy industrial production, for instance, is more likely to have higher energy intensity than one where the service sector is dominant, even if the energy efficiencies within the two countries are identical. Likewise, a city that relies on trade to acquire (import) carbon-intensive goods will—when all other factors are equal—have a lower energy intensity than those cities that manufacture those same goods for export. The second component of emissions intensity is fuel mix or, more specifically, the carbon content of the energy consumed in a city. The product of energy intensity (E/GDP) and fuel mix (CO2/E) is equal to CO2 intensity (CO2/GDP).

Other organizations or agencies that use this indicator This indicator or similar versions are frequently used, especially on the national level, for example by the World Bank (http://data.worldbank.org/indicator/EN.ATM.CO2E.PP.GD) and the United Nations (http://data.un.org/Data.aspx?d=MD G&f=seriesRowID%3A788).

of mitigation plans with reduction targets by sector and a monitoring 31 Existence system in place Topic:

Sub-Topic:

Mitigation of climate change

Mitigation plans and objectives

Definition Existence of mitigation plans with reduction targets by sector and a monitoring system in place, that all illustrate the capacity of the city to define, regulate, and operationalize GHG mitigation measures in different sectors

Methodology Cities can develop specific strategies and planning instruments for mitigating greenhouse gas emissions. They can also incorporate mitigation actions in sectoral strategies and other planning instruments, such as local development plans. The available mitigation plans need to be reviewed and verified for the inclusion of the following aspects: a. The plan has quantitative goals. b. The plan has a monitoring and enforcement system in place. c. The plan was formally adopted.

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

There is a formally adopted mitigation plan, with quantitative goals and a monitoring and enforcement system in place.

There is a mitigation plan but it has not been adopted, does not have quantitative goals, or lacks adequate monitoring or enforcement.

There is no mitigation plan.

Rationale Through their greenhouse gas emissions, cities have an adverse effect on climate change. To reduce this impact, adequate planning and monitoring is essential. Having emission reduction targets in place for major contributing sectors is a precondition for success of local mitigation action and makes the ambition of the city in this area visible. Mitigation plans outline the pathway to achieving these goals. They contain concrete actions that help the city reduce emissions and usually have economic and social co-benefits.

Other organizations or agencies that use this indicator ---

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence, monitoring, and enforcement of regulations on noise pollution Topic:

Sub-Topic:

Noise

Noise control

Definition Existence of regulatory mechanisms to reduce noise pollution

Methodology Existence: Evaluate whether there are appropriate and specific approved regulations (national or local). Enforcement: Enforcement is adequate if the goals established by the responsible authorities are accomplished (year basis). Enforcement is limited if the goals are partially accomplished. The goals are established by the responsible authorities. Monitoring: Monitoring is adequate if it is based on approved regulations, conducted as frequently as set out in these guidelines, and adequately enforced. If self-control of the sources is in place, monitoring is deemed adequate if the requirements of the regulations are completely fulfilled. Monitoring is limited if it is conducted less than adequately.

Benchmarks Green

Yellow

Red

Approved regulations, frequent monitoring, adequate enforcement

Approved regulations, inconsistent monitoring, limited enforcement

Regulations not approved, no monitoring or enforcement

Rationale The responsible authorities must create a list of the important categories of stationary sources of noise pollution, and establish standards of performance for new sources within these categories. The standards include both equipment specifications as well as operation and measurement requirements.

Other organizations or agencies that use this indicator ---

33 Existence of risk maps Topic:

Sub-Topic:

Vulnerability to natural disasters in the context of climate change

Climate change adaptation capacity and extreme natural events

Definition Existence of risk maps at an adequate scale for the main hazards threatening the city

Methodology The indicator is classified as green if the risk maps fulfill all of the following conditions: 1. For the purpose of this indicator, a risk map must:

• be based on (i) a review of the characteristics of hazards such as their location, intensity, frequency, and probability (except for volcanic activity and landslides, where a susceptibility analysis based on historical data and the characteristics of the affected area is sufficient); (ii) the analysis of exposure and vulnerability; and (iii) the calculation of potential losses (adapted from the UNISDR terminology on disaster risk reduction, 2009); and • show the maximum expected loss for the considered hazard scenarios. 2. The risk maps exist at a scale of at least 1:10,000.

Detailed Descriptions

Detailed Descriptions of the Indicators

3. The risk maps include information about the main hazards threatening the city. 4. The risk maps take into account medium- and long-term climate change scenarios (ideally for 2050 and 2100) for hazards that might be aggravated by climate change. If the risk maps include the main hazards threatening the city and are available only at a scale that is less detailed than 1:10,000 but at least 1:25,000, the indicator is classified as yellow. The indicator is classified as red if any of the conditions for the yellow classification is not fulfilled.

Benchmarks Green

Yellow

Red

Existence of risk maps at a scale of at least 1:10,000 that include the main hazards threatening the city and take into account climate change scenarios

Existence of risk maps that include the main hazards threatening the city and that are available at a scale that is less detailed than 1:10,000 but at least 1:25,000

There are no risk maps as defined in the methodology, or they exist but at a scale less detailed than 1:25,000, or such maps do not include the main hazards threatening the city.

Rationale Unless cities have a clear understanding of the risks they face, planning for meaningful disaster risk reduction may be ineffective. Risk analyses and assessments are essential prerequisites for informed decision making, prioritizing projects, planning for risk reduction measures, and identifying high-, medium-, or low-risk areas, according to their vulnerability and the cost-effectiveness of potential interventions. A well-maintained Geographic Information System to map hazards, vulnerabilities, and the exposure of people, as well as assets and capacities, will provide the foundation for the risk assessment.

Other organizations or agencies that use this indicator ---

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence of adequate contingency plans for natural disasters Topic:

Sub-Topic:

Vulnerability to natural disasters in the context of climate change

Climate change adaptation capacity and extreme natural events

Definition The city has prepared an adequate response plan (or contingency plan) for different types of natural disasters.

Methodology This indicator takes into account (i) whether the city has a complete contingency plan and (ii) whether the plan has been tested through simulation drills and been updated accordingly. A complete contingency plan should include: (a) an analysis of potential emergency scenarios; (b) an analysis of the potential humanitarian impact and consequences of identified scenarios; (c) clear objectives, strategies, policies, procedures, protocols, and critical coordinated actions that must be taken to respond to an emergency; and (d) defined mechanisms to ensure that agreements are registered and necessary actions are taken to enhance preparedness. (Adapted from Inter-Agency Contingency Planning Guidelines for Humanitarian Assistance, IASC group, UN.)

Benchmarks Green

Yellow

Red

Plan is complete, up to date, and tested through simulation drills at least once a year

Plan is incomplete, not updated, or there have not been any simulation exercises in the last 12 months

Plan is incomplete, out of date, or not tested in the last 24 months

Rationale Experience confirms that an effective humanitarian response at the onset of a crisis is heavily influenced by the level of preparedness and planning of responding agencies/organizations, as well as the capacities and resources available to them. Cities that have contingency plans in place are expected to respond more quickly and effectively to disasters and better avoid human, and in some cases economic, losses.

Other organizations or agencies that use this indicator This is a standard indicator for countries and donors such as the UN, EU, COSUDE, etc.

35 Existence of effective early warning systems Topic:

Sub-Topic:

Vulnerability to natural disasters in the context of climate change

Climate change adaptation capacity and extreme natural events

Definition The city has early warning systems.

Methodology Early warning is more than just a forecast. An early warning system (EWS) must comprise four elements: (i) risk knowledge; (ii) monitoring and warning service; (iii) dissemination and communication; and (iv) response capability. This implies the verification of the following: (a) the local authorities have identified the disaster-prone areas of the city for each relevant hazard; (b) the city has access to a monitoring system for each relevant hazard and accurate and timely warnings can be generated; (c) the warnings reach the people at risk and can be understood by them; and (d) the people and authorities are prepared and ready to react to warnings. If these four elements are not in place, the indicator must be set to red. If the available systems have the four elements mentioned above, the classification of the indicator as green or yellow will depend on the occurrence of drills for testing the EWS.

Detailed Descriptions

Detailed Descriptions of the Indicators

(Adapted from the International Strategy for Disaster Reduction Platform for the Promotion of Early Warning, http://www. unisdr.org/2006/ppew/.)

Benchmarks Green

Yellow

Red

Early warning system for main natural hazards, with multiple ways of communication and tested at least once a year

Early warning system for main natural hazards, with multiple ways of communication and tested in the last 24 months

There is no early warning system, or it has only a single way of communication and without periodic tests (drills).

Rationale Early warning systems play a critical role in preventing hazardous events from turning into disasters. Clear warnings, received in time, coupled with the knowledge of how to react, make the difference between life and death, or between economic survival and ruin, for both individuals and cities. Cities with effective early warning systems in place for the main natural hazards will be able to reduce human, and in some cases economic, losses. In this sense, EWS make cities less vulnerable to natural disasters.

Other organizations or agencies that use this indicator ECHO-Oficina Humanitaria de la Comisión Europea. Matriz Regional de Indicadores de Capacidad de Primera Respuesta de las Estructuras Municipales ante Desastre de Origen Socio-Natural. Estandar de referencia 3.2. http://www.desaprender. org/tools/documento-regional-2012 Install EWS in your city and hold regular public preparedness drills is part of the 10 essentials from the global campaign Making Cities Resilient – My City is Getting Ready! from UNISDR.

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Disaster risk management in city development planning Topic:

Sub-Topic:

Vulnerability to natural disasters in the context of climate change

Climate change adaptation capacity and extreme natural events

Definition The city has mainstreamed disaster risk management in its main development planning instruments or has prepared specific disaster risk management planning instruments to reduce its vulnerability to natural hazards.

Methodology Disaster risk management includes risk identification, prevention, mitigation, and disaster preparedness activities, and establishment of a strategy for financial risk management. Some cities have incorporated (mainstreamed) disaster risk management actions in their main planning instruments, such as local development plans. Other cities may have a specific planning instrument for disaster risk management (e.g., disaster risk management plan, climate change adaptation plan). In both cases, the instruments must fulfill the following conditions: The planning instruments: 1. are based on a probabilistic disaster risk analysis (for volcanic activity and landslides, a susceptibility analysis based on historical data and the characteristics of the affected area is sufficient); 2. identify disaster risk management measures and include a budget for these actions. Examples include the analysis of risk, the installation of early warning systems, disaster preparedness actions (emergency response team training, evacuation drills, etc.), construction and maintenance of critical infrastructure that reduces risk, such as flood drainage, the assessment of the safety of critical infrastructure, such as schools and health facilities, and their retrofitting as necessary, etc.; 3. identify financial risk management activities; 4. have been developed or updated less thanÂ 36Â months ago; and 5. have been approved by relevant authorities. If one or more of these five conditions are not fulfilled, the indicator must be classified as red. For a green classification, the planning instruments must (in addition to these five conditions) take climate change scenarios into account (if the respective hazards might be aggravated by climate change).

Benchmarks Green The city has disaster risk management planning instruments (specific or mainstreamed) that fulfill the five conditions described in the methodology and in addition to that consider climate change scenarios.

Yellow

Red

The city does not have disaster risk The city has disaster risk management planning instruments management planning instruments (specific or mainstreamed) that (specific or mainstreamed) that fulfill fulfill the five conditions described the five conditions described in the in the methodology. methodology but do not consider climate change scenarios. (continued on next page)

36 Disaster risk management in city development planning Rationale

(continued)

Investing in critical infrastructure that reduces risk and upgrading critical infrastructure are part of the Ten Essentials for Making Cities Resilient Checklist of the UNISDR (see How To Make Cities More Resilient: A Handbook For Local Government Leaders. http://www.preventionweb.net/files/26462_handbookfinalonlineversion.pdf)

Other organizations or agencies that use this indicator UNISDR as part of the ten essentials from the global campaign Making Cities Resilient â&#x20AC;&#x201C; My City is Getting Ready!

Detailed Descriptions

Detailed Descriptions of the Indicators

Detailed Descriptions

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Percentage of deliverables of the disaster risk management planning instruments that have been completed Topic:

Sub-Topic:

Vulnerability to natural disasters in the context of climate change

Climate change adaptation capacity and extreme natural events

Definition Percentage of deliverables of the disaster risk management planning instruments that have been completed

Methodology Review the disaster risk management deliverables planned in the main development planning instruments and/or the specific disaster risk management planning instruments of the city (whichever applicable) and determine the percentage of the deliverables that have been completed.

Benchmarks Green

Yellow

Red

> 50%

20â&#x20AC;&#x201C;50%

< 20%

Rationale Effective disaster risk planning plays a critical role in preventing or reducing the negative impact of natural disasters and climate change on cities. Adequate planning and prudent implementation can make the difference between life and death and between economic survival and ruin, for both individuals and cities. Cities with effective planning in place for their most important sectors will be able to reduce human and economic losses, thus reducing their vulnerability.

Other organizations or agencies that use this indicator ---

38 Budget allocation for disaster risk management Topic:

Sub-Topic:

Vulnerability to natural disasters in the context of climate change

Climate change adaptation capacity and extreme natural events

Definition There are financial resources available for emergency response, vulnerability reduction, and risk-transfer schemes (e.g., insurance).

Methodology This indicator is related to the availability of financial resources to implement emergency response, preparedness, prevention, and mitigation measures, as well as risk transfer mechanisms. If the city only has access to resources for emergency response, this indicator will be marked as red. If the city has access to resources to implement early warning systems, preparedness activities described in the contingency plan, and risk reduction measures, such as critical infrastructure retrofitting, but has no risk transfer scheme in place, the indicator will be set to yellow. Only the combination of funding for emergency response, proactive risk management also before disasters, and a risk transfer mechanism will set the indicator to green.

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

The city has access to funding for emergency response and ex-ante vulnerability reduction, and has a scheme for risk transfer (e.g., insurance).

The city has access to funding for emergency response and ex-ante vulnerability reduction.

The city only has access to funding for emergency response.

Rationale Action plans will remain just that—plans—unless they have dedicated funding to ensure that actions related to risk reduction can be carried out. Local governments require capacities and mechanisms to access and manage resources, including for disaster risk reduction, as part of the city’s vision, mission, and strategic plans. Financial resources can come from city revenue, national government transfers and allocations to sectorial departments, public–private partnerships, technical cooperation, civil society, or external organizations.

Other organizations or agencies that use this indicator UNISDR as part of the Ten Essentials from the global campaign Making Cities Resilient – My City is Getting Ready! ECHO-Oficina Humanitaria de la Comisión Europea. Matriz Regional de Indicadores de Capacidad de Primera Respuesta de las Estructuras Municipales ante Desastre de Origen Socio-Natural. Indicadores 2.33 y 2.3.5. http://www.desaprender. org/tools/documento-regional-2012.

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Critical infrastructure at risk due to inadequate construction or placement in areas of non-mitigable risk Topic:

Sub-Topic:

Vulnerability to natural disasters in the context of climate change

Sensitivity to natural disasters

Definition Percentage of public critical infrastructure vulnerable to natural disasters

Methodology An inventory of the critical infrastructure and the hazard and risk maps of the city is needed to evaluate this indicator. If risk maps are available, the percentage of critical infrastructure at risk can be directly identified based on these maps. If only hazard maps are available, the percentage of critical infrastructure in areas classified in the map as highly hazardous is identified, and experts qualitatively assess whether this critical infrastructure is vulnerable to the considered hazard. In other words, if risk maps are unavailable, the analysis based on hazard maps should be complemented with a qualitative vulnerability analysis of critical infrastructure based on expert judgment. The indicator will be classified as red if the percentage of public critical infrastructure vulnerable to natural disasters is equal to or exceeds 20% in one or more of these sectors:

• • • • • • •

Transportation (e.g., esssential roads) Energy (e.g., power plants) Water supply (e.g., drinking water systems) Communications (e.g., transmission systems) Health (e.g., hospitals) Government (e.g., emergency operations centers) Education (e.g., schools)

For further information on critical infrastructure, refer to http://www.dhs.gov/critical-infrastructure-sectors.

Benchmarks Green

Yellow

Red

< 10% in all sectors

10–20% in all sectors (or < 10% only in some)

> 20% in any sector

Rationale Physical infrastructure, in sectors such as transportation, energy, and communications, and social infrastructure, in areas such as health, government, and education, are strongly interdependent in urban areas and vulnerable to the nonlinear disruptive effects that can result when critical temperature, wind, or water exposure thresholds are surpassed. Urban infrastructure is not typically designed to handle extreme events, particularly in developing countries. Temperature extremes and less predictable precipitation cycles will likely require key infrastructure (e.g., for energy production or transport) to be replaced or repaired more frequently and may reduce their operational capacity (e.g., blackouts or service interruptions) if infrastructure design does not take potential climate variations into account. Inadequately constructed infrastructure, and infrastructure in exposed locations, increase the risk for citizens and the cost of reconstruction in case of natural disasters. This indicator measures the share of critical physical infrastructure in the city that is likely to be affected.

Other organizations or agencies that use this indicator ---

of households at risk due to inadequate construction or placement 40 Percentage in areas of non-mitigable risk Topic:

Sub-Topic:

Vulnerability to natural disasters in the context of climate change

Sensitivity to natural disasters

Definition Percentage of households at risk due to inadequate walls, roofs, or floors, or due to placement in areas of non-mitigable risk

Methodology To evaluate this indicator the cityâ&#x20AC;&#x2122;s hazard and risk maps are needed. If risk maps are available, the households at risk can be directly identified. If only hazard maps are available, households in areas classified as highly hazardous are identified and experts qualitatively assess whether these households are vulnerable to the considered hazard. In other words, if risk maps are unavailable, the analysis based on hazard maps should be complemented with a qualitative vulnerability analysis of households, based on expert judgment.

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

< 10%

10â&#x20AC;&#x201C;20%

> 20%

Rationale Rapid expansion can be a burden on citiesâ&#x20AC;&#x2122; capacity to adequately plan and control development, land use, and construction. Insufficient building standards and informal construction increase the risk for citizens in case of natural disasters. This indicator measures the share of households likely to be affected by natural hazards. (Based on http://emi-megacities.org/home/components/com_booklibrary/ebooks/Urban_Risk_DiscussionPaper.pdf.)

Other organizations or agencies that use this indicator ---

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Annual growth rate of the urban footprint Topic:

Sub-Topic:

Land use, planning, and zoning

Density

Definition Average annual growth rate of the areal urban footprint within the city’s official limits (minimum last five years or last time period available)

Methodology The urban footprint is defined as the urban area within the city’s official limits. This is generally determined through analysis of aerial photographs. Ideally, the area of the urban footprint is already provided by the census or a similar government survey or development plan. The annual growth rate of the urban footprint is calculated according to the following formula: ((Area of the urban footprint at the beginning of the period – Area of the urban footprint at the end of the period)/(Area of the urban footprint at the beginning of the footprint + 1) ^ (1/number of years in the period) – 1 For accuracy and relevance, the first year used should be at least five years before the second, and the second year should be as close to the present year as possible. If the urban footprint is expanding beyond the city’s limits because they are saturated (that is, there is nowhere else to expand within the city’s official limits), the direction in which the city is growing outside of the limits should be noted.

Benchmarks Green

Yellow

Red

< 3%

3–5%

> 5%

Rationale A rapidly growing urban footprint can have a negative impact on the surrounding environment and place strain on current infrastructure, exacerbating or creating traffic congestion and inadequate access to utilities and other public services.

Other organizations or agencies that use this indicator United States Census (may extend beyond the city’s official limits and include other cities)

42 (Net) urban population density Topic:

Sub-Topic:

Land use, planning, and zoning

Density

Definition People who live in the urbanized area of the municipality, per km2 of urbanized area of the municipality

Methodology The number of people living in the urbanized area of the municipality is divided by the urban area of the municipality. The urban area of the municipality includes all urbanized territory within its perimeters (including, for example, parks, small bodies of water, gardens, etc.), except for agriculture and large dams and reservoirs over 5 km2, which are excluded from the measurement.

Benchmarks Green

Yellow

Red

7,000–20,000

4,000–7,000; 20,000–25,000

< 4,000; > 25,000

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale This indicator is helpful in diagnosing issues of urban sprawl. Denser cities tend to be more efficient, can economize on transportation costs and time, and have a lower impact on the surrounding environment.

Other organizations or agencies that use this indicator GCIF; United States Census

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Substandard housing Topic:

Sub-Topic:

Land use, planning, and zoning

Housing

Definition Percentage of homes that do not meet the habitability standards defined by the country

Methodology The number of housing units in the urban area of the municipality that do not meet the habitability standards defined by the country should be divided by the total number of housing units in the urban area of the municipality, then converted to a percentage. Habitability standards vary by country, but substandard homes are generally those that are built on hazardous locations and do not have a structure permanent and adequate enough to protect their inhabitants from the extremes of climatic conditions, such as rain, heat, cold, and humidity. The following locations are generally considered to be hazardous:

• • • •

Housing settled in geologically hazardous zones (landslide/earthquake and flood areas); Housing settled on garbage-mountains; Housing around high-industrial pollution areas; Housing around other high-risk zones, e.g., railroads, airports, and energy transmission lines.

The following durability factors are generally considered when categorizing housing units:

• Quality of construction (e.g., materials used for walls, floor, and roof); • Compliance with local building codes, standards, and bylaws. Data sources are mainly household surveys and censuses. The country’s standard of habitability (or the definition used by the data collector, in the absence of a national standard) should be noted next to the data. Data on houses built on hazardous locations is difficult to collect and is not available for most countries. Therefore, results for this indicator are mostly based on the permanency of structures, looking at the quality of materials used for dwellings. Durability of building materials is to a very large extent subject to local conditions as well as to local construction and maintenance traditions and skills. Which materials are considered durable under local conditions has to be determined by local experts. This is also true for the common problem that dwellings in the semi-urban outskirts of cities of developing countries often follow rural construction patterns by using materials which can be considered nondurable under urban conditions. In addition, compliance with local regulations, and the quality of the location, form part of the definition. These two indicators cannot be easily observed, as they require specific knowledge about the legal conditions and the land use plan, as well as skills to determine hazardous areas. (Based on United Nations Human Settlements Programme 2004: Urban Indicators Guidelines, p.11: “Indicator 1: Durable Structures.”)

Benchmarks Green

Yellow

Red

< 10%

10–25%

> 25% (continued on next page)

43 Substandard housing Rationale

(continued)

Households located in slums usually occupy substandard dwelling units that expose them to high morbidity and then mortality risks. Durable structures are part of the five key components of the definition of slum agreed upon by UN-HABITAT. Generally, a housing structure is considered standard or durable when certain strong building materials are used for roof, walls, and floor. Even though some houses may be built with materials classified as durable, the dwellers may still not enjoy adequate protection against weather and climate due to the overall state of a dwelling. Alternatively, a material may not look durable, in the modern sense, but is, in the traditional sense, when combined with skills of repair. Such cases are vernacular housing made of natural materials in villages, maintained by the residents annually. (Based on United Nations Human Settlements Programme 2004: Urban Indicators Guidelines, p.11: “Indicator 1: Durable Structures.”)

Other organizations or agencies that use this indicator UN-HABITAT (“durable housing” uses number of households); IDB’s Sociómetro uses % of households with dirt floors and % of households with impermanent roofing material

Detailed Descriptions

Detailed Descriptions of the Indicators

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Quantitative housing shortage Topic:

Sub-Topic:

Land use, planning, and zoning

Housing

Definition (Number of households â&#x20AC;&#x201C; number of homes (housing units))/Number of households

Methodology This indicator uses data normally from the census or a similar survey. It is the difference between the number of households and the number of housing units, expressed as a percentage of the total number of households.

Benchmarks Green

Yellow

Red

< 10%

10â&#x20AC;&#x201C;20%

> 20%

Rationale This indicator estimates the quantity of dwellings that must be constructed so that there is a one-to-one relationship between the number of adequate homes and the number of households that need housing.

Other organizations or agencies that use this indicator DANE (Colombia)

45 Green area per 100,000 residents Topic:

Sub-Topic:

Land use, planning, and zoning

Green and recreational areas

Definition Hectares of permanent green space per 100,000 city residents

Methodology Each year on an agreed date, the total area (in hectares) of green space in the city is determined. This figure is then divided by 100,000th of the city population. The result is expressed as a whole number in hectares. Green area includes parks, recreation areas, and other natural areas. It also includes green areas on private property. (Based on GCIF indicator description for “Green area (hectares) per 100,000 population.”)

Benchmarks Green

Yellow

Red

> 50

20–50

< 20

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale The amount of green area per capita is an indicator of how much green and open space a city has. Green areas perform important environmental functions in an urban setting. They improve the urban climate, capture atmospheric pollutants, and provide recreation for urban inhabitants.

Other organizations or agencies that use this indicator GCIF uses a similar indicator but the definition excludes private property that is not publicly accessible and includes other types of public space (such as plazas). Montréal, Toronto, Porto Alegre, Belo Horizonte, São Paulo, Bogota, and King County, Washington all use variations of this indicator.

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Public recreational area per 100,000 residents Topic:

Sub-Topic:

Land use, planning, and zoning

Green and recreational areas

Definition Hectares of publicly accessible, open-air recreational space per 100,000 city residents

Methodology Each year on an agreed date, the total area (in hectares) of publicly accessible, open-air recreational space in the city is determined. This figure is then divided by 100,000th of the city population. The result is expressed as a whole number in hectares. Some of these areas may also be included in the green area per 100,000 residents, but this is a separate indicator, because public recreational area excludes green areas that are not publicly accessible (such as golf courses) and includes public recreational areas that are not green (such as tennis courts).

Benchmarks Green

Yellow

Red

> 10

7–10

Rationale The amount of publicly accessible recreational area per capita is an indicator of how much recreational space is available to residents. More recreational space can result in a higher quality of life and better health for residents, whereas a lack of recreational space can hinder the quality of life for residents and impede recreational activity that would improve their health.

Other organizations or agencies that use this indicator GCIF uses a similar indicator. Montréal, Toronto, Porto Alegre, Belo Horizonte, São Paulo, Bogota, and King County, Washington all use variations of this indicator.

47 Existence and active implementation of a land use plan Topic:

Sub-Topic:

Land use, planning, and zoning

Land use planning

Definition The city has a land use plan that includes zoning with environmental protection and preservation zones, and it is actively implemented.

Methodology It is determined whether the city has a master land use plan. If so, the plan is evaluated to determine whether it has the following characteristics:

• It is actively implemented. • It was created or fully updated within the last ten years. • It contains ecological components. The best plans promote compact, complete communities (often the result of mixed land use).

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

The city has a sole master plan with ecological components and actively implements it.

The city has a master plan but without ecological components; there are no steps toward implementation.

The city does not have a master plan or the plan is over 10 years old.

Rationale Local urban land use plans help decision makers manage urban growth and change, and provide a platform for the formation of community consensus about land use issues.

Other organizations or agencies that use this indicator ---

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Up-to-date, legally binding master plan Topic:

Sub-Topic:

Land use, planning, and zoning

Land use planning

Definition Existence and active implementation of a legally binding, comprehensive master plan dated or updated within the last 10 years

Methodology First, identify the city’s master plan, if it has one. This can be done by contacting the city government (especially the planning office). Then verify the date of the plan or when it has last been updated, and whether the plan is legally binding. A legally binding plan will be implemented, whereas a plan that is not legally binding is much weaker and less likely to be implemented.

Benchmarks Green

Yellow

Red

The city has a master plan that is legally binding and has been updated within the last 10 years, and actively implements it.

Either: (a) the city has a master plan and it is legally binding but has not been updated in the last 10 years, or (b) the city has a master plan that has been updated within the last 10 years but it is not legally binding.

The city does not have a master plan, or it has a master plan but it is neither legally binding nor has it been updated within the last 10 years.

Rationale Legally binding master plans help set cities up for achieving future land use patterns based on community values, needs, and desires.

Other organizations or agencies that use this indicator ---

49 Percentage of the population below the poverty line Topic:

Sub-Topic:

Urban inequality

Poverty

Definition The number of persons in the city living below the national urban poverty threshold (the numerator), divided by the total current population of the city (the denominator), expressed as a percentage

Methodology The annual total number of persons in the city living below the national urban poverty threshold is determined. The number of persons living in poverty may be determined by multiplying the number of city households living at or below the poverty line by the current average number of persons per household for that city. This figure is then divided by the total current population of the city. The result is expressed as a percentage of the population living in poverty. Keep in mind that applying the current average persons per household figure to all households may suffer from a lack of distinction between household size in poor versus more affluent households. Where countries have both a rural and an urban poverty line, the urban poverty line should be used. In any case, the definition of the poverty line used should be noted along with the data.

Detailed Descriptions

Detailed Descriptions of the Indicators

The World Bank’s country poverty assessments include a discussion of each country’s poverty line (see http:// go.worldbank.org/WZ9LSRY7B0). (Based on GCIF indicator description for “Percentage of city population living in poverty.”)

Benchmarks Green

Yellow

Red

< 15%

15–25%

> 25%

Rationale The indicator (also known as the national poverty rate) is a standard measure of poverty, especially income poverty. It provides information on progress towards poverty alleviation, a central objective and requirement of sustainable development. The national poverty rate is one of the core measures of living standards, and it draws attention exclusively towards the poor. The percentage of the city’s population living in poverty is an indicator of social equity in the form of major wealth inequity and indicates a limited quality of life. Eradication of poverty is an essential component of the Millennium Development Goals. (Based on GCIF indicator description for “Percentage of city population living in poverty.”)

Other organizations or agencies that use this indicator GCIF; UN Commission on Sustainable Development; King County, Washington; Montreal; Vancouver; Toronto (report on children in poverty). In assessing poverty levels in different countries, organizations such as the World Bank, OECD, European Union, and US Census use similar indicators to determine a poverty threshold. While the specifics may vary, the basic approach and general results lead to the same issues. (Based on GCIF indicator description for “Percentage of city population living in poverty.”)

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Percentage of housing located in informal settlements Topic:

Sub-Topic:

Urban inequality

Socio-spatial segregation

Definition Percentage of dwellings located in informal settlements

Methodology This indicator is calculated by dividing the number of dwellings located in the city’s informal settlements by the total number of dwellings in the city. The definition of informal settlements is context-specific. The UN Habitat Program defines informal settlements as: i. residential areas where a group of housing units has been constructed on land to which the occupants have no legal claim, or which they occupy illegally; i. (unplanned settlements and areas where housing is not in compliance with current planning and building regulations (unauthorized housing). Problems occur in measuring the extent or defining the boundaries of such settlements. By definition, officially recognized boundaries to these settlements rarely exist, and the settlements themselves often merge almost imperceptibly into formal areas of housing, industrial, or rural areas. Use of remotely sensed data (e.g., aerial photography or high-resolution satellite data) may be useful in this context. The UN Commission on Sustainable Development defines the proportion of an urban population living in slums as the proportion of an urban population lacking at least one of the following five housing conditions: access to improved water; access to improved sanitation facilities; sufficient, not overcrowded, living area; structural quality/durability of dwellings; security of tenure. (Based on GCIF indicator description for “Percentage of city population living in slums” and World Health Organization, “People Living in Informal Settlements,” http://www.who.int/ceh/indicators/informalsettlements.pdf.)

Benchmarks Green

Yellow

Red

< 20%

20–30%

> 30%

Rationale Informal settlements are one of the biggest challenges faced by Latin American and Caribbean cities today. The percentage of housing located in informal settlements is an indicator of the proportion of the city’s housing that is substandard or insecure. Evidence shows that informal settlements are growing and becoming permanent features of urban landscapes. This indicator is useful for diagnosing urban planning issues and their related potential services, ownership, transportation, security, and legal implications. (Based on UN-HABITAT, “State of the World’s Cities 2006/7,” p. 22.)

Other organizations or agencies that use this indicator GCIF uses the areal size of informal settlements as a percentage of city area and a percentage of the city population living in slums. UN-HABITAT, Federation of Canadian Municipalities (FCM), and the cities of Bogota, Montreal, Toronto, Vancouver, and Belo Horizonte also use percentage of city population living in slums. WHO uses population in informal settlements. The UN Commission on Sustainable Development uses proportion of urban population living in slums.

51 Income Gini coefficient Topic:

Sub-Topic:

Urban inequality

Income inequality

Definition Measure of inequality in which 0 corresponds to perfect equality in income and 1 corresponds to perfect inequality in income

Methodology The Gini coefficient measures the extent to which the distribution of income (or, in some cases, consumption expenditure) among individuals or households within an economy deviates from a perfectly equal distribution. A Lorenz curve plots the cumulative percentages of total income received against the cumulative number of recipients, starting with the poorest individual or household. The Gini coefficient measures the area between the Lorenz curve and a hypothetical line of absolute equality, expressed as a percentage of the maximum area under the line. Thus, a Gini coefficient of 0 represents perfect equality, while a coefficient of 1 implies perfect inequality. (Based on World Bank indicator description for the Gini coefficient: http://data.worldbank.org/indicator/SI.POV.GINI.)

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

< 0.40

0.40–0.49

> 0.49

Rationale The income Gini coefficient is an indicator of inequality. Inequality can have negative effects on society. Research indicates, for example, that inequality leads to crime. High inequality may also indicate poor governance. (Based on Pablo Fajnyzelber, David Lederman, and Norman Loayza 2002, April: “Inequality and Violent Crime.” Journal of Law and Economics, 45.)

Other organizations or agencies that use this indicator World Bank (countries); CIA World Factbook (countries); United Nations Development Program (Human Development Report); GCIF is considering the Gini coefficient as a future indicator.

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Kilometers of road per 100,000 population Topic:

Sub-Topic:

Mobility/Transportation

Balanced transportation infrastructure

Definition The total lane kilometers of public roads within the city (the numerator), divided by 100,000th of the city population, expressed as kilometers per 100,000 population

Methodology Lane kilometers can be counted using computerized mapping, aerial photography, or existing paper maps, all of which should be field-verified. While a centerline kilometer is the length of one kilometer of road, regardless of the number of traffic lanes, a lane kilometer is equivalent to the number of lanes in one centerline kilometer of road. Lane kilometers are thus determined by multiplying centerline kilometers with the number of lanes. The definition of “public” roads will vary from city to city. For many cities, this will equate to “publicly maintained” roads, in which case city maintenance records can also clarify centerline and/or lane kilometers. For other cities, this indicator will equate to the amount of paved roads, or roads with public access, regardless of pavement or maintenance status. The inventory of lane kilometers should be updated annually. City population can be gathered from a number of sources, such as censuses, official estimates, and tax records. See “Other organizations” for additional sources of methodological guidance.

Benchmarks Green

Yellow

Red

< 300

300–400

> 400

Rationale The density of a city’s transportation network can provide insight into traffic congestion, transportation system flexibility, and urban form. Cities with larger amounts of transportation mileage tend to be more geographically compact, and may be more supportive of public transit, as well as non-motorized modes of transportation. Such cities also tend to offer multiple routes between origin and destination points, spreading traffic over more routes and thereby reducing congestion on any single route. Measuring each type of transportation infrastructure sheds light on travel behavior. The extent of the transportation system can belie other factors that may degrade the travel experience. For example, a large number of roads with poor quality pavement or unpaved roads can actually indicate a transportation system in need of upgrades. The inventory of centerline kilometers also does not necessarily take into account geographic barriers (such as rivers or mountains) that can contribute to travel congestion, regardless of the amount of infrastructure that is present.

Other organizations or agencies that use this indicator Indicator source: Global City Indicators: Definitions and Methodology. Technical document supporting the indicators to be included in the Global City Indicators Facility (GCIF). The World Bank and ERM (Washington, D.C., 2007). The Urban Transport Benchmarking Initiative (UTBI) measures centerline km per million residents as part of its Mobility in Cities Database. Roads and bicycle path benchmarks are based on analyses of data obtained from UTBI. Sidewalk and pedestrian path benchmarks are based on analyses of data from the Alliance for Biking & Walking, Bicycling and Walking in the U.S. 2012 Benchmarking Report, January 2012.

100

of roads dedicated exclusively to public transit 53 Kilometers per 100,000 population Topic:

Sub-Topic:

Mobility/Transportation

Balanced transportation infrastructure

Definition The total centerline kilometers dedicated exclusively to bus way and centerline kilometers of passenger rail (the numerator), divided by 100,000th of city population, expressed as kilometers of transportation system per 100,000 population

Methodology This indicators focuses on infrastructure dedicated specifically to public transit (bus rapid transit, light rail, etc.). Centerline kilometers can be counted using computerized mapping, aerial photography, or existing paper maps, all of which should be field-verified. A centerline kilometer is defined as the length of one kilometer of road, regardless of the number of traffic lanes. The inventory of centerline kilometers should be updated annually.

Detailed Descriptions

Detailed Descriptions of the Indicators

City population can be gathered from a number of sources, such as censuses, official estimates, and tax records. See “Other organizations” for additional sources of methodological guidance.

Benchmarks Green

Yellow

Red

> 40

10–40

< 10

Rationale The density of a city’s transportation network can provide insight into traffic congestion, transportation system flexibility, and urban form. Cities with larger amounts of transportation mileage tend to be more geographically compact, and may be more supportive of public transit and non-motorized modes of transportation. Such cities also tend to offer multiple routes between origin and destination points, spreading traffic over more routes and thereby reducing congestion on any single route. Measuring each type of transportation infrastructure sheds light on travel behavior. The extent of the transportation system can belie other factors that may degrade the travel experience. For example, a large amount of roads with poor quality pavement or unpaved roads can actually indicate a transportation system in need of upgrades. The inventory of centerline kilometers also does not necessarily take into account geographic barriers (such as rivers or mountains) that can contribute to travel congestion, regardless of the amount of infrastructure that is present.

Other organizations or agencies that use this indicator Indicator source: Global City Indicators: Definitions and Methodology. Technical document supporting the indicators to be included in the Global City Indicators Facility (GCIF). The World Bank and ERM. (Washington, D.C., 2007). The Urban Transport Benchmarking Initiative (UTBI) measures centerline kilometers per million residents as part of its Mobility in Cities Database. Roads and bicycle path benchmarks are based on analyses of data obtained from UTBI. Sidewalk and pedestrian path benchmarks are based on analyses of data from the Alliance for Biking & Walking, Bicycling and Walking in the U.S. 2012 Benchmarking Report, January 2012.

101

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Kilometers of bicycle path per 100,000 population Topic:

Sub-Topic:

Mobility/Transportation

Balanced transportation infrastructure

Definition The centerline kilometers of way dedicated to bicycles within the city (the numerator), divided by 100,000th of city population, expressed as kilometers per 100,000 population

Methodology Centerline kilometers can be counted using computerized mapping, aerial photography, or existing paper maps, all of which should be field-verified. A centerline kilometer is defined as the length of one kilometer of bicycle path, regardless of the number of traffic lanes. The definition of “public” bicycle facilities will vary from city to city. For many cities, this will equate to “publicly maintained” paths, in which case city maintenance records can also clarify centerline kilometers. For other cities, this indicator will equate to the amount of paved roads, or roads with public access, regardless of pavement or maintenance status. Bicycle paths should include all marked bicycle lanes on public roads, as well as off-road paths available for bicycle or pedestrian use. The inventory of centerline kilometers should be updated annually. City population can be gathered from a number of sources, such as censuses, official estimates, and tax records. See “Other organizations” for additional sources of methodological guidance.

Benchmarks Green

Yellow

Red

> 25

15–25

< 15

Rationale The density of a city’s transportation network can provide insight into traffic congestion, transportation system flexibility, and urban form. Cities with larger amounts of transportation mileage tend to be more geographically compact, and may be more supportive of public transit and non-motorized modes of transportation. Such cities also tend to offer multiple routes between origin and destination points, spreading traffic over more routes and thereby reducing congestion on any single route. Measuring each type of transportation infrastructure sheds light on travel behavior. The extent of the transportation system can belie other factors that may degrade the travel experience. For example, a large amount of roads with poor quality pavement or unpaved roads can actually indicate a transportation system in need of upgrades. The inventory of centerline kilometers also does not necessarily take into account geographic barriers (such as rivers or mountains) that can contribute to travel congestion, regardless of the amount of infrastructure that is present.

Other organizations or agencies that use this indicator Indicator source: Global City Indicators: Definitions and Methodology. Technical document supporting the indicators to be included in the Global City Indicators Facility (GCIF). The World Bank and ERM (Washington, D.C., 2007). The Urban Transport Benchmarking Initiative (UTBI) measures centerline kilometers per million residents as part of its Mobility in Cities Database. Roads and bicycle path benchmarks are based on analyses of data obtained from UTBI. Sidewalk and pedestrian path benchmarks are based on analyses of data from the Alliance for Biking & Walking, Bicycling and Walking in the U.S. 2012 Benchmarking Report, January 2012.

102

55 Kilometers of sidewalk and pedestrian path per 100,000 population Topic:

Sub-Topic:

Mobility/Transportation

Balanced transportation infrastructure

Definition The total walkway kilometers of dedicated pedestrian paths within the city (the numerator), divided by 100,000th of city population, expressed as kilometers per 100,000 population

Methodology Walkway kilometers can be counted using computerized mapping, aerial photography, or existing paper maps, all of which should be field-verified. The definition of pedestrian facilities will vary from city to city. For many cities, this will equate to “publicly maintained” facilities, in which case city maintenance records can also clarify walkway kilometers. Pedestrian facilities should include all roads with sidewalks (on either side), as well as off-road sidewalks or paths available for pedestrian use (nonspecific bicycle/pedestrian paths should be “double-counted”—once each for bicycle and pedestrian infrastructure). If sidewalks are situated on both sides of a road, they are counted individually (this means that 1 km of road with sidewalks on both sides counts as 2 km of walkway).

Detailed Descriptions

Detailed Descriptions of the Indicators

The inventory of walkway kilometers should be updated annually. City population can be gathered from a number of sources, such as censuses, official estimates, and tax records. See “Other organizations” for additional sources of methodological guidance.

Benchmarks Green

Yellow

Red

More than four times the length of road network

Between two and four times the length of road network

Less than two times the length of road network

Rationale The density of a city’s transportation network can provide insight into traffic congestion, transportation system flexibility, and urban form. Cities with larger amounts of transportation mileage tend to be more geographically compact, and may be more supportive of public transit, and non-motorized modes of transportation. Such cities also tend to offer multiple routes between origin and destination points, spreading traffic over more routes and thereby reducing congestion on any single route. Measuring each type of transportation infrastructure sheds light on travel behavior. The extent of the transportation system can belie other factors that may degrade the travel experience. For example, a large amount of roads with poor quality pavement or unpaved roads can actually indicate a transportation system in need of upgrades. The inventory of road and walkway kilometers also does not necessarily take into account geographic barriers (such as rivers or mountains) that can contribute to travel congestion, regardless of the amount of infrastructure that is present.

Other organizations or agencies that use this indicator Indicator source: Global City Indicators: Definitions and Methodology. Technical document supporting the indicators to be included in the Global City Indicators Facility (GCIF). The World Bank and ERM (Washington, D.C., 2007). The Urban Transport Benchmarking Initiative (UTBI) measures centerline kilometers per million residents as part of its Mobility in Cities Database. Roads and bicycle path benchmarks are based on analyses of data obtained from UTBI. Sidewalk and pedestrian path benchmarks are based on analyses of data from the Alliance for Biking & Walking, Bicycling and Walking in the U.S. 2012 Benchmarking Report, January 2012.

103

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Modal split (specifically public transport) Topic:

Sub-Topic:

Mobility/Transportation

Balanced transportation infrastructure

Definition The number of commuters working in the subject city who typically use public transport (including taxis) as their primary way to travel to work (the numerator), divided by all trips to work (the denominator)

Methodology This indicator uses commuters who work in the subject city, regardless of where they live. Even if these individuals do not live in the subject city, they use the transportation resources of the city and therefore have an impact on the city’s entire transportation system. The indicator shall be color-coded based on the use of public transport relative to all travel modes. However, given the importance of a balanced modal split, information on all travel modes shall be collected. The following benchmarks provide guidance for determining a sustainable mix: Modo Public Transport (including taxis) Bicycle Pedestrian Motorcycle Personal Vehicle (including private vans, excluding motorcycles and trucks)

Green > 65% > 5% > 20% < 10% < 35%

Yellow 50%–65% 2%–5% 10%–20% 10%–15% 35–60%

Red < 50% < 2% < 10% > 15% > 60%

Non-single-occupant vehicle (non-SOV) modes can include carpool, bus, minibus, train, tram, light rail, ferry, motorcycle, bicycle, walking, and other modes. The most likely sources of data for determining the modal split are travel surveys that collect trip frequency, trip duration, and travel mode information from a statistically significant sample of a city’s population. Such surveys are frequently performed at irregular intervals (primarily due to the cost and time associated with such an undertaking). However, surveys are inherently subject to problems, such as sampling bias and participant error. Accordingly, survey methodology needs to be carefully constructed, tested, and verified before being implemented. It is also not clear that higher non-SOV mode shares always equate to a more “livable” city. Higher SOV use can be one measure of affluence, while extreme transit dependence can be a sign of poverty and crowding. One common form of survey is a written travel log. Individuals or families use a log book or notebook to record information such as travel mode, time, distance, and length of each trip. For cases where multiple modes are used, the assessment should reflect the primary travel mode, either by length of trip on that mode or by distance traveled on that mode. For example, if a person drives a personal vehicle from home to a suburban train station (five minutes), takes a 30-minute train ride to the central city, and then takes a five-minute bus ride to their office, the primary travel mode is the passenger train. This information is also frequently collected in general population censuses, which occur at regular intervals.

Benchmarks Green

Yellow

Red

> 65%

50–65%

< 50% (continued on next page)

104

56 Modal split (specifically public transport) Rationale

(continued)

The mode of transportation used to commute to work, and especially the share of public transport relative to all other travel modes, is a key indicator of transportation policy, traffic congestion, urban form, and energy use. Cities with lower personal vehicle usage tend to be more supportive of public transit and are more geographically compact. Lower SOV use is increasingly correlated with lower energy consumption and lower emissions of smog-producing chemicals.

Other organizations or agencies that use this indicator Mode splits are frequently collected by cities and nations throughout the world. Non-municipal organizations and initiatives, such as the UN-HABITAT Global Urban Indicators Program, the Asian Development Bank, CEROI, the Urban Transportation Benchmarking Initiative, and the European Common Indicators, also collect similar data.

Detailed Descriptions

Detailed Descriptions of the Indicators

105

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Average age of public transport fleet Topic:

Sub-Topic:

Mobility/Transportation

Clean transportation

Definition Average age of the public transport fleet (in years)

Methodology This is an indirect indicator of three conditions in a transportation system: (1) the level of pollution emitted by buses, minibuses, and collective/shared taxis (“colectivos”), under the assumption that older technologies will be higher sources of pollution and also more inefficient in terms of fuel consumption; (2) safety, as newer vehicles can usually be assumed to be safer; and (3) the perceived level of comfort and quality of public transport, under the assumption that users value traveling in newer vehicles. One source for this information is the municipal registry, which should record the age (or model) of those vehicles that are licensed to provide transit service. If the registry is not up-to-date or available, this information could also be collected directly from the transport companies. This leads, however, to the challenge of selecting a representative sample of vehicles, to prevent skewing the indicator.

Benchmarks Green

Yellow

Red

6–12

> 12

Rationale It is desirable that a city’s fleet be as new as possible to ensure security, low emission levels, and comfort. However, vehicles are long-term investments for owners and usually will only be renewed if local regulations require it or repairing the old vehicle is no longer a profitable investment. A city can curb the average vehicle age by enforcing a maximum vehicle age for public transport operation. Regulations across cities can vary, but recently implemented bus systems are setting the age limit to 12 years. It may be debated that this could be higher or lower, depending on the quality of the vehicle, and there is no single standard across the industry. The indicator measures pollution levels and comfort. Even though it is an imperfect measurement for both attributes, it can be rapidly collected through existing vehicle registry databases. It can be argued that the indicator should be expanded to the complete fleet of vehicles in the city (buses and private vehicles). However, it is more likely that an accurate registry of buses exists, due to the nature of the public service that these provide. Similarly, the ability of the public sector to curb the age of private vehicles is limited, given the diversity of owners and income levels. Presumably, the public sector will have regulatory instruments to mandate age requirements on vehicles that provide transit service.

Other organizations or agencies that use this indicator The vehicle age limit is used by many transit agencies in the region and can be enforced through different regulatory instruments, such as operation contracts or route licenses.

106

58 Transportation fatalities per 1,000 population Topic:

Sub-Topic:

Mobility/Transportation

Safe transportation

Definition The annual number of fatalities related to transportation of any kind (the numerator), divided by 1,000th of city population (the denominator), expressed as number of transportation deaths per 1,000 population

Methodology Each year on an agreed date, the annual number of transportation fatalities is determined and divided by 1,000th of the city population. The result is expressed as the number of deaths per 1,000 population. This indicator counts deaths due to any transportation-related proximate cause (crashes, weather, violence, etc.) and aboard any mode of travel (automobile, public transit, walking, bicycling, etc.). This indicator should count any death directly related to a transportation incident within city limits, even if death does not occur at the spot of the incident, but is directly attributable to the accident.

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

< 0.1

0.1–0.2

> 0.2

Rationale Traffic accident rates—and specifically fatality rates—can serve as indicators for the overall safety of the transportation system, the complexity of the roadway network, the amount and effectiveness of traffic law enforcement (particularly for pedestrians), the quality of the transportation fleet (public and private), and the condition of the roads themselves. Traffic deaths represent the most severe type of traffic safety failure, allowing cities to focus on their most urgent traffic safety needs. Transportation fatalities are used here as a proxy for all transportation injuries. Whereas many minor injuries are never reported—and thus cannot be measured— deaths are almost always reported. However, it is worth noting that differences in the quality of the roadway, the quality of motorized vehicles, and the nature of law enforcement can change the relationship between injury and fatality. For example, automobile death rates (per 100 million miles traveled) in the United States decreased from 1.73 to 1.45, due in part to improvements in vehicle design and regulations mandating seat belt usage. Such improvements and enforcement may not be as widespread in other countries. Cities and countries may have different definitions of causality, specifically related to the amount of time that can elapse between a traffic incident and a death.

Other organizations or agencies that use this indicator Transportation fatalities are frequently collected by cities and nations throughout the world. Non-municipal organizations and initiatives, such as the UN-HABITAT Global Urban Indicators Program, the Asian Development Bank, CEROI, the Urban Transportation Benchmarking Initiative, and the European Common Indicators, also collect similar data.

107

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Average travel speed on primary thoroughfares during peak hours Topic:

Sub-Topic:

Mobility/Transportation

Reduced congestion

Definition The average travel speed for all private motorized vehicles and public transit vehicles that use roads (e.g., excluding trains or trolleys), across all locally defined “thoroughfares,” during the peak commuter hours (typically, morning and evening)

Methodology This indicator is obtained by calculating the average travel speed on major thoroughfares on working days during peak hours. Accurate and meaningful calculation requires the city to answer a number of very important questions:

• Which roads should be considered “thoroughfares”? Major freeways (high-speed, access-controlled roads) are an •

• •

obvious choice, but not all cities have such infrastructure. For some cities, the widest road may be a principal traffic artery or may be designed specifically for slower speeds or local service. How many monitoring locations are adequate to correctly characterize “average” travel speed? This is a question that must be answered by highly qualified traffic engineers and will be unique to each road in each city. A single speed monitor at a single point on a given road may not adequately capture the average travel speed along the entire roadway, let alone an entire network of major roads. How many days per year—and which days of the week—should be monitored? What kind of equipment should be used to conduct speed monitoring? Magnetic loops under the pavement do not always produce accurate measurements, while pneumatic strips are designed for temporary use. Data recorders can be installed in public transit vehicles.

Benchmarks Green

Yellow

Red

> 30

15–30

< 15

Rationale Travel speeds are an indicator of the overall efficiency and capacity of the transportation network. Cities with higher peak-hour travel speeds tend to have adequate roadway capacity to efficiently move traffic.

Comments and limitations The cost and complexity of speed monitoring systems may be higher than many cities wish to bear. In addition, combining speeds across different modes may not be a fair comparison. Buses or other public transit vehicles typically make numerous stops along a given route, whereas private vehicles do not. In addition, several cities have dedicated rights-ofway for buses, which makes their behavior more akin to trains than to the overall traffic stream.

Other organizations or agencies that use this indicator The City of Porto Alegre collects this data, as does the Urban Transport Benchmarking Initiative (UTBI) as part of its Mobility in Cities Database.

108

60 Number of automobiles per capita Topic:

Sub-Topic:

Mobility/Transportation

Reduced congestion

Definition Number of personal automobiles per capita

Methodology The number of personal automobiles per capita is the total number of registered automobiles divided by total population. This number should not include automobiles, trucks, and vans that are used for the delivery of goods and services by commercial enterprises. It does include, however, automobiles used for personal use by commercial enterprises. The number does not include taxis.

Benchmarks Green

Yellow

Red

< 0.3

0.3â&#x20AC;&#x201C;0.4

> 0.4

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale The number of automobiles, especially when related to the other indicators, such as travel speed and road length, can be a good indicator for vehicle use. Infrastructure will always fall behind the needs of the actual number of vehicles. Sustainability should discourage inefficient use of automobiles and promote more efficient means of transport, such as public transit and carpooling. The number of automobiles depends on many factors, and caution should be exercised when using the data. Some Latin American cities limit the number of vehicles that can circulate at certain times. This might induce the higher-income population to acquire more vehicles to make up for the restrictions.

Other organizations or agencies that use this indicator GCIF IndicatorÂ 30: Number of personal automobiles per capita

109

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Transportation planning and management system Topic:

Sub-Topic:

Mobility/Transportation

Planned and managed transport

Definition This indicator is aimed at establishing whether or not a city has a sound transportation planning and management system. The indicator is measured by the answers to three questions: 1. Is there a recent (maximum two years old) origin/destination survey covering the urban or metropolitan area? 2. Is there a published transport master plan based on the results of the survey and other supporting studies? 3. Has the city implemented a transport management system, including various indicators for measuring and monitoring the transportation system?

Methodology This indicator is determined by interviewing city officials as well as officials from transportation agencies and companies operating in the area. In many instances, these planning and management instruments exist for the city, but they are not implemented or being actively used. Special attention has to be given to this when conducting the interviews.

Benchmarks Green

Yellow

Red

The city has the three elements.

The city has a recent origin/ destination survey and has or is in the process of designing and publishing a transportation master plan based on this and other supporting documents.

The city does not have an origin/ destination survey that is not older than two years at the time of measuring the indicator.

Rationale The basis for a sustainable transportation system in a city is the presence of a sound transportation planning framework as well as an institutional setting capable of implementing and managing the plan. As indicated above, in many cities these elements are present but not implemented or being used actively. The first indicator of a “serious” approach to transportation is the existence of an origin/destination survey and a mechanism for keeping it updated. Depending on the city, this may be a costly enterprise, so if the survey and update mechanisms are in place, that is a measure of the level of commitment of the city and/or regional authorities to the issue. In addition, the data yielded by such a survey is essential for a sound transportation master plan. Consequently, if the city does not have an origin/destination survey, it falls into the red category. This is even the case if there are other transportation planning and management instruments in place. When the city has a survey and a transportation master plan based on the transport data and patterns it provides, but does not have a strong, clear “champion” that stewards the plan and implements its policies, it should fall into the yellow category. This is because the political economy of urban transportation requires strong institutions to administer policies, rules, and regulations. The flaw in many Latin American cities is that even though transport policies are in place, the institutional setting is weak and can only administer a part of the system. The presence of an authority “at arm’s length” of the municipal administration, under a special operating and contracting framework, can represent the difference between a sound planning framework and an implemented sound planning framework. Therefore, when no transport management system has been implemented, the city should be classified as yellow. (continued on next page)

110

61 Transportation planning and management system Rationale

(continued)

The cost and complexity of introducing the transportation planning elements discussed here may be higher than many Latin American cities are able to bear. In addition, while these elements are necessary under urban economies capable of supporting higher-level public transportation, in cities where transportation is subsidized or where transportation is not affordable to the majority of citizens, implementing these elements may increase the opportunity costs of acting on other areas of urban sustainability. Consequently, careful judgment must be exercised by those determining this indicator for any given city.

Other organizations or agencies that use this indicator ---

Detailed Descriptions

Detailed Descriptions of the Indicators

111

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Affordability index Topic:

Sub-Topic:

Mobility/Transportation

Affordable transportation

Definition Affordability index (%) =

Number of trips x average cost per trip Per capita income of the bottom quintile of the population

Methodology Number of trips/Quantity of travel: Very few studies have been made of the desired rather than actual quantity of urban travel. However, an analysis of those few studies indicated a minimum desirable travel of about 60 one-way trips per month per person. For an employed person, this could comprise about 40 one-way trips to and from work and a further 20 one-way trips per month for other reasons: visiting family, seeing a doctor, going to a cinema or undertaking personal business. For the purpose of simplicity, an average of 60 one-way trips per month is to be used as the number of trips in the index unless more specific information is available. Average cost per trip: Since the index presented here needs to be consistent among many cities, a standard measure of the fare for a single trip is used, based on a daily or time-based ticket where this offers a lower price. Longer-period tickets, such as those that give a full week or month of travel, have not been taken into account, as these require high upfront costs that would be difficult for a low-income passenger to afford. Per capita income: This is the per capita income for the bottom quintile of the population. Average cost per trip and per capita income should be in the same currency (e.g., US$). (Based on R. Carruthers, M. Dick, & A. Saurkar 2005, January: “Affordability of Public Transport in Developing Countries,” Transport Papers TP-3. The World Bank Group, Washington D.C. http://siteresources.worldbank.org/INTTRANSPORT/ 214578–1099319223335/20460038/TP-3_affordability_final.pdf.)

Benchmarks Green

Yellow

Red

up to 5%

5–10%

> 10%

Rationale This index, while quantitative in nature, aims at providing a qualitative reference on the cost burden that the poorest bear to be able to travel to meet their needs. Affordability can be considered as the ability to make (i) necessary journeys to work, school, health and other social services, (ii) visits to other family members, or (iii) other urgent journeys, without having to curtail other essential activities. There are several problems with the use of an affordability benchmark. The main one is that the level of expenditure on transport as a percentage of income may not be directly proportional to welfare. Therefore, it is not clear that households that spend less than 10% of income on transport are necessarily better off than those that spend more. However, determining this would require defining a benchmark of what is considered “affordable.” Any such benchmark is arbitrary and subject to further criticism. For the purpose of simplicity, the reference benchmark is set at 10%, despite its potential limitations. The affordability index ignores possible changes in fares due to supply responses needed to accommodate the fixed number of trips considered. For example, if it were the case that every person made 60 trips per month, aggregate public transport demand would probably be much larger than current demand. Therefore, equilibrium fares would also be different, unless there are constant economies of scale in public transport supply. (Based on Carruthers et al. 2005; Tomás Serebrisky, Andrés Gómez-lobo, Nicolás Estupiñán, & Ramón MuñozRaskin 2009: “Affordability and Subsidies in Public Urban Transport: What Do We Mean, What Can Be Done?” Transport Reviews. The World Bank.)

Other organizations or agencies that use this indicator ---

112

63 Jobs-to-housing ratio Topic:

Sub-Topic:

Mobility/Transportation

Balanced demand

Definition The jobs-to-housing ratio refers to the approximate distribution of employment opportunities and workforce population across a geographic area. It is usually measured in terms of the proportion of jobs per household.

Methodology The indicator must be measured for a specific area of the city (for example, the central business district). The closer the relationship is to 1: 1, the more balanced the area is, because most of the jobs that the area is supplying are being carried out by people that live in the area. The farther it gets from this relationship, the more people have to commute from outside areas to carry out the jobs. The indicator is determined by dividing the number of jobs by the number of housing units that are located within the area. For example, if an area has 5 jobs and there are 4 houses, the indicator value will be 1.25. This can also be expressed in terms of a ratio, in which case the result would be 1.25: 1.

Detailed Descriptions

Detailed Descriptions of the Indicators

The recommended target standard and ranges for jobs to housing unit ratios are based on the assumption that the average number of workers per household is approximately 1.5. This number, however, can vary from community to community. Some households have two or more workers while others have none. If possible, the standard should be based on an analysis of local data on workers per household. Data availability should guide the choice of methods for measuring jobs to housing balance as well as of the area to be measured, unless there is an interest in a particular aspect of the jobs-housing balance that justifies extra data-gathering effort. Housing and employment data by traffic analysis zone (TAZ) shall be used, if available, or census block group to calculate jobs-housing ratios in subareas of a jurisdiction. When arguing in favor of a jobs-housing balance policy, it needs to be taken into account that such a policy does not necessarily imply higher densities—that is, jobs-housing balance policies are “density neutral.” Jobs-housing policies only suggest that a given geographic area ought to have both jobs and housing. Qualitative factors should be considered in addition to quantitative factors. Which area(s) of the city to measure? The areas of the city that ought to be measured for this indicator are both where the majority of trips are generated and where they are destined. This would allow the definition of housing or employment development policies for the cases in which either one is outside the appropriate balance. Normally, the areas where the majority of trips are destined are the business districts, and the areas where the majority of trips are generated are those exhibiting solely a residential land use. Within the latter, the areas where a greater number of citizens in poverty are located would be those in which the analysis should be carried out, as the mobility of a greater number of people would be dependent on mass transit. How to determine the area(s) to measure? The business district(s) of the city is/are normally delimited by the city master plan or transportation master plan. They are also normally delimited in those plans as mixed use areas. The analyst should determine, depending on the size of the city, the two or three most important business districts. The residential, trip-generating areas concentrating greater numbers of citizens in poverty can be defined by mapping the Human Development Index (HDI) distribution of urban space in the city. Census data is normally gathered around “census districts”, and almost all census departments include geographic delimitation of those districts. Through statistical analyses, the HDI can be determined for those same districts, creating a gradation that could cover very low HDI (0.00–0.63), low HDI (0.64–0.67), middle HDI (0.68–0.72), and high HDI (0.73–0.82). The indicator should be measured in the two lower HDI areas. (Based on (i) Jerry Weitz 2003: Jobs Housing Balance. American Planning Association Advisory Service Report No. 516. (ii) Planning for Sustainable Travel, at www.plan4sustainabletravel.org.) (continued on next page)

113

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Jobs-to-housing ratio Benchmarks Green

Yellow

Red

1.3:1–1.5:1

1.5:1–1.7:1

< 1.3:1 and > 1.7:1

Rationale Trends show that people drive longer distances and to more places because of the single land use patterns that are commonly developed in metropolitan areas. Studies have demonstrated that better planned, mixed use communities with a balanced relationship between the jobs they demand and the number and type of employees that are housed within their boundaries can be associated with at least one third of reduced travel distances and therefore travel times (Urban Land Institute, 1999). Communities planned according to a balanced jobs to housing balance can also contribute to reducing the size of urbanized areas as well as greater efficiency of public infrastructure and services provided. The jobs-housing ratio is a planning tool that local governments can use to achieve a balance between the number of jobs and households in their jurisdiction. It is a planning technique rather than a regulatory tool. Nonetheless, the concept can be applied in local land use regulations and large scale (including city-wide) development reviews. Jobs-housing techniques are best developed not in isolation, but rather as part of another study or program, such as smart growth efforts, housing task forces or reports, economic development efforts, general growth forecasting studies, or transportation plans. It is also most cost-efficient to undertake a jobs-housing analysis as a part of another study or planning effort. Jobs-housing balance should be considered a mid- to long-range goal that the community can achieve incrementally through various local actions over time. A jobs-housing balance strategy is a primary method to support regional transportation and development goals.

Other organizations or agencies that use this indicator The Global City Indicators Facility is currently implementing this indicator. The indicator is used in numerous city planning departments both in developed and developing metropolis.

114

(continued)

64 Days to obtain a business license Topic:

Sub-Topic:

Competitiveness of the economy

Business and investment regulations

Definition Time required to obtain an initial business license (not total time required to open a business)

Methodology Time is recorded in calendar days. The time span starts with the first filing of the application or request, and ends once the company has received the business license (e.g., it includes the time to make an appointment with a notary, or any waiting time once the documents are filed). It is assumed that the entrepreneur has had no prior contact with any of the officials. The minimum time for a procedure is one day. (Based on Doing Business “The Business Start-up Process Definitions” http://www.doingbusiness.org/~/media/GIAWB/ Doing%20Business/Documents/Methodology/Survey-Instruments/DB2013/Starting_survey_en.pdf.)

Benchmarks Green

Yellow

Red

< 12

12–20

> 20

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale High start-up costs are in many cases the most significant barrier to starting a new business and/or to becoming a formal one, and they usually affect small and medium enterprises (SMEs) to a greater extent. High start-up costs limit entrepreneurship, innovation, and formality.

Other organizations or agencies that use this indicator The costs of entry sub-index of the Municipal Competitiveness Index of El Salvador (USAID) uses “Time to emit operations permits (days)” (in addition to “time to wait for other permits related to the business (days),” “effective wait for the business to commence operating (days),” and other indicators). The Global Competitiveness Report (World Economic Forum) uses “time required to start a business” in addition to “number of procedures required to start a business.” The Ease of Doing Business Index (International Finance Corporation and the World Bank) uses “days to start a business.”

115

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence of a logistics platform Topic:

Sub-Topic:

Competitiveness of the economy

Strategic management of infrastructure

Definition The city provides specialized facilities exclusively to logistics operators in diverse activities.

Methodology A logistics platform is a defined area within which all activities relating to transport, logistics, and the distribution of goods, both for national and international transit, are carried out by various operators. It is run by a single body, either public or private, and is equipped with all the public facilities to carry out the above-mentioned operations. In other words, a logistics platform can be defined as a specialized area with the infrastructure and services required for co-modal transportation and added value services, where different agents coordinate their activities to benefit the competitiveness of the products making use of the infrastructure. It is important to distinguish between different types of logistic platforms according to their operative complexity and operational integration: 1. Unimodal distribution centers 2. Logistic areas 3. Multimodal platforms Unimodal distribution centers are infrastructures operating as storage facilities, largely aimed at the management of product flows and associated stocks. These infrastructures can be operated by one or several firms and do not necessarily involve joint operations. This type of infrastructure is typically unimodal and primarily concerned with road transport. Logistic areas involve more integrated operations, with stock consolidation, local, and redirectioning activities. These infrastructures include traffic concentration and freight division points for switching to different modes of transport. These areas evidently include at least two modes of transport, enabling geographical (or distribution) postponement and cross-docking activities. Typical examples are air or maritime freight centers. Finally, multimodal logistic platforms are logistic nodes connecting different modes of transport, emphasizing added value services and not the specific transport modality used. These infrastructures are also known as hubs, which are usually linked to ports to make the most of scale economies on international routes. Their nodal function includes not only transport-related activities but also national and international logistics and distribution. They are generally run by several operators. Due to the large volumes handled and their excellent locations, they enable the implementation of nearly all the different postponement strategies (geographic, manufacture, and assembly). (Based on CEPAL, â&#x20AC;&#x153;Logistic platforms: conceptual elements and the role of the public sectorâ&#x20AC;? and European Association of Freight Villages EUROPLATFORMS.)

Benchmarks Green

Yellow

Red

There is a logistics platform designed and implemented for maritime, air, and land transport.

A logistics platform has been designed for at least one type of transport (maritime, air, or land).

No logistics platform has been designed. (continued on next page)

116

65 Existence of a logistics platform Rationale

(continued)

As a result of enormous changes in the global economy in general and in the production and distribution systems in particular, the very concept of logistics has been altered. Logistics are now a key factor for industrial and commercial competitiveness. Integral logistics, defined as the synchronization of multiple organizations involved in the logistic and transport chain, have given rise to complex logistic systems based on process synchronization and information feedback, leading to multi-modal transport methods. They are defined according to freight characteristics, time, distance, and geography, and make the most of each mode of transport to benefit the freight’s competitiveness. In this respect, logistic platforms have been of the utmost importance, not only in helping to solve port congestion problems, but also in facing the challenges of postponement and cross-docking strategies aimed at minimizing total logistic costs, and in tackling the growing volatility of consumer markets, where integration with air transport is fundamental for products with greater added value or very short shelf-lives. This type of infrastructure also enables the use of agglomeration economies in relation to the services required by platform operators, and helps to reduce transport externalities such as congestion and pollution. Significant progress has been made in the development of infrastructure and its productivity in Latin America and the Caribbean, increasing the respective quality and efficiency standards. There is, however, a pending challenge which is of key importance for exporters: ensuring high-quality logistic services which support a country’s competitiveness by effectively reducing logistic and transport costs.

Detailed Descriptions

Detailed Descriptions of the Indicators

(Based on CEPAL 2009: “Logistic platforms: conceptual elements and the role of the public sector.”)

Other organizations or agencies that use this indicator ---

117

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

GDP per capita of the city Topic:

Sub-Topic:

Competitiveness of the economy

Gross product

Definition Per capita measurement of economic performance. GDP of the city divided by population of the city. The GDP of the city is the total product of the city as defined in national accounts procedures. It may be taken as the total income or valueadded (wages plus business surplus plus taxes plus imports) or the total final demand (consumption plus investment plus exports). The city product expressed in current US dollars (the numerator) divided by the city population (the denominator), expressed in US dollars. (Based on GCIF indicator description for “City product per capita.”)

Methodology The annual city product is calculated using one of two methods:

• Method A consists of taking the national product in each industry sector (SITC standard industry classification) and •

then multiplying it by the differential wage rates at the city level, for each industry sector. This method is used when employment by industry sector is known. Method B consists of using the city household income figures and multiplying by the ratio of gross national product (GNP) to total household income at the national level. This method assumes that the ratio of GNP to household income is the same at the city and national level. So far, this method has been used in most of the UN-HABITAT city indicator reports.

Method A is considered preferable. The method used in calculating the city product should be clearly noted on the result. The city product is then converted into US dollars and divided by the current population of the city to give a per capita figure, expressed in US dollars. To make the conversion from local currency, use the rates posted by the US Federal Reserve Bank: http://www.ny.frb.org/markets/foreignex.html. This indicator is dependent on the agency of each national government charged with the responsibility of collecting relevant GNP data, and the precise nature of the data available at each city level. (Based on GCIF indicator description for “City product per capita.”)

Benchmarks Green

Yellow

Red

> $9,000

$3,000–$9,000

< $3,000 (continued on next page)

118

66 GDP per capita of the city Rationale

(continued)

GDP per capita is a measure of market-value productivity and residents’ income, and can indicate residents’ abilities to purchase goods and services that may enhance their quality of life. The Global Competitiveness Report places countries into three stages of development: factor-driven (including three countries from the LAC region: Bolivia, Haiti, and Nicaragua), efficiency-driven (including nine LAC countries), and innovation-driven (no LAC countries), as well as two transitional stages (five LAC countries are in the transition from stage 1 to stage 2, and seven LAC countries are in the transition from stage 2 to stage 3). With the exception of countries highly dependent on mineral resources, these classifications are based on GDP per capita, as follows: Factor-driven stage (1), <$2,000; Transition from stage 1 to stage 2: $2,000–$2,999; Efficiency-driven stage (2), $3,000–$8,999; Transition from stage 2 to stage 3, $9,000–$17,000; Innovation-driven stage (3), >$17,000. Given that the greatest number of LAC countries are in the efficiency-driven stage, with the others mostly in the transition into or out of this phase, the benchmarks used here are based on the divisions between these categories, with green indicating a city with or transitioning to an innovation-driven economy, yellow indicating an efficiency-driven economy, and red indicating an economy that is still at least partially factor-driven.

Detailed Descriptions

Detailed Descriptions of the Indicators

Other organizations or agencies that use this indicator GCIF; UN-HABITAT; Asian Development Bank; EuroStat Urban Audit; Global Competitiveness Report (World Economic Forum)

119

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Average annual unemployment rate Topic:

Sub-Topic:

Employment

Unemployment

Definition The total number of unemployed persons, divided by the total labor force. The unemployment rate is the percentage of the labor force that actively seeks work but is unable to find work at a given time.

Methodology The number of working-age city residents who during the survey reference period were available for work and seeking work, but were not in paid employment or self-employment, is divided by the number of people above the age specified for measuring the labor force. Discouraged workers—persons who are not actively seeking work because they believe the prospects of finding it are extremely poor—are not counted as unemployed or as part of the labor force. (Based on GCIF indicator description for “City unemployment rate.”)

Benchmarks Green

Yellow

Red

< 7%

7–12%

> 12%

Rationale The unemployment rate is a key indicator of the health of the economy and of society more generally. When economic growth is strong, the unemployment rate tends to be low. When the economy is stagnating or in recession, unemployment tends to be higher. High unemployment often leads to a low quality of life for the population and increased crime rates.

Other organizations or agencies that use this indicator GCIF; World Bank (countries); Bureau of Labor Statistics (US metropolitan areas)

120

68 Informal employment as a percentage of total employment Topic:

Sub-Topic:

Employment

Informal employment

Definition The percentage of the economically active population engaged in informal employment as defined by the International Labour Organization

Methodology This data is usually collected through labor force surveys. According to the International Labour Organization, “informal employment comprises the total number of informal jobs as defined in subparagraphs (2) to (5) below, whether carried out in formal sector enterprises, informal sector enterprises, or households, during a given reference period. (2) As shown in the matrix below, informal employment includes the following types of jobs: i. own-account workers employed in their own informal sector enterprises (cell 3); ii. employers employed in their own informal sector enterprises (cell 4); iii. contributing family workers, irrespective of whether they work in formal or informal sector enterprises (cells 1 and 5); iv. members of informal producers’ cooperatives (cell 8); v. employees holding informal jobs (as defined in subparagraph (5) below) in formal sector enterprises, informal sector enterprises, or as paid domestic workers employed by households (cells 2, 6 and 10); vi. own-account workers engaged in the production of goods exclusively for own final use by their household (cell 9), if considered employed according to paragraph 9(6) of the resolution concerning statistics of the economically active population, employment, unemployment and underemployment adopted by the 13th ICLS.

Detailed Descriptions

Detailed Descriptions of the Indicators

(3) Own-account workers, employers, members of producers’ cooperatives, contributing family workers, and employees are defined in accordance with the latest version of the International Classification of Status in Employment (ICSE). (4) Producers’ cooperatives are considered informal if they are not formally established as legal entities and also meet the other criteria of informal sector enterprises specified in the resolution concerning statistics of employment in the informal sector adopted by the 15th ICLS. (5) Employees are considered to have informal jobs if their employment relationship is, in law or in practice, not subject to national labor legislation, income taxation, social protection or entitlement to certain employment benefits (advance notice of dismissal, severance pay, paid annual or sick leave, etc.). The reasons may be the following: non-declaration of the jobs or the employees; casual jobs or jobs of a limited short duration; jobs with hours of work or wages below a specified threshold (e.g. for social security contributions); employment by unincorporated enterprises or by persons in households; jobs where the employee’s place of work is outside the premises of the employer’s enterprise (e.g. outworkers without employment contract); or jobs for which labor regulations are not applied, not enforced, or not complied with for any other reason. The operational criteria for defining informal jobs of employees are to be determined in accordance with national circumstances and data availability. (6) For purposes of analysis and policy-making, it may be useful to disaggregate the different types of informal jobs listed in paragraph 3(2) above, especially those held by employees. Such a typology and definitions should be developed as part of further work on classifications by status in employment at the international and national levels. 4. Where they exist, employees holding formal jobs in informal sector enterprises (cell 7 of the attached matrix) should be excluded from informal employment. (continued on next page)

121

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Methodology

5. Informal employment outside the informal sector comprises the following types of jobs:

(continued)

Detailed Descriptions

Informal employment as a percentage of total employment i. employees holding informal jobs (as defined in paragraph 3(5) above) in formal sector enterprises (cell 2) or as paid domestic workers employed by households (cell 10); ii. contributing family workers working in formal sector enterprises (cell 1); iii. own-account workers engaged in the production of goods exclusively for own final use by their household (cell 9), if considered employed according to paragraph 9(6) of the resolution concerning statistics of the economically active population, employment, unemployment and underemployment adopted by the 13th ICLS. 6. Countries which do not have statistics on employment in the informal sector or for which a classification of employment by type of production unit is not relevant, may develop statistics on informal employment, if desired, specifying appropriate definitions of informal jobs of own-account workers, employers and members of producers’ cooperatives. Alternatively, they may limit the measurement of informal employment to employee jobs.” Jobs by status in employment Own-account workers Production units by type Formal sector enterprises Informal sector enterprisesa Householdsb a b

Informal

Formal

Employers

Informal

Formal

Contributing family workers

Employees

Members of producer’s cooperatives

Informal 1

Informal 2

Formal

Informal

Formal

s defined by the Fifteenth International Conference of Labour Statisticians (excluding households employing paid domestic workers). A Households producing goods exclusively for their own final use and households employing paid domestic workers.

Note: Cells shaded in green refer to jobs, which, by definition, do not exist in the type of production unit in question. Cells shaded in orange refer to formal jobs. Un-shaded cells represent the various types of informal jobs.

Informal employment:

Cells 1 to 6 and 8 to 10.

Employment in the informal sector:

Cells 3 to 8.

Informal employment outside the informal sector:

Cells 1, 2, 9 to 10.

(Based on International Labour Organization, “Guidelines concerning a statistical definition of informal employment,” http://www.ilo.org/global/statistics-and-databases/standards-and-guidelines/guidelines-adopted-by-internationalconferences-of-labour-statisticians/WCMS_087622/lang--en/index.htm) (continued on next page)

122

68 Informal employment as a percentage of total employment Benchmarks

(continued)

Green

Yellow

Red

< 20%

20â&#x20AC;&#x201C;35%

> 35%

Rationale Informality is closely linked with jobs of bad quality, high risks, and insufficient social protection. It may also impede governmentsâ&#x20AC;&#x2122; ability to collect taxes and enforce other regulations.

Other organizations or agencies that use this indicator ILO; OECD

Detailed Descriptions

Detailed Descriptions of the Indicators

123

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Fixed broadband Internet subscriptions per 100 residents Topic:

Sub-Topic:

Connectivity

Internet

Definition Number of fixed-access Internet subscriptions (for every 100 residents) with speeds of 256 kbit/s or greater. These include DSL, fiber optic, and cable modem fixed connections, and exclude mobile phone connections.

Methodology This information is usually available from Internet service providers.

Benchmarks Green

Yellow

Red

> 15%

7–15%

< 7%

Rationale Broadband has a multiplicative effect on GDP, productivity, and employment. According to a recent study of 26 Latin American and Caribbean countries by the IDB, on average, an increase of 10% in the number of broadband subscriptions per 100 inhabitants increases GDP by 3.19%, productivity by 2.61%, and employment by 67,016 jobs. As one of the core ICT indicators, the measurement of the fixed broadband subscription indicator provides the baseline information for the municipality to assess its connectivity environment in terms of infrastructure, affordability, access, use, and opportunities for interventions to leverage the benefits of higher broadband adoption. (Based on Antonio García Zaballos & Rubén López-Rivas, “Socio-economic impact of broadband in LAC countries,” IDB, 2003.)

Other organizations or agencies that use this indicator The ITU and Global Competitiveness Report (World Economic Forum) use “Fixed broadband subscriptions (per 100 inhabitants).” The World Bank uses “Fixed broadband Internet subscribers (per 100 people).” GCIF uses “Number of internet connections per 100,000 population.”

124

70 Mobile broadband Internet subscriptions per 100 residents Topic:

Sub-Topic:

Connectivity

Internet

Definition Number of mobile devices (such as cell phones, tablets, and smartphones) with a data subscription plan to access the Internet with speeds of 256 kbit/s or greater, per 100 people. This excludes mobile subscriptions via data cards or USB modems.

Methodology This information is usually available from Internet service providers.

Benchmarks Green

Yellow

Red

> 20%

10–20%

< 10%

Rationale

Detailed Descriptions

Detailed Descriptions of the Indicators

Broadband has a multiplicative effect on GDP, productivity, and employment. According to a recent study of 26 Latin American and Caribbean countries by the IDB, an increase of 10% in the number of broadband subscriptions per 100 inhabitants provokes, on average, increases in GDP of 3.19%, in productivity of 2.61%, and in employment of 67,016 jobs. Although Latin America and the Caribbean (LAC) has a high penetration of mobile phones, mobile broadband subscription is still very low. The majority of people use cellular phones to place voice calls, but still do not use them to access the Internet. The measurement of mobile broadband subscription and its evolution will allow each municipality to assess its mobile broadband adoption compared to its mobile phone adoption and then identify issues (affordability and coverage) and opportunities for interventions, usage, and growth. (Based on Zaballos, Antonio García and Rubén López-Rivas, “Socio-economic impact of broadband in LAC countries,” IDB, 2003.)

Other organizations or agencies that use this indicator Global Competitiveness Report (World Economic Forum). The ITU uses “standard mobile subscriptions with use of data communications at broadband speeds.” The OECD uses “wireless broadband subscription.” In the LAC region, data is only available for Mexico.

125

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Mobile cellular phone subscriptions per 100 residents Topic:

Sub-Topic:

Connectivity

Internet

Definition Number of mobile cellular phone subscriptions for every 100 residents. (This includes pre-paid and post-pay subscriptions.)

Methodology This information is usually available from mobile service providers.

Benchmarks Green

Yellow

Red

> 90%

60–90%

< 60%

Rationale From 2002 to 2010, the average mobile telephone penetration in the LAC region increased fivefold and is now over 90%. Although the LAC region has a high level of mobile cell phone subscriptions, these are mostly used to place voice-only calls. However, there is a huge opportunity to increase LAC broadband connectivity penetration if these cell phones are used for “voice and data” as well. The measurement of mobile cell phone subscription and its evolution will allow each municipality to assess its mobile cellular phone adoption compared to its mobile broadband adoption and then identify issues and opportunities for interventions, usage, and growth.

Other organizations or agencies that use this indicator The World Bank, ITU, Global Competitiveness Report (World Economic Forum), and United Nations Millennium Development Goals use mobile cellular subscriptions (per 100 people). GCIF uses number of cell phone connections per 100,000 population.

126

72 Adult literacy rate Topic:

Sub-Topic:

Education

Quality of education

Definition Percentage of the adults 15 years and older (unless defined otherwise by the country) in the city who can, with understanding, read and write a short, simple statement about their everyday life

Methodology Literacy data may be derived from population censuses, household surveys, and literacy surveys. Total population is derived from national censuses or sample surveys. However, not all censuses or surveys include specific questions for assessing literacy. In some countries where literacy questions are not included, a person’s educational attainment (years of schooling completed) is used to assess literacy status. A common practice is to consider those with no schooling as illiterate and those who have attended grade 5 of primary school as literate. Many household surveys, including the Multiple Indicator Cluster Surveys, Demographic and Health Surveys, Core Welfare Indicators Questionnaire Surveys in Africa, and Living Standards Measurement Studies, collect literacy data that can provide complementary data for countries without a recent census. However, definitions are not necessarily standardized.

Detailed Descriptions

Detailed Descriptions of the Indicators

The usual method of computation is to divide the number of people ages 15 and over who are literate by the total population in the same age group and then multiply the total by 100. Since literacy data are not always available for all countries and all censuses, the United Nations Educational, Scientific and Cultural Organization (UNESCO) Institute for Statistics uses modeling techniques to produce annual estimates based on literacy information obtained from national censuses and surveys. Measurements of literacy can vary from simply asking “Do you know how to read and write?” to testing for literacy skills. In some cases, literacy is measured crudely in population censuses, either through self-declaration or by assuming that people with no schooling are illiterate. This causes difficulty for international comparisons. Comparability over time, even for the same survey, may also be a problem because definitions of literacy used in the surveys are not standardized. The latest edition of the UN Principles and Recommendations for Population and Housing Censuses advises countries against adopting a proxy measurement based on educational attainment. It recommends that literacy questions be administered as part of national censuses and household surveys, or as part of a post-census sample enumeration. (Based on United Nations Human Settlements Programme, Urban Indicators Guidelines, 2004, p.18, “Indicator 10: Literacy Rate.”)

Benchmarks Green

Yellow

Red

> 95%

90–95%

< 90% (continued on next page)

127

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Adult literacy rate

128

Rationale Literacy is one of the major goals of primary education. This skill is a prerequisite to most other types of learning and a basic factor in the ability to function in modern society, especially in urban areas. Literacy provides independence and greatly affects the ability to understand and communicate. It improves the ability to make decisions, from understanding product labels to voting, and can result in improvements in other aspects of quality of life, such as health and income. According to a UNESCO study, The Social and Economic Impact of Illiteracy, the loss of productivity (labor income) generated by illiteracy is high enough that its eradication should be considered not only a social goal but an economic priority that brings net benefits by generating its own financial resources. Therefore, the eradication of illiteracy should be considered an investment rather than a cost. (Based on Martínez, Rodrigo and Andrés Fernández, The Social and Economic Impact of Illiteracy, ECLAC-UNESCO, 2010.)

Other organizations or agencies that use this indicator World Bank; Human Development Index (United Nations Development Program); Asian Development Bank; African Development Bank; UN-HABITAT; UNESCO Institute for Statistics; the Millennium Development Goals (United Nations) use the literacy rates of 15–24-year-olds.

72 (continued)

73 Percentage of students passing standardized reading tests Topic:

Sub-Topic:

Education

Quality of education

Definition Percentage of students in grade x in primary school with a passing/satisfactory grade on national (or state) standardized reading achievement tests, disaggregated by gender

Methodology The number of students who received a satisfactory or passing grade in a given grade on a given standardized reading achievement test is divided by the total number of students in the given grade who received a score on the test. This is done for the total students, male students, and female students. Specific international benchmarks do not exist for this indicator because the results can only be viewed as relative to those of others who took the same test (that is, a higher score in one country could simply indicate an easier test). In this sense, national standardized tests are preferable to state or provincial tests, and local standardized tests should only be used as a last resort—and then with caution.

Benchmarks Green

Yellow

Red

Similar to that of exemplary cities in the country (whose students took the same test)

Similar to that of peer cities in the country (whose students took the same test)

Lower than that of peer cities in the country (whose students took the same test)

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Currently, standardized test scores are one of the most widely used indicators in education. However, care must be taken when using this measure as an indicator of the quality of education provided by schools. In reality, standardized tests measure three things: what students learn in school, what students learn outside of school, and students’ natural intellectual abilities. Schools only have control over one of these three important factors in students’ performance on standardized exams. It may be better to think of standardized test performance as an indicator of academic achievement (i.e., what the student knows), attributable to various factors, rather than as an indicator of the quality of a particular educational institution. Furthermore, since it is only possible to test a small amount of a student’s total knowledge, much of the students’ performance on the exams related to what schools can influence depends on the alignment of the school’s curriculum with the specific questions on the test. One of the benefits of focusing on math and reading tests as opposed to tests of other subjects is that these are basic, widely applicable skills that vary less depending on the curriculum. Disaggregating the scores by gender can help identify gender gaps in education. (Based on Foley, Ellen et al., Beyond Test Scores: Leading Indicators for Education, Annenberg Institute for School Reform at Brown University, http://annenberginstitute.org/pdf/LeadingIndicators.pdf and Popham, James W. “Why Standardized Tests Don’t Measure Educational Quality,” Educational Leadership: Using Standards and Assessments, Vol. 53, No. 6, March 1999. http://www.ascd.org/publications/educational-leadership/mar99/vol56/num06/Why-Standardized-TestsDon’t-Measure-Educational-Quality.aspx.)

Other organizations or agencies that use this indicator GCIF is currently discussing the use of “performance on standardized tests” as a future indicator.

129

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Percentage of students passing standardized math tests Topic:

Sub-Topic:

Education

Quality of education

Definition Percentage of students in grade x in primary school with a passing/satisfactory grade on national (or state) standardized math achievement tests, disaggregated by gender

Methodology The number of students who received a satisfactory or passing grade in a given grade on a given standardized math achievement test is divided by the total number of students in the given grade who received a score on the test. This is done for the total students, male students, and female students. Specific international benchmarks do not exist for this indicator because the results can only be viewed as relative to others who took the same test (that is, a higher score in one country could simply indicate an easier test). In this sense, national standardized tests are preferable to state or provincial tests, and local standardized tests should only be used as a last resort, and then with caution.

Benchmarks Green

Yellow

Red

Similar to that of exemplary cities in the country (whose students took the same test)

Similar to that of peer cities in the country (whose students took the same test)

Lower than that of peer cities in the country (whose students took the same test)

Other organizations or agencies that use this indicator GCIF is currently discussing the use of “performance on standardized tests” as a future indicator.

130

75 Student–teacher ratio Topic:

Sub-Topic:

Education

Quality of education

Definition The number of enrolled primary school students (the numerator), divided by the number of full-time equivalent primary school classroom teachers (the denominator), expressed as a ratio Primary school refers to elementary school, generally for children ages six to twelve years, or first grade through fifth grade, though in some school systems it may extend to sixth grade.

Methodology The annual number of full-time equivalent (FTE) primary (elementary) school classroom teachers and the number of enrolled primary (elementary) school students is collected from the local public school system or ministry of education. If the geographies of the school districts and the city are different, best judgment should be used to relate student and teacher data to the city boundaries.

Detailed Descriptions

Detailed Descriptions of the Indicators

One part-time student enrolment should be counted as one full-time enrolment; in other words, a student who attends school for half a day may be counted as a full-time enrolment. If a city elects to report FTE enrolment (where two half-day students equal one full student enrolment), this should be noted. The number of classroom teachers and other instructional staff (e.g., teachers’ aides, guidance counselors) should not include administrators or other nonteaching staff. Kindergarten or preschool teachers and staff should not be included. Count the number of teachers in fifth-time increments. For example, if known, count a teacher working one day per week as 0.2 teachers, and count a teacher working three days per week as 0.6 teachers. The student figure should then be divided by the staff figure and the result expressed as a ratio.

Benchmarks Green

Yellow

Red

< 15:1

Between 15:1 and 25:1

> 25:1

Rationale The student–teacher ratio is an indicator of the adequacy of teacher availability and the strength and quality of an education system. Limiting the measure to primary school ratios will simplify data collection and reporting. The proposed definition does not include private educational facilities, which may be important in some cities. However, at the country level, the inclusion of data for public and private sectors of education in the same indicator has no appreciable effect on student–teacher ratios. The student–teacher ratio reflects teacher workload and the availability of teachers’ services to their students. The lower the student–teacher ratio, the higher the availability of teacher services to students. The student–teacher ratio has implications not only for the cost of education, but also for the quality. Higher educational attainment is correlated with a lower student–teacher ratio. (Based on GCIF indicator description for “Student/teacher ratio.”)

Other organizations or agencies that use this indicator GCIF; FCM; International Center for Education Statistics; UNESCO; Montreal; Toronto; Vancouver; Bogota

131

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Percentage of three- to five-year-olds receiving comprehensive early childhood development services Topic:

Sub-Topic:

Education

Attendance

Definition Percentage of the population from three to five years old receiving comprehensive early childhood development services

Methodology The number of three- to five-year-olds receiving comprehensive early childhood development services is divided by the total population of three- to five-year-olds. Early childhood care and education programs are characterized by a large number of management structures or dependencies and modalities (formal or non-formal). With regard to the public sector, a wide variety of programs exist, directed by ministries of health, labor, social welfare, the family, and education, or by bodies responsible for early childhood policy. Many other initiatives relating to this educational phase are run by private companies, religious institutions, non-governmental organizations, and international cooperation agencies. Countries’ laws regarding early childhood education vary. For a summary of these laws and action plans by Latin American country, please see pages 33 and 93–95, respectively, of UNESCO’s 2010 report Early Childhood Care and Education Regional Report: Latin America and the Caribbean. http://portal.unesco.org/geography/en/ev.php-URL_ID=13512&URL_ DO=DO_TOPIC&URL_SECTION=201.html

Benchmarks Green

Yellow

Red

> 80%

60–80%

< 60%

Rationale Physical and emotional care at an early age has long-term and decisive effects on children’s development, including the development of their capacity to learn and to manage their emotions. Children who grow up in environments with a risk of malnutrition, abuse, mistreatment, violence, stress, and/or lack of stimulation are consequently affected by conditions that have a negative effect on their ability to learn, and thus on their ability to achieve good results in school as well as with more complex social, emotional, and intellectual skills that are important for their full and comprehensive insertion into society. Policies and legal frameworks in most countries in the region clearly reflect an understanding of the importance of the educational component during early childhood, and the assumption that learning begins at birth, recognizing the preventive and compensatory effect of addressing challenges in learning and development, including educational and social disadvantages. Initial, preschool, or early childhood education takes in the period of care and education of children under the age of six occurring outside of the family environment. This includes wide-ranging types of care and education addressing the needs of children from their first weeks of life through to their entry into primary school. According to UNESCO, in 2007 the gross enrollment ratio of children three to five years of age was 65% in Latin America (yellow benchmark) and 80.9% in North America and Europe (green benchmark). (UNESCO, Early Childhood Care and Education Regional Report: Latin America and the Caribbean, 2010.)

Other organizations or agencies that use this indicator Digest of Education Statistics (National Center for Education Statistics, United States). TransMonEE uses children in early childhood care (gross ratio, percent of children aged 0–2) and pre-primary education enrollment (net rates, percent of population aged 3–6) for Eastern European countries.

132

77 Percentage of six- to eleven-year-olds enrolled in school Topic:

Sub-Topic:

Education

Attendance

Definition Percentage of the population from six to eleven years old that is enrolled in school

Methodology The number of six- to eleven-year-olds enrolled in school is divided by the total population of six- to eleven-year-olds. It is important that the population in the numerator refers to the same population as that in the denominator (that is, the numerator refers to six- to eleven-year-olds who reside in the municipality and are enrolled in school, and the denominator refers to all six- to eleven-year-olds who reside in the municipality). Thus, the value for this indicator should never exceedÂ 100%. Any deviation from this definition must be clearly noted, as it has crucial implications for the interpretation of the data.

Benchmarks Green

Yellow

Red

> 98%

95â&#x20AC;&#x201C;98%

< 95%

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale The benefit of using this indicator is that it shows the percentage of six- to eleven-year-olds who are enrolled in school; that is, it reveals the percentage of children who are in school at an age when they should be in school. In contrast, dividing the number of students of any age enrolled in primary school by the six- to eleven-year-old population can be very misleading, because, for example, the resultant percentage could beÂ 100% (or more), when it is possible that not every (or even not any) child between six and eleven years of age is enrolled in school. This is a typical problem in places where children do not attend school consistently throughout their childhood, and as a result, older students and adults occupy seats in primary school while many primary-school-aged children still do not attend school.

Other organizations or agencies that use this indicator GCIF uses the percentage of school-aged population enrolled in school. The Global Competitiveness Report (World Economic Forum) uses the net primary education enrollment rate.

133

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Percentage of 12- to 15-year-olds enrolled in school Topic:

Sub-Topic:

Education

Attendance

Definition Percentage of the population from 12 to 15 years old that is enrolled in school

Methodology The number of 12- to 15-year-olds enrolled in school is divided by the total population of 12- to 15-year-olds. It is important that the population in the numerator refers to the same population as that in the denominator (that is, the numerator refers to 12- to 15-year-olds who reside in the municipality and are enrolled in school, and the denominator refers to all 12- to 15-year-olds who reside in the municipality). Thus, the value for this indicator should never exceed 100%. Any deviation from this definition must be clearly noted, as it has crucial implications for the interpretation of the data.

Benchmarks Green

Yellow

Red

> 98%

95–98%

< 95%

Rationale The benefit of using this indicator is that it reveals precisely what percent of 12- to 15-year olds are enrolled in school. High values for indicators that divide the number of students of any age in a particular level of schooling often belie flow problems.

Other organizations or agencies that use this indicator GCIF uses “percentage of school-aged population enrolled in school.” Global Competitiveness Report (World Economic Forum) uses “net secondary education enrollment rate.”

134

79 Percentage of 16- to 18-year-olds enrolled in school Topic:

Sub-Topic:

Education

Attendance

Definition Percentage of the population from 16 to 18 years old that is enrolled in school

Methodology The number of 16- to 18-year-olds enrolled in school is divided by the total population of 16- to 18-year-olds. It is important that the population in the numerator refers to the same population as that in the denominator (that is, the numerator refers to 16- to 18-year-olds who reside in the municipality and are enrolled in school, and the denominator refers to all 16- to 18-year-olds who reside in the municipality). Thus, the value for this indicator should never exceed 100%. Any deviation from this definition must be clearly noted, as it has crucial implications for the interpretation of the data. Data on school enrollment are usually recorded by the ministry of education or derived from surveys and censuses. If administrative data are not available, household survey data may be used, although household surveys usually measure self-reported attendance rather than enrollment as reported by schools. Among international surveys, Multiple Indicator Cluster Surveys and Demographic and Health Surveys (and sometimes also Living Standards Measurement Studies and Core Welfare Indicators Questionnaire Surveys in Africa) provide school attendance data.

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

> 80%

60–80%

< 60%

Rationale The benefit of using this indicator is that we know precisely what percent of 16- to 18-year-olds are enrolled in school.

Other organizations or agencies that use this indicator IDB’s Sociómetro uses the percentage of 16- to 18-year-olds attending secondary school. The World Bank uses the percentage of net secondary school enrollment (ratio of children of the official secondary school age who are enrolled in secondary school to the population of the official secondary school age). GCIF uses “percentage of school-aged population enrolled in school.” Global Competitiveness Report (World Economic Forum) uses “net primary education enrollment rate.”

135

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

University seats per 100,000 people Topic:

Sub-Topic:

Education

Higher education

Definition Number of university seats for every 100,000 residents

Methodology This indicator is calculated using the following formula: (Total number of seats at higher education institutions in the city)/(City population/100,000)

Benchmarks Green

Yellow

Red

> 5,000

2,500–5,000

< 2,500

Rationale This is an indicator of the capacity of the city to attend to its population’s higher education needs. People are more likely to study at the university level if they can attend universities within their own city.

Other organizations or agencies that use this indicator GCIF uses the number of higher education degrees per 100,000 population. The World Bank uses % gross tertiary school enrollment (total enrollment in tertiary education, regardless of age, expressed as a percentage of the total population of the five-year age group following on from secondary school leaving).

136

81 Homicide rate (per 100,000 residents) Topic:

Sub-Topic:

Security

Violence

Definition Annual number of homicides for every 100,000 residents

Methodology The data collector should note whether the statistic used includes non-intentional homicide. Intentional homicide refers to death deliberately inflicted on a person by another person, including infanticide. Non-intentional homicide refers to death non-deliberately inflicted on a person by another person. This includes manslaughter but excludes traffic accidents that result in the death of a person. This is the definition used by the United Nations Statistics Division. The IDB defines homicide as intentional injury inflicted on one person by another that results in death. The data may be obtained from the police or other law enforcement agencies. Information may also be checked with security experts and NGOs dealing with human rights. Homicides are not always accurately reported by the police. In particular, domestic homicides are sometimes reported as suicides or accidents.

Detailed Descriptions

Detailed Descriptions of the Indicators

(Based on GCIF indicator description for “Number of homicides per 100,000 population.”)

Benchmarks Green

Yellow

Red

< 10

10–25

> 25

Rationale Crime rates provide useful information about the level of security in a city, though they can be difficult to compare because of differences between the definitions of homicide used in different countries, or even within the same country, and because there may be a difference between official figures and reality. In this sense, the homicide rate is one of the best security indicators because homicide is more likely to be reported than other crime, since it involves someone’s death (although whether a death is reported as a homicide may vary). Homicides, as well as other violent crimes, have a very significant negative impact on sustainable development. The phenomenon of crime compromises human dignity, creates a climate of fear, and erodes the quality of life. This indicator can also be used as a measure of adherence to the rule of law, a component of good governance. (Based on United Nations, “Indicators of Sustainable Development: Guidelines and Methodologies,” Third Ed., 2007, p. 51.)

Other organizations or agencies that use this indicator UN-HABITAT (includes intentional and non-intentional homicide); United Nations Office on Drugs and Crime (UNODC) uses intentional homicide per 100,000 (for countries and largest city in the country), sourced from United Nations Surveys on Crime Trends and the Operations of Criminal Justice Systems, the World Health Organization, the PanAmerican Health Organization, Eurostat, Interpol, national statistics offices, and national police. The World Bank uses intentional homicide (per 100,000 people) at the country level. Intentional homicide (per 100,000 people) is also a core indicator of the United Nations Commission on Sustainable Development.

137

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Percentage of women who have suffered physical violence from an intimate partner or ex-partner in the last 12 months Topic:

Sub-Topic:

Security

Violence

Definition Number of ever-partnered women between 15 and 49 years old who have suffered physical violence from an intimate partner or ex-partner in the last 12 months/Total number of ever-partnered women between 15 and 49 years old, expressed as a percentage

Methodology This information is collected through surveys, not police reports. Intimate partners are defined as current or former spouses, boyfriends, and girlfriends. Physical violence is defined as the intentional use of physical force with the potential for causing death, disability, injury, or harm. Physical violence includes, but is not limited to: scratching; pushing; shoving; throwing; grabbing; biting; choking; shaking; slapping; punching; burning; use of a weapon; and use of restraints or one’s body, size, or strength against another person. Sexual violence and threats are excluded. “Ever-partnered” is usually defined as ever married, ever having lived with a man, or ever having had a regular sexual partner. (Based on the Centers for Disease Control definition for physical violence, from “Intimate Partner Violence: Definitions,”http://www.cdc.gov/ViolencePrevention/intimatepartnerviolence/definitions.html; and World Health Organization, WHO Multi-Country Study on Women’s Health and Domestic Violence against Women, http://www.who.int/ gender/violence/who_multicountry_study/en/index.html.)

Benchmarks Green

Yellow

Red

< 6%

6–9%

> 9%

Rationale In the United States, the costs of intimate partner rape, physical assault, and stalking exceed $5.8 billion each year, nearly $4.1 billion of which is for direct medical and mental health care services. The total costs of intimate partner violence (IPV) also include nearly $0.9 billion in lost productivity from paid work and household chores for victims of nonfatal IPV and $0.9 billion in lifetime earnings lost by victims of IPV homicide. The largest proportion of the costs is derived from physical assault victimization because that type of IPV is the most prevalent. The largest component of IPV-related costs is health care, which accounts for more than two-thirds of the total costs. (Costs of Intimate Partner Violence Against Women in the United States, Department of Health and Human Services, Centers for Disease Control and Prevention, National Center for Injury Prevention and Control, 2003, p. 2.) 1 in 4 women (24.3%) and 1 in 7 men (13.8%) aged 18 and older in the United States have been the victim of severe physical violence by an intimate partner in their lifetime (Black et al., 2011). (Centers for Disease Control definition for physical violence from “Intimate Partner Violence: Consequences,” http://www.cdc.gov/ViolencePrevention/ intimatepartnerviolence/consequences.html.) (continued on next page)

138

of women who have suffered physical violence from an intimate 82 Percentage partner or ex-partner in the last 12 months (continued)

Rationale UN Women statistics indicate that the prevalence of physical intimate partner violence is significantly higher in Latin American countries than in the United States (see http://www.unifem.org/attachments/gender_issues/violence_against_ women/vaw-pevalence-matrix-2011-es.pdf.). Intimate partner violence is associated with numerous negative physical, reproductive, psychological, and social effects, as well as negative health behaviors. (Based on Centers for Disease Control definition for physical violence from “Intimate Partner Violence: Consequences,” http://www.cdc.gov/ViolencePrevention/intimatepartnerviolence/consequences. html.)

Other organizations or agencies that use this indicator United Nations Entity for Gender Equality and the Empowerment of Women (UN Women); Centers for Disease Control and Prevention

Detailed Descriptions

Detailed Descriptions of the Indicators

139

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Percentage of women who have suffered physical violence from an intimate partner or ex-partner in their lifetime Topic:

Sub-Topic:

Security

Violence

Definition Number of ever-partnered women between 15 and 49 years old who have ever suffered physical violence from an intimate partner or ex-partner, divided by the total number of ever-partnered women between 15 and 49 years old, expressed as a percentage

Methodology This information is collected through surveys, not police reports. Intimate partners are defined as current or former spouses, boyfriends, and girlfriends. Physical violence is defined as the intentional use of physical force with the potential for causing death, disability, injury, or harm. Physical violence includes, but is not limited to: scratching; pushing; shoving; throwing; grabbing; biting; choking; shaking; slapping; punching; burning; use of a weapon; and use of restraints or one’s body, size, or strength against another person. Sexual violence and threats are excluded. “Ever-partnered” is usually defined as ever married, ever having lived with a man, or ever having had a regular sexual partner. (Based on Centers for Disease Control definition for physical violence, from “Intimate Partner Violence: Definitions,” http://www.cdc.gov/ViolencePrevention/intimatepartnerviolence/definitions.html, and World Health Organization, WHO Multi-Country Study on Women’s Health and Domestic Violence Against Women, http://www.who.int/gender/violence/who_ multicountry_study/en/index.html.)

Benchmarks Green

Yellow

Red

< 14%

14–25%

> 25%

Rationale In the United States, the costs of intimate partner rape, physical assault, and stalking exceed $5.8 billion each year, nearly $4.1 billion of which is for direct medical and mental health care services. The total costs of intimate partner violence (IPV) also include nearly $0.9 billion in lost productivity from paid work and household chores for victims of nonfatal IPV and $0.9 billion in lifetime earnings lost by victims of IPV homicide. The largest proportion of the costs is derived from physical assault victimization, because that type of IPV is the most prevalent. The largest component of IPV-related costs is health care, which accounts for more than two-thirds of the total costs. (Costs of Intimate Partner Violence Against Women in the United States, Department of Health and Human Services, Centers for Disease Control and Prevention, National Center for Injury Prevention and Control, 2003, p. 2) One in four women (24.3%) and one in seven men (13.8%) aged 18 and older in the United States have been the victim of severe physical violence by an intimate partner in their lifetime (Black et al., 2011, and Centers for Disease Control definition for physical violence, from “Intimate Partner Violence: Consequences,” http://www.cdc.gov/ ViolencePrevention/intimatepartnerviolence/consequences.html). (continued on next page)

140

of women who have suffered physical violence from an intimate 83 Percentage partner or ex-partner in their lifetime (continued)

Rationale UN Women statistics indicate that the prevalence of physical intimate partner violence is significantly higher in Latin American countries than in the United States (see http://www.unifem.org/attachments/gender_issues/violence_against_ women/vaw-pevalence-matrix-2011-es.pdf). Intimate partner violence is associated with numerous negative physical, reproductive, psychological, and social effects, as well as negative health behaviors. (Based on Centers for Disease Control definition for physical violence, from â&#x20AC;&#x153;Intimate Partner Violence: Consequences,â&#x20AC;? http://www.cdc.gov/ViolencePrevention/intimatepartnerviolence/ consequences.html.)

Other organizations or agencies that use this indicator United Nations Entity for Gender Equality and the Empowerment of Women (UN Women); US Centers for Disease Control and Prevention

Detailed Descriptions

Detailed Descriptions of the Indicators

141

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Robberies per 100,000 residents Topic:

Sub-Topic:

Security

Violence

Definition Annual number of robberies (theft with violence or threat of violence) for every 100,000 residents

Methodology “Robbery” means the theft of property from a person by overcoming resistance using force or threat of force. Where possible, the category “Robbery” should include muggings (bag-snatching) and theft with violence, but should exclude pickpocketing and extortion. Victimization surveys provide more accurate data on robbery rates than police data, since robberies are not always reported to the police. (Based on the Organization of American States Observatory on Citizen Security – Data Repository definition of robbery: http://www.oas.org/dsp/observatorio/database/indicatorsdetails.aspx?lang=en&indicator=193.)

Benchmarks Green

Yellow

Red

< 300

300–1,000

> 1,000

Rationale Violent crimes have a very significant negative impact on sustainable development. The phenomenon of crime compromises human dignity, creates a climate of fear, and erodes the quality of life. The indicator can also be used as a measure of adherence to the rule of law, a component of good governance. (Based on United Nations, Indicators of Sustainable Development: Guidelines and Methodologies, 3rd ed., 2007, p. 51.)

Other organizations or agencies that use this indicator Universidad de Chile’s Centro de Estudios en Seguridad Ciudadana suggests the use of this indicator, in “Uso de indicadores para evaluar el funcionamiento policial.” UNODC uses robbery per 100,000 population at the national level, using the number of police-recorded offenses. The FBI’s Uniform Crime Reports, based on participating law enforcement agency data, include robbery (number of offenses known per 100,000 inhabitants), including by city population size.

142

85 Larcenies per 100,000 residents Topic:

Sub-Topic:

Security

Violence

Definition Number of larcenies (non-violent thefts) for every 100,000 residents

Methodology Larceny is the unlawful taking, carrying, leading, or riding away of property from the possession or constructive possession of another. Examples are: theft of bicycles or motor vehicle parts; shoplifting; pickpocketing; or theft of any property or article that is not taken by force and violence or by fraud. Attempted larcenies are included. Embezzlement, confidence games, forgery, check fraud, etc. are excluded. Victimization surveys provide more accurate data on larceny rates than police data, since larcenies are not always reported to the police. (Based on Federal Bureau of Investigation’s Uniform Crime Reports definition of larceny-theft: http://www.fbi.gov/aboutus/cjis/ucr/crime-in-the-u.s/2011/crime-in-the-u.s.-2011/property-crime/larceny-theft.)

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

< 3,000

3,000–5,000

> 5,000

Rationale Larceny can have a very significant negative impact on sustainable development. The phenomenon of crime compromises human dignity, creates a climate of fear, and erodes the quality of life. The indicator can also be used as a measure of adherence to the rule of law, a component of good governance. (Based on United Nations, Indicators of Sustainable Development: Guidelines and Methodologies, 3rd ed., 2007, p. 51.)

Other organizations or agencies that use this indicator The FBI’s Uniform Crime Reports, based on participating law enforcement agency data, include larceny (number of offenses known per 100,000 inhabitants), including by city population size.

143

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Percentage of citizens who feel safe Topic:

Sub-Topic:

Security

Citizens’ confidence in safety

Definition Percentage of citizens who respond that they feel safe or very safe

Methodology This indicator is collected through surveys.

Benchmarks Green

Yellow

Red

< 60%

30–60%

> 60%

Rationale The perception of insecurity can hinder investment and creates a climate of fear, which erodes the quality of life and makes the population more vulnerable to threats and corruption. The indicator can also be used as a measure of adherence to the rule of law, a component of good governance. (Based on United Nations, Indicators of Sustainable Development: Guidelines and Methodologies, 3rd ed., 2007, p. 51.)

Other organizations or agencies that use this indicator Red Colombiana de Ciudades Cómo Vamos (Colombian Network of How Are We Doing Cities). In “Uso de indicadores para evaluar el funcionamiento policial,” Universidad de Chile’s Centro de Estudios en Seguridad Ciudadana, suggests the use of the indicator “Percentage of the population that believes they will be the victim of a crime during the next 12 months.” Latinobarómetro asks “How frequently do you worry that you could become a victim of a violent crime?” GCIF is considering using perception of safety as a future indicator.

144

87 Percentage of people who were victims of a crime in the last 12 months Topic:

Sub-Topic:

Security

Violence

Definition The percentage of people who respond “yes” to the question “Have you been a victim of a crime in the last 12 months?” (Determined through a survey.)

Methodology Percentage of people 18 years of age and older who respond in the affirmative when asked if they were a victim of any crime in the last 12 months, whether they reported it or not. This data is obtained through surveys rather than police reports, and depends on the respondents’ perception of what is considered a crime and their knowledge of applicable laws.

Benchmarks Green

Yellow

Red

< 10%

10–30%

> 30%

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Different cities suffer particularly from different types of crime. This indicator provides an overall sense of the crime level in any city and takes into account smaller crimes, as well as the more severe crimes captured in more specific indicators like homicide rate. It is an indicator of perception and thus reveals the experience and feeling of insecurity of the city’s residents. The phenomenon of crime compromises human dignity, creates a climate of fear, and erodes the quality of life. The indicator can also be used as a measure of adherence to the rule of law, a component of good governance. (Based on United Nations, Indicators of Sustainable Development: Guidelines and Methodologies, 3rd ed., 2007, p. 51.)

Other organizations or agencies that use this indicator Organization of American States (OAS Hemispheric Security Observatory, alertamerica.org); International Crime Victims Survey; US National Institute of Justice (National Crime Victimization Survey)

145

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Life expectancy at birth Topic:

Sub-Topic:

Health

Level of health

Definition The average number of years to be lived by a group of people born in the same year, if health and living conditions at the time of their birth remained the same throughout their lives. (CIA Fact Book and OECD definition, also used by GCIF.)

Methodology Life expectancy at birth is calculated using a life table that takes into account the population and the number of deaths of people at different ages (different birth years) in a given year.

Benchmarks Green

Yellow

Red

> 74

70–74

< 70

Rationale Life expectancy reflects the overall mortality level of a population. Life expectancy is closely connected with health conditions, which are an integral part of development. Mortality is also one of the variables that determine the size of human populations and their potential for future growth. Life expectancy at birth is also a measure of overall quality of life in a country and summarizes mortality at all ages. It can also be thought of as indicating the potential return on investment in human capital and is necessary for the calculation of various actuarial measures. Years of life are also considered an end in themselves. (Based on GCIF indicator description of “Average life expectancy.”)

Other organizations or agencies that use this indicator GCIF; World Bank; World Health Organization (WHO); UNDP; OECD; Global Competitiveness Report (World Economic Forum); CIA World Factbook; most government agencies that deal with population statistics or health (for example, in the United States, U.S. Census Bureau and the National Center for Health Statistics – Centers for Disease Control and Prevention).

146

89 Male life expectancy at birth Topic:

Sub-Topic:

Health

Level of health

Definition Average life expectancy at birth of the city’s male population

Methodology Life expectancy at birth is calculated using a life table that takes into account the population and number of deaths of people at different ages (different birth years) in a given year.

Benchmarks Green

Yellow

Red

> 70

64–70

< 64

Rationale

Detailed Descriptions

Detailed Descriptions of the Indicators

Life expectancy reflects the overall mortality level of a population. Life expectancy is closely connected with health conditions, which are an integral part of development. Mortality is also one of the variables that determine the size of human populations and their potential for future growth. Life expectancy at birth is also a measure of overall quality of life in a country and summarizes mortality at all ages. It can also be thought of as indicating the potential return on investment in human capital and is necessary for the calculation of various actuarial measures. Years of life are also considered an end in themselves. Disaggregating life expectancy by sex helps to signal the existence of gender-specific health problems and can help identify gender gaps in health care. (Based on GCIF indicator description of “Average life expectancy.”)

Other organizations or agencies that use this indicator Most government agencies that deal with population statistics or health (for example, in the United States, the U.S. Census Bureau and the National Center for Health Statistics – Centers for Disease Control and Prevention); UNDP; WHO; World Bank; OECD; CIA World Factbook

147

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Female life expectancy at birth Topic:

Sub-Topic:

Health

Level of health

Definition Average life expectancy at birth of the city’s female population

Methodology Life expectancy at birth is calculated using a life table that takes into account the population and number of deaths of people at different ages (different birth years) in a given year.

Benchmarks Green

Yellow

Red

> 76

70–76

< 70

Rationale Life expectancy reflects the overall mortality level of a population. Life expectancy is closely connected with health conditions, which are an integral part of development. Mortality is also one of the variables that determine the size of human populations and their potential for future growth. Life expectancy at birth is also a measure of overall quality of life in a country and summarizes mortality at all ages. It can also be thought of as indicating the potential return on investment in human capital and is necessary for the calculation of various actuarial measures. Years of life are also considered an end in themselves. Disaggregating life expectancy by sex helps to signal the existence of gender-specific health problems and can help identify gender gaps in health care. (Based on GCIF indicator description of “Average life expectancy.”)

148

91 Under-five mortality rate (per 1,000 live births) Topic:

Sub-Topic:

Health

Level of health

Definition The probability of a child born in a specified year dying before reaching the age of five, expressed as a rate per 1,000 live births

Methodology The under-five mortality rate is, strictly speaking, not a rate (i.e., the number of deaths divided by the number of population at risk during a certain period of time) but a probability of death, derived from a life table and expressed as a rate per 1,000 live births. Age-specific mortality rates among children and infants are calculated from birth and death data derived from vital registration, census, and/or household surveys. Estimates based on household survey data are obtained directly (using birth history, as in demographic and health surveys) or indirectly (Brass method, as in Multiple Indicator Cluster Surveys by UNICEF). The data are then summed for children under age five and are expressed as a rate per 1,000 live births. At the city level, the best source of data is a complete vital statistics registration system—one covering at least 90 percent of vital events in the population. Such systems are uncommon in developing countries, so estimates may be obtained from sample surveys or derived by applying direct and indirect estimation techniques to registration, census, or survey data.

Detailed Descriptions

Detailed Descriptions of the Indicators

(Based on GCIF indicator description for “Under age five mortality per 1,000 live births.”)

Benchmarks Green

Yellow

Red

< 20

20–30

> 30

Rationale The under-five mortality rate is a leading indicator of the level of child health and overall development in cities. Child mortality is an indicator of the status of the city as a healthy or unhealthy place to live. In addition, mortality rates are among the most frequently used indicators to compare levels of socioeconomic development across countries. Improving child mortality rates is a vital component of the Millennium Development Goals, as reducing child mortality is also considered an end in itself.

Other organizations or agencies that use this indicator Cities: Belo Horizonte, Porto Alegre, São Paulo, Montréal, Toronto, Vancouver, and Bogotá; GCIF; most government agencies that deal with population statistics or health (for example, in the United States, the U.S. Census Bureau and the National Center for Health Statistics – Centers for Disease Control and Prevention); UNICEF; UNDP; WHO; World Bank

149

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Doctors per 100,000 residents Topic:

Sub-Topic:

Health

Provision of health services

Definition The number of physicians whose workplace is in the city, expressed as the number of physicians per 100,000 of the city population

Methodology The number of physicians is determined on a locally agreed upon date. The number of physicians is divided by the result of the city population divided by 100,000. The result is expressed as the number of physicians per 100,000 population. For this indicator, a physician is someone who graduates from any facility or school of medicine whose workplace is in the city. To capture doctors working part-time in hospitals and in practices, full-time equivalents (FTE) should be applied. Cities report the number of physicians based on administrative records such as registered physicians in the city. Information may also be obtained from the census, labor force statistics, or other surveys that inquire about occupation. As systems become more advanced, a good system that has the right blend of mid-level providers (nurse practitioners and physician’s assistants) and physicians, and a robust prevention program with easy access to outpatient primary care, may need fewer hospital beds and fewer physicians yet be able to produce equally good or even better health outcomes. (Based on GCIF indicator description of “Number of physicians per 100,000 population.”)

Benchmarks Green

Yellow

Red

> 200

75–200

< 75

Rationale The availability of physicians is an important indicator of the strength of a city’s health system. There is evidence that the number of physicians is positively associated with immunization coverage, outreach of primary care, and infant, child, and maternal survival (WHO, World Health Statistics, 2006).

Other organizations or agencies that use this indicator GCIF; WHO; UNDP (per 10,000 people); World Bank (per 1,000 people); OECD (per 1,000 people)

150

93 Hospital beds per 100,000 residents Topic:

Sub-Topic:

Health

Provision of health services

Definition The number of in-patient hospital beds in the city, expressed as the number of hospital beds per 100,000 of the city population

Methodology The annual total number of public and private hospital in-patient beds in the city is determined. The city population is then divided by 100,000 and the result divided into the number of public hospital in-patient beds in the city. The result is expressed as the number of in-patient hospital beds per 100,000 of city population. Hospital beds include in-patient and maternity beds. This includes beds in wards that are closed for reasons such as lack of health staff, building works, etc. It also includes beds for patients admitted who require continual assistance, incubators, and specialized care. It does not include day care beds, pre-anesthesia beds, wake-up beds, beds for members of a patient‘s family, cots for births without complications, and beds for hospital staff. Cots and delivery beds are excluded.

Detailed Descriptions

Detailed Descriptions of the Indicators

As systems become more advanced, a good system that has the right blend of mid-level providers (nurse practitioners and physician’s assistants) and physicians, and a robust prevention program with easy access to outpatient primary care, may need fewer hospital beds and fewer physicians yet be able to produce equally good or even better health outcomes. (Based on GCIF indicator description for “Number of in-patient hospital beds per 100,000 population,” and Urban Audit – Methodological Handbook, 2004)

Benchmarks Green

Yellow

Red

> 100

50–100

< 50

Rationale The number of in-patient hospital beds is one of the few available indicators that monitor the level of health service delivery. Service delivery is an important part of health systems, and hospital bed density is one of the few indicators that can be collected worldwide. (Based on WHO, World Health Statistics 2006.)

Other organizations or agencies that use this indicator GCIF; World Health Organization (WHO); UNDP (per 10,000 people); World Bank (per 1,000 people).

151

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence of a participatory planning process Topic:

Sub-Topic:

Participatory public management

Citizen participation in the planning of government’s public management

Definition A participatory planning process is carried out in cooperation with community organizations and citizen participation.

Benchmarks Green

Yellow

Planning is not fully participatory: Planning is participatory and: (a) is (a) it is part of the national legal part of the national or subnational framework but not part of the legal framework; (b) civil society, subnational legal framework; the private sector, and academia are consulted; (c) opinions are collected (b) not all stakeholders are methodically; (d) results are consulted; opinions are not collected publicly disseminated; (e) results methodically; (d) results are are incorporated into the objectives partially disseminated; (e) some and goals of the plan. results are incorporated into the objectives and goals of the plan.

Red Planning is not participatory: (a) there is no legal framework; (b) stakeholders are not consulted, therefore (c) opinions are not collected, and (d) there is no dissemination; (e) there is no new information to incorporate into the objectives and goals of the plan.

Rationale Citizen participation in local government is an important part of democracy and self-determination. It also leads to a strong local support base for government, which is better able to monitor citizen needs, maintain a watchful eye over operations, and represent the wishes of the citizenry. (Based on United Nations Human Settlements Programme, Urban Indicators Guidelines, 2004, p. 51: “Check-list 8: Citizens’ Participation.”)

Other organizations or agencies that use this indicator UN-HABITAT uses a similar indicator (“Citizens’ Participation”).

152

of participatory budgeting, and the percentage of the budget that is 95 Existence determined through civil society participation Topic:

Sub-Topic:

Participatory Public Management

Citizen participation in the Planning of Government’s Public Management

Definition Participation of civil society in the municipal budget programming, and the percentage of the budget that is determined through civil society participation

Methodology This information should be verified through urban experts and urban policy makers involved in the city planning. They may be from the planning department of the city or the national ministry responsible for urban development. Any important change that has occurred during the last five years should be mentioned and explained. Participatory budgeting is a democratic process in which community members directly decide how to spend part of a public budget. Most examples involve city governments that have opened up decisions around municipal budgets, such as overall priorities and choice of new investments, to citizen assemblies. In other cases, states, counties, schools, universities, housing authorities, and coalitions of community groups have used participatory budgeting to open up spending decisions to democratic participation.

Detailed Descriptions

Detailed Descriptions of the Indicators

Community members make budget decisions through an annual series of local assemblies and meetings. Although there are many models of participatory budgeting, most follow a basic process: diagnosis, discussion, decision-making, implementation, and monitoring: 1. Residents identify local priority needs, generate ideas to respond to these needs, and choose budget representatives for each community. 2. These representatives discuss the local priorities and develop concrete projects that address them, together with experts. 3. Residents vote for which of these projects to fund. 4. The government implements the chosen projects. 5. Residents monitor the implementation of budget projects. For example, if residents identify recreation spaces as a priority, their budget representatives might develop a proposal for a new basketball court. The residents would then vote on this and other proposals, and if they approved the basketball court, the city would pay to build it. The Brazilian city of Porto Alegre started the first full participatory budgeting process in 1989, for the municipal budget. In Porto Alegre, as many as 50,000 people have participated each year, to decide as much as 20% of the city budget. Since 1989, participatory budgeting has spread to over 1,200 cities in Latin America, North America, Asia, Africa, and Europe. In the US and Canada, this includes participatory budgeting processes in Toronto, Montréal, Guelph, and Chicago.

Benchmarks Green Civil society participates in determining at least 10% of the total budget.

Yellow

Red

There is no participatory budgeting. Civil society participates in determining an amount equal to less than 10% of the total budget. (continued on next page)

153

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Existence of participatory budgeting, and the percentage of the budget that is determined through civil society participation Rationale Elected officials, community organizations, academics, and international institutions such as the United Nations and the World Bank have declared participatory budgeting a model for democratic government. Why?

• Gives community members a say Ordinary people have more voice—and they get to make real decisions.

• Makes for better and more equitable decisions • • • •

Local residents know best what they need, and budget dollars are redistributed to communities with the greatest needs. Develops active and democratic citizens Community members, staff, and officials learn democracy by doing it. They gain more understanding of complex political issues and community needs. Builds communities and strengthens community organizations People get to know their neighbors and feel more connected to their city. Local organizations get to spend less time lobbying and more time deciding policies themselves. Budget assemblies connect groups and attract new members. Connects politicians and constituents Politicians build closer relationships with their constituents. Community members get to know their elected officials and local governments. Makes government more accountable and efficient When community members decide on spending in public assemblies, there are fewer opportunities for corruption, waste, or costly public backlash.

(Based on the Participatory Budgeting Project, http://www.participatorybudgeting.org.)

Other organizations or agencies that use this indicator Rede Brasileira de Orçamento Participativo (Brazilian Network of Participatory Budgeting), which includes 63 Brazilian member cities (and 18 additional cities in the process of joining—see http://www.anfermed.com.br/redeop/newop/?page_ id=54%20%E2%80%8E for the complete list), uses a similar indicator (see 3.2.1 http://www.anfermed.com.br/redeop/ newop/?page_id=65), along with more detailed indicators, for its data bank. Red Argentina de Presupuesto Participativo (Argentine Network of Participatory Budgeting) includes 44 Argentine cities. Orçamento Participativo – Portugal maintains a national observatory of participatory budgeting, which currently includes 14 Portuguese cities. Presupuestosparticipativos.com has a network of 117 Spanish cities, and has information sheets about many of them, including the proportion of the budget discussed participatively.

154

95 (continued)

96 Public reporting sessions per year Topic:

Sub-Topic:

Participatory public management

Public reporting

Definition Number of sessions per year in which the municipal government publicly shares information about its management

Methodology Municipal government (the mayorâ&#x20AC;&#x2122;s cabinet) gathers information from each operational unit, consolidates it, makes a report, presents it to the council, and makes it public.

Benchmarks Green

Yellow

Red

More than one public reporting session per year

One annual public reporting session

There is no annual session for public reporting.

Rationale

Detailed Descriptions

Detailed Descriptions of the Indicators

The rationale for this indicator is based on the principle of accountability.

Other organizations or agencies that use this indicator ---

155

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence of a multi-annual budget Topic:

Sub-Topic:

Modern public management

Modern processes of the public management of the municipal budget

Definition The city has a multi-annual budget with at least two years of revenue and expenditure planned, and this is used to establish the future budget requirements of existing services, evaluate the resource implications of future policy changes and new programs, and assign resources within a fiscal restriction.

Methodology

• Step 1: Aggregated revenue projections. Determination of macroeconomic and fiscal ceilings consistent with • • • •

•

macroeconomic stability and policy priorities (and preparation of a fiscal policy document). Step 2: Alignment of policies and objectives under resource restrictions (top-down). Multiannual sectoral ceilings. Step 3: Preparation of multiannual sectoral strategies. Step 4: Connection of policies, resources, and means by sector (bottom-up). Step 5: Reconciliation of the projections with the resources. Estimation of the costs of existing programs under multiannual ceilings, and after the new policies and programs: • Distinguish between new and existing programs and project first the cost of existing programs (base line estimates), to determine whether there is fiscal space available to introduce new programs • At an appropriate point in the budget preparation process, carry out an “expenditure review” and determine which programs reached the goals and why, and make decisions about their modification, expansion, or elimination (the “expenditure reviews” also include the possibility of evaluating a subset of programs each year using more rigorous and complete methodologies, such as cost-benefit analysis). Step 6: Reconciliation of the political strategy with available resources.

Benchmarks Green

Yellow

Red

The city has a projected budget for the next three years.

The city has a projected budget for the next two years.

The budget is for only one year.

Rationale A medium-term focus for the budget can help to maintain expenditure control, improve efficiency, and assist in responding to priorities. This involves a robust system of forward expenditure estimates that provides agencies with some assurance that their programs will be properly funded. With a reduction in uncertainty over annual funding, the budget process can then focus more on policy changes and improved program effectiveness. (Based on “Performance-Informed Budgeting in Latin America: Experiences and Opportunities,” Pedro Arizti et al., World Bank, 2009.)

Other organizations or agencies that use this indicator Many countries now work within a multi-annual budget framework. The World Bank has studied the multi-annual budget frameworks for Brazil, Chile, Colombia, and Mexico.

156

98 Remuneration of personnel based on a system of performance indicators Topic:

Sub-Topic:

Modern public management

Modern processes of the public management of the municipal budget

Definition The personnel’s salaries are based in part on a system of performance indicators.

Methodology Performance-based remuneration consists of individual economic recognition directly linked to the achievement of objectives. The recognition may be in the form of promotions, differentiated wages, and annual bonuses, among others. Performance-based remuneration is to be distinguished from individual non-monetary incentives, which are mechanisms that consist of individual non-economic recognition directly linked to the achievement of objectives. (Based on the IDB PET-BL PRODEV Evaluation Tool Manual and Questionnaire for the Report on the New Baseline, 2012.)

Benchmarks Green

Yellow

Red

The remuneration of at least 40% of the personnel incorporates the results of an evaluation based on a system of performance indicators.

The remuneration of between 10% and 40% of the personnel incorporates the results of an evaluation based on a system of performance indicators.

The remuneration of the personnel is not related to a system of performance indicators, or the remuneration of less than 10% of personnel incorporates the results of an evaluation based on a system of performance indicators.

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Performance-based pay systems help to attract and retain better workers and incentivize good performance. They can also contribute to greater transparency and fairness in the government remuneration system.

Other organizations or agencies that use this indicator The United States Office of Personnel Management (OPM) reviewed federal government performance-based pay systems systematically in its annual report, “Alternative Personnel Systems in the Federal Government: A Status Report on Demonstration Projects and Other Performance-Based Pay Systems,” through 2008. The IDB’s Program to Implement the External Pillar of the Medium-Term Action Plan for Development Effectiveness (PRODEV) uses “the systems of remuneration and evaluation of the personnel incentivize obtaining organizational results.”

157

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

Detailed Descriptions

Existence of electronic systems for tracking the municipality’s management Topic:

Sub-Topic:

Modern public management

Modern systems of public management of the municipal government

Definition Electronic systems are in place to track fulfillment of the municipality’s goals and objectives.

Methodology The management of the municipal government should be asked if a system is in place to track fulfillment of the municipality’s goals and objectives. If the answer is yes, a specific description of the system should be noted.

Benchmarks Green

Yellow

Red

There is an electronic system that measures the progress and results of municipal management.

There is a system that measures the progress and results of municipal management but it is manual.

There is no system of accountability that measures the progress and results of municipal management.

Rationale Keeping track of progress increases transparency and is one of the first steps to incentivizing progress. Recording and presenting the municipality’s progress electronically makes the entry and diffusion of this information more efficient.

Other organizations or agencies that use this indicator ---

158

100 Existence of an electronic procurement system Topic:

Sub-Topic:

Modern public management

Modern systems of public management of the municipal government

Definition The municipal government uses an electronic system to carry out procurement and contracting.

Methodology There is no single methodology. It depends on the country’s procurement legislation. Usually municipalities use the country’s procurement system.

Benchmarks Green

Yellow

Red

There is an electronic procurement system online and open to the public that, at the least, publicly disseminates requests for proposals and the results of public bids.

There is an electronic procurement system but it does not disseminate the results of public bidding.

The municipal government does not have an electronic procurement system.

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale E-procurement—the use of information and communication technologies in public procurement—facilitates access to public tenders and increases competition. It also improves the transparency of the procurement cycle, empowering citizens and businesses to hold public authorities more accountable. In addition, the use of information technologies in public procurement can decrease administrative burdens and reduce costs for both governments and businesses. Electronic channels can also lead to a shorter order cycle and increase compliance levels, potentially helping to lower prices. (Based on OECD [2011], “E-procurement”, in Government at a Glance 2011, OECD Publishing.)

Other organizations or agencies that use this indicator OECD (OECD 2010 Survey on Public Procurement)

159

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

101

Detailed Descriptions

Transparency index Topic:

Sub-Topic:

Transparency

Transparency and auditing of the government’s public management

Definition Country score from Transparency International’s Corruption Perceptions Index, or municipal score on a national transparency index for municipalities, if available

Methodology Each year, in their Corruption Perceptions Index (CPI), Transparency International (TI) ranks countries based on how corrupt their public sector is perceived to be. It is a composite index, a combination of polls, drawing on corruptionrelated data collected by a variety of reputable institutions. The CPI reflects the views of observers from around the world, including experts living and working in the countries/territories evaluated. For a country/territory to be included in the ranking it must be included in a minimum of three of the CPI’s data sources. Corruption is the abuse of entrusted power for private gain. This is the working definition used by Transparency International, applying to both the public and private sectors. The CPI focuses on corruption in the public sector, or corruption which involves public officials, civil servants, or politicians. The data sources used to compile the index include questions relating to the abuse of public power and focus on: bribery of public officials, kickbacks in public procurement, embezzlement of public funds, and questions that probe the strength and effectiveness of anti-corruption efforts in the public sector. As such, it covers both the administrative and the political aspects of corruption. In producing the index, the scores of countries/territories for the specific corruption-related questions in the data sources are combined to calculate a single score for each country. The 2011 CPI draws on 17 data sources from 13 institutions. The information used for the 2011 CPI is survey data from these sources gathered between December 2009 and September 2011. The CPI includes only sources that provide a score for a set of countries/territories and that measure perceptions of corruption in the public sector. TI ensures that the sources used are of the highest quality. To qualify, the data collection method must be well documented and the methodology published, to enable an assessment of its reliability. A full list of data sources, questions asked, and type of respondents for each country/territory is available in the CPI sources description document. A country’s/territory’s score indicates the perceived level of public sector corruption there on a scale of 0 to 10, where 0 means that a country is perceived as highly corrupt and 10 means that a country is perceived as very clean. A country’s rank indicates its position relative to the other countries/territories included in the index. It is important to keep in mind that a country’s rank can change simply because new countries enter the index or others drop out. In some countries, transparency indices by municipality measuring transparency or corruption at the municipal level are available. These may be used in lieu of or to complement Transparency International’s Corruption Perceptions Index. This may be especially useful if data is collected from comparison cities within the country.

Benchmarks Green

Yellow

Red

3.0–6.0

<3 (continued on next page)

160

101 Transparency index Rationale

(continued)

Corruption generally comprises illegal activities, which mainly come to light only through scandals, investigations, or prosecutions. It is thus difficult to assess absolute levels of corruption in countries or territories on the basis of hard empirical data. Possible attempts to do so, such as by comparing bribes reported, the number of prosecutions brought, or court cases directly linked to corruption, cannot be taken as definitive indicators of corruption levels. Rather, they show how effective prosecutors, the courts, or the media are in investigating and exposing corruption. One reliable method of compiling comparable country data is to capture perceptions of those in a position to offer assessments of public sector corruption in a given country. (Based on Transparency International’s Corruption Perception Index, http://www.transparency.org/cpi2011/in_detail.)

Other organizations or agencies that use this indicator Transparency International annually reports the score for each of the Bank’s borrowing member countries, except Belize. Transparency International’s Colombian chapter, Transparencia Por Colombia, makes a municipal-level transparency index available. Transparencia Venezuela also has a municipal transparency indicator system (SITM, Sistema de Indicadores de Transparencia Municipal). USAID has made a municipal-level transparency index for municipalities in El Salvador. Transparency International’s Mexican chapter, Transparencia Mexicana, has created a state-level corruption and good governance index. Brazil’s Associação de Contas Abertas (Association of Open Accounts) also has a state-level transparency index.

Detailed Descriptions

Detailed Descriptions of the Indicators

161

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

102

Detailed Descriptions

Percentage of municipal government accounts audited Topic:

Sub-Topic:

Transparency

Transparency and auditing of the government’s public management

Definition Numerator: number of municipal government’s accounts that are audited with independence from the internal auditing group. Denominator: total number of municipal government accounts.

Methodology The percentage of municipal government accounts audited is determined by dividing the number of municipal government accounts that are audited with independence from the internal auditing group by the total number of municipal government accounts. The supreme audit institution of each country may have this information.

Benchmarks Green

Yellow

Red

More than 50% of government accounts are audited.

30–50% of government accounts are audited.

Fewer than 30% of government accounts are audited.

Rationale Audits provide essential accountability and transparency to government programs. Government auditing provides objective analysis and information needed to make the decisions necessary to help create a better future. The concept of accountability for use of public resources and government authority is key to democratic governing processes. Government auditing is essential in providing accountability to legislators, oversight bodies, those charged with governance, and the public. Audits provide an independent, objective, nonpartisan assessment of the stewardship, performance, or cost of government policies, programs, or operations, depending upon the type and scope of the audit. (Based on the United States Government Accountability Office, Government Auditing Standards, 2011, Revision, http://www.gao.gov/assets/590/587281.pdf.)

Other organizations or agencies that use this indicator This is a very common indicator in public financial management. See the www.pefa.org subnational tool.

162

103 Percentage of municipal companies’ accounts audited by a third party Topic:

Sub-Topic:

Transparency

Transparency and auditing of the government’s public management

Definition Numerator: number of municipal companies whose accounts are audited by external, independent third parties. Denominator: total number of municipal companies.

Methodology The percentage of municipal companies whose accounts are audited by a third party is determined by dividing the number of municipal companies whose accounts are audited by external, independent third parties, by the total number of municipal companies. Every municipality should know which of its companies has its accounts audited.

Benchmarks Green

Yellow

Red

80–100% of municipal companies are audited by an independent private organization.

80–100% of municipal companies are audited but not by an independent private organization, or between 50% and 80% of municipal companies are audited by an independent private organization.

Less than 50% of municipal companies are audited.

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Audits provide essential accountability and transparency over government programs. Government auditing provides objective analysis and information needed to make the decisions necessary to help create a better future. The concept of accountability for use of public resources and government authority is key to democratic governing processes. Government auditing is essential in providing accountability to legislators, oversight bodies, those charged with governance, and the public. Audits provide an independent, objective, nonpartisan assessment of the stewardship, performance, or cost of government policies, programs, or operations, depending upon the type and scope of the audit. (Based on the United States Government Accountability Office, Government Auditing Standards, 2011 Revision, http://www.gao.gov/assets/590/587281.pdf.)

Other organizations or agencies that use this indicator ---

163

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

104

Detailed Descriptions

Own-source revenue as a percentage of total revenue Topic:

Sub-Topic:

Taxes and financial autonomy

Revenue and municipal taxes

Definition Percentage of local government revenues originating from fees, charges, and taxes as permitted by law or legislation to all revenues, including those provided by other levels of government. This only includes operating or recurring revenues as determined through methods such as: formula driven payments (such as repatriation of income tax); grant donations from higher government levels, including national or state governments; and other types of financial transfers that may be tied to the delivery of specific services.

Methodology The total amount of funds obtained through permit fees, user charges for city services, and taxes collected for city purpose only, divided by all operating or recurring revenues, including those provided by other levels of government transferred to the city, multiplied by 100. (Based on GCIF indicator description for “Own-source revenue as a percent of total revenues.”)

Benchmarks Green

Yellow

Red

Similar to exemplary (best practice cities in the country)

Similar to peer cities in the country

Lower in comparison to peer cities

Rationale On a very basic level, this indicator measures the level of dependence of the city on other levels of government for revenues to deliver its services to the public. The balance between its own source of income and senior-level government transfers provides an indication of a city’s viability, independence, and control over its own resources and, in a small way, measures its financial planning and management effectiveness. (Based on GCIF indicator description for “Own-source revenue as a percent of total revenues.”)

Other organizations or agencies that use this indicator GCIF; UN-HABITAT’s Urban Governance Index (UGI)

164

105 Total transfers as a percentage of total revenue Topic:

Sub-Topic:

Taxes and financial autonomy

Revenue and municipal taxes

Definition Total transfers from other levels of government as a percentage of total revenue

Methodology The indicator represents the resources that local government receives from other levels of government (region/province/ state/national/federal) to determine their share in the local government’s total revenues. In some cases, transfers could be earmarked. This estimation includes all transfers without considering whether or not they are earmarked.

Benchmarks Green

Yellow

Red

Similar to exemplary (best practice cities in the country)

Similar to peer cities in the country

Higher in comparison to peer cities

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Municipalities tend to have more autonomy the less they need to depend on transfers. Furthermore, many municipalities in the LAC region are spending increasingly more but are not increasing their revenue collection to the same extent, with the gap being covered by transfers. This presents sustainability issues. (Based on Ingresos Municipales en Centroamérica, IDB).

Other organizations or agencies that use this indicator Departamento Nacional de Planeación (National Department of Planning) of Colombia; The State of Connecticut (“Municipal Fiscal Indicators”): intergovernmental revenues; Department of Legislative Services of Maryland (“County and Municipal Revenue Sources”): intergovernmental revenues (federal grants, state grants, and other grants); Canadian Tax Foundation (Kitchen, Harry “Canadian Municipalities: Fiscal Trends and Sustainability”): grants (conditional and unconditional).

165

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

106

Detailed Descriptions

Earmarked transfers as a percentage of total transfers Topic:

Sub-Topic:

Taxes and financial autonomy

Revenue and municipal taxes

Definition Transfers with a specific use assigned as a percentage of total transfers

Methodology The transfers that can only be used according to conditions set by the national government or other levels of government (besides municipal) should be identified through the current regulations in each country. The indicator is calculated by dividing conditional transfers by the total of transfers received, and then multiplying by 100.

Benchmarks Green

Yellow

Red

Similar to exemplary (best practice cities in the country)

Similar to peer cities in the country

Higher in comparison to peer cities

Rationale Earmarked transfers limit a municipality’s autonomy and ability to prioritize, especially in municipalities that depend heavily on transfers. Because of national directives, in many cases transfers are oriented toward predetermined sectors, limiting the autonomy of the local government in decisions about the use of these resources. This limits the possibilities for local governments to invest in public services and infrastructure in their locality. This indicator attempts to measure the autonomy that local leaders have in the management of transferred resources.

Other organizations or agencies that use this indicator Canadian Tax Foundation (Kitchen, Harry “Canadian Municipalities: Fiscal Trends and Sustainability”): grants (conditional and unconditional).

166

107 Revenue from other sources (external donors) as a percentage of total revenue Topic:

Sub-Topic:

Taxes and financial autonomy

Revenue and municipal taxes

Definition Revenue by source: Others (external donors)/total revenue

Methodology The revenue from external donors is identified by looking at the municipalityâ&#x20AC;&#x2122;s fiscal information, adding up all of the revenue in a year from sources other than the municipalityâ&#x20AC;&#x2122;s own sources of revenue and transfers from other levels of government within the country (national, state, etc.), and dividing this figure by the municipalityâ&#x20AC;&#x2122;s total revenue for the year.

Benchmarks Green

Yellow

Red

Similar to exemplary (best practice cities in the country)

Similar to peer cities in the country

Higher in comparison to peer cities

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Municipalities tend to have more autonomy the less they need to depend on transfers and donors.

Other organizations or agencies that use this indicator The World Bank uses grants and other sources as a public sector indicator at the country level.

167

Annex 2â&#x20AC;&#x192; Indicators of the Emerging and Sustainable Cities Initiative

108

Detailed Descriptions

Utility cost recovery Topic:

Sub-Topic:

Taxes and Financial Autonomy

Collection management

Definition Percentage of the cost of the provision of utilities (provided through the municipality or municipal companies) that is covered through rates or fees charged to consumers (for water, sewer, trash collection, electricity)

Methodology To calculate this indicator, first the utilities provided by the municipality, either directly or through municipal companies, must be identified. Once the utilities are identified, the cost of providing the service should be determined (operating expenses such as wages and salaries of personnel, operation of equipment, vehicles, rentals, etc.) and, if a fee is charged for the service, how much revenue it brings to the municipal government or the municipal company for this item. The collected amount is then divided by the cost and multiplied byÂ 100.

Benchmarks Green

Yellow

Red

> 90%

> 50% and < 90%

< 50%

Rationale Cost recovery of utilities indicates the fiscal sustainability of the provision of public utilities. It provides the fiscal basis for further service improvements and expansion, which in some cases may be critical to providing access for people currently without service, or with poor quality service.

Other organizations or agencies that use this indicator ---

168

109 Taxes collected as a percentage of taxes billed Topic:

Sub-Topic:

Taxes and financial autonomy

Collection management

Definition Ratio of the actual tax collected to the mandated tax. That is, the taxes collected over the total of taxes billed.

Methodology Identify all revenues generated by tax collection, divide by the amount of taxes billed, and multiply by 100. (Based on GCIF indicator description for “Own-source revenue as a percent of total revenues.”)

Benchmarks Green

Yellow

Red

Similar to exemplary (best practice cities in the country)

Similar to peer cities in the country

Lower in comparison to peer cities

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Tax collection is the major source of income for all levels of government, including cities. This indicator measures the effectiveness of the tax collection agency and is intended to measure the effectiveness of a city’s financial management capabilities. To some extent, it is also a proxy for the willingness of citizens to pay taxes. (Based on GCIF indicator description for “Own-source revenue as a percent of total revenues.”)

Other organizations or agencies that use this indicator GCIF; The State of Connecticut (“Municipal Fiscal Indicators”); UN-HABITAT’s Urban Governance Index (UGI) uses a similar indicator, called percentage of mandated local revenue actually collected by local government. (Based on GCIF indicator description for “Own-source revenue as a percent of total revenues.”)

169

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

110

Detailed Descriptions

Performance indicators and goals for tracking budget execution Topic:

Sub-Topic:

Management of the expenditure

Quality of public spending

Definition Existence of performance indicators and goals for tracking the execution of the budget

Methodology The following information must be verified: whether performance indicators and goals for tracking the budget exist, whether they are monitored periodically, and whether the results are incorporated into the next year’s budget.

Benchmarks Green

Yellow

Red

There are performance indicators and goals with periodic monitoring, and the results are incorporated into the following budget.

There are performance indicators and goals but without periodic monitoring, or the results are not incorporated in the following budget.

There are no performance indicators and goals for monitoring the budget.

Rationale A system of indicators and goals to accompany the budget helps to ensure that money is spent in a way that produces desired results. It helps (i) provide transparency and accountability in the budgeting process and (ii) more effectively allocate resources.

Other organizations or agencies that use this indicator Dipres de Chile – dipres.cl Secretaría de Hacienda y Crédito Público de México – shcp.gob.mx

170

operating budget 111 Gross (current expenditure as a percentage of total expenditures) Topic:

Sub-Topic:

Management of the expenditure

Quality of public spending

Definition The total current expenditure in the preceding year (the numerator) divided by the total expenditure by the city in that same period, expressed as a percentage.

Methodology This indicator should include operating expenses; that is, ongoing expenses. This should be divided by the total budgeted expenditure and multiplied by 100. The figures used in this calculation are to be taken directly from the city’s audited financial statements without amendment or variation. (Based on GCIF indicator description for “Capital spending as percentage of total expenditures.”)

Benchmarks Green

Yellow

Red

Similar to exemplary (best practice) cities in the country

Similar to peer cities in the country

Higher in comparison to peer cities

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale A city that spends a large portion of its budget in operating costs may lack the financial ability to invest in ways that would support future growth and development. Nevertheless, the analysis must take into account the particularities of each country. In some cases, the responsibilities assigned to local governments can involve a series of operating expenditures for their correct execution (for example, garbage collection). In many of the countries in Latin America and the Caribbean, the local responsibility for investment in capital is limited and, therefore, the operating expenses tend to be high. If the municipality shows high performance in comparison with peer cities, it will require a detailed revision of the different items in the operating expenses to determine possible faults.

Other organizations or agencies that use this indicator GCIF uses capital spending as a percentage of total expenditures.

171

Detailed Descriptions

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

112

Gross capital budget (capital expenditure as percentage of total expenditures) Topic:

Sub-Topic:

Management of the expenditure

Quality of public spending

Definition The total expenditure on fixed assets in the preceding year (the numerator) divided by the total expenditure by the city in that same period, expressed as a percentage

Methodology The annual expenditure on fixed assets is divided by the total expenditure (operating and capital) by the city in that same period. Fixed assets are not expected to be consumed or converted into cash in the normal course of business. They are long-term, more permanent or “fixed” items, such as land, building, equipment, fixtures, furniture, and leasehold improvements. The figures used in this calculation are to be taken directly from the city’s audited financial statements without amendment or variation. This indicator needs to be considered in conjunction with the Debt Service Ratio indicator to obtain an understanding of the city’s capacity to maintain its capital expenditure. The level of capital expenditure in relation to recurrent expenditure may reflect the city’s financial capacity to invest in capital items needed to support future growth and development. (Based on GCIF indicator description for “Capital spending as percentage of total expenditures.”)

Benchmarks Green

Yellow

Red

Similar to exemplary (best practice) cities in the country

Similar to peer cities in the country

Lower in comparison to peer countries

Rationale The amount of capital expenditure by the city expressed as a percentage of the total annual city expenditure is an indicator of a city’s capacity to respond to its citizens’ demands for public services and infrastructure. It is important to evaluate this indicator within the context of each country, since the municipalities in many Latin American and Caribbean countries do not have responsibility for capital investment, which tends to be the responsibility of a higher level of government (province, state, department, or nation).

Other organizations or agencies that use this indicator GCIF

172

113 Annual growth rate of current expenditure Topic:

Sub-Topic:

Management of the expenditure

Quality of public spending

Definition Average annual growth rate of operating expenses in the last five years

Methodology The average growth rate is estimated by taking the operating expenditure in the last five years. The growth rate is calculated year to year and then the results are averaged. The growth rate is calculated using absolute growth in the operating expenditure between two years, dividing by the value of the operating expenditure in the initial year, and multiplying byÂ 100. If information is not available for the last five years, the average should be determined for the time period available.

Benchmarks Green

Yellow

Red

Similar to exemplary (best practice) cities in the country

Similar to peer cities in the country

Higher in comparison to peer cities

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale Growing operating expenses could lead to fiscal issues in the future. It is not sufficient to look at the absolute or relative level of operating expenses; it is necessary to examine the tendency that this item shows over time. This allows one to identify whether what is observed in the previous indicator is the fruit of a determined situation or the result of a persistent tendency in the expenditure. Looking at the growth pattern of these expenditures allows one to evaluate whether the current expenditure observed is the result of the situation of a given year or of a consistent tendency over time.

Other organizations or agencies that use this indicator ---

173

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

114

Detailed Descriptions

Budget’s alignment with the city’s development plan Topic:

Sub-Topic:

Management of the expenditure

Quality of public spending

Definition Determine whether the city’s budget includes the objectives of its development plan with indicators of results

Methodology A first level of alignment is that of programs. The programs of each one of the instruments, the plan and the budget, should be the same. A second level of alignment is that of projects. The projects of each one of the instruments, the plan and the budget, should be the same. If this information is not available at the project level, this level is not considered. A third level of alignment is that of the objectives of the programs. Those of the city’s plan should coincide and be the same as the objectives of the programs that the municipal budget finances.

Benchmarks Green

Yellow

Red

More than 70% of the programs in the city’s budget coincide with those in its government or development plan.

30% to 70% of the programs in the budget and the development plan coincide.

Less than 30% of the programs in the budget coincide with those in the development, or there is no plan.

Rationale A budget closely aligned with the city’s plan indicates that the city’s stated goals are being implemented and financially supported.

Other organizations or agencies that use this indicator Subnational governments in Brazil

174

115 Contingent liabilities as a percentage of own revenue Topic:

Sub-Topic:

Debt

Contingent liabilities

Definition Total contingent liabilities that could be required to be paid in the next five years as a percentage of the city’s own revenue in the same period

Methodology Contingent liabilities are liabilities that may or may not be incurred by an entity depending on the outcome of a future event such as a court case. Although these liabilities must be recorded in the government’s accounts and shown in the balance sheet, this is not a common practice in the LAC region. As a result, local governments in the LAC region could face possible fiscal tension, and neither local government nor national government are aware of the real fiscal situation, due to contingent liabilities. To identify a local government’s contingent liabilities, it is necessary to check whether they are being reported within the liabilities, or to determine, from those that are not being reported, which could present a serious problem in the short and medium term. It is also important to verify the period in which the liabilities could be required to be paid. To determine their relative importance, the amount of the contingent liabilities that could be required to be paid in the next five years should be divided by the local government’s own revenue for that period and multiplied by 100. Own revenue is total revenue minus transfers.

Detailed Descriptions

Detailed Descriptions of the Indicators

Benchmarks Green

Yellow

Red

< 30%

30–70%

> 70%

Rationale In many cases, the main risks in the fiscal management of a city come from contingent liabilities—that is, liabilities that do not necessarily appear in the municipal government’s balance because they are not required to be paid in the short term. These could be a risk if they become reality. Within these liabilities are pension obligations that the municipal government is responsible for, or possible bankruptcy, which would imply bad management of a municipal company.

Other organizations or agencies that use this indicator The State of Connecticut reports net pension obligation information, along with actuarial accrued liability (AAL), % of AAL funded, and % of contribution made, for defined benefit pension plans for municipalities in Connecticut.

175

Annex 2 Indicators of the Emerging and Sustainable Cities Initiative

116

Detailed Descriptions

Debt service ratio Topic:

Sub-Topic:

Debt

Sustainability of municipal debt

Definition Debt service ratio is the ratio of debt service expenditures as a percentage of a municipality’s own source revenue. A lower number can indicate either an increased ability to borrow or a decision by a municipality to limit its debt to enable funding of other service areas.

Methodology Debt service ratio is calculated by dividing total long-term debt servicing costs—including lease payments, temporary financing, and other debt charges—by total own source revenue. Total own source revenue is total revenue less transfers. Care must be used in evaluating this indicator. A high debt service ratio may indicate a municipality that has taken on too much debt, but it may also indicate that the municipality has taken an aggressive approach to debt repayment and is paying down its debt quickly. Similarly, a low debt service ratio could indicate a municipality is strong financially and can finance most capital projects through its operating budget. It may also indicate that a municipality is financially weaker, and has deferred capital projects and allowed important infrastructure to deteriorate. (Based on GCIF indicator description for “Debt service ratio.”)

Benchmarks Green

Yellow

Red

< 10%

10–20%

> 20%

Rationale The purpose of this indicator is to evaluate the sustainability of the city’s current indebtedness. That capacity to become indebted is evaluated in relation to the capacity of the city to pay for the depreciation of capital and the interest on the debt contracted. The capacity to pay is approximated through a municipality’s own revenues—that is, the revenue it can spend at will. In countries in which there are rules governing municipal indebtedness, the analysis of this indicator should take these regulations into account.

Other organizations or agencies that use this indicator GCIF. The Government Finance Officers Association (GFOA) supports this measure as part of its recommended budget best practices. Debt Service Ratio is also a key indicator for bond rating agencies in assessing a municipality’s credit rating. Depending upon which level of government provides public transit (a high capital cost service) or water/wastewater facilities, the size of the debt could be significantly higher or lower between similar sized municipalities. (Based on GCIF indicator description for “Debt service ratio.”)

176

117 Debt growth Topic:

Sub-Topic:

Debt

Sustainability of municipal debt

Definition Average annual rate of growth of the debt in the last three years

Methodology Identify the financial and nonfinancial debt that the city has had in the last three years. From these values, calculate the annual growth rate between the years considered. Then average these numbers to get the average growth rate in the period.

Benchmarks Green

Yellow

Red

The annual real growth is negative.

The annual real growth rate is between 0% and 2%.

The annual real growth rate is greater than 2%.

Detailed Descriptions

Detailed Descriptions of the Indicators

Rationale In many cases, it is not only necessary to look at the level of debt, but also to examine the tendency of its behavior. The purpose is to determine whether there is an expansive tendency in the growth of the indebtedness of the city or whether, on the contrary, the growth of the debt shows a sustainable tendency over time.

Other organizations or agencies that use this indicator ---

177