The Agenda 2030 in Brazil: evaluation of Sustainable Planning Initiatives and implementation of SDG 11 at local levels

Abstract

Good governance, integration of policies and effective social participation are crucial issues for successful implementation of Sustainable Development Goals (SDG’s) 11, “Make cities and human settlements inclusive, safe, resilient and sustainable,” and needs to be prioritised by national and local authorities. This thesis examines the implementation of SDG 11 in Brazilian Municipalities and proposes a new approach to effective implementation of SDG Goal 11 at local levels. What factors contribute to the success of local sustainable planning initiatives? Under what conditions can a local policy positively impact development and be adopted as a strategy for sustainable development? How best to integrate existing initiatives at local levels to promote SDG 11 and city sustainability? The answers to these questions proposed in this research were addressed in this thesis through a participative investigation rather than an empirical approach. The research was developed in Brazilian Municipalities, involving three main stages of research. First, existing planning initiatives implemented in Brazil were selected to analyse the impacts on local policies, as well as their potential contribution to the achievement of SDG 11. Assuming that existing planning initiatives can influence the implementation of local policies, the research attempts understanding how four sustainable planning initiatives (Healthy Municipalities, Cities and Communities, Local Agenda 21, Millennium Development Goals, and Master Plans), impacted on local policies to promote urban sustainability. By evaluating the effectiveness of four planning initiatives, it was found that planning positively contributed to enhancing local public policies, mainly environmental policies. Moreover, the effectiveness evaluation suggested that these four planning initiatives can contribute to the future implementation of SDG 11 at local levels. Good governance, broad social participation and effective integration between local policies were identified as the main challenges undermining the successful implementation of SDG 11 in the Brazilian Municipalities studied. Furthermore, based on the learned experience, an action framework was proposed to support local governments in achieving more effective SDG 11 targets. Second, the Brazil National Strategy to implement the SDGs was examined. The analysis was developed to better understand the impacts of strategies developed by the national government for implementing SDG 11 at local levels. The analysis involved a participatory approach and the engagement of distinct stakeholders’ groups. A group of 33 key stakeholders identified the main vulnerabilities and common interests for improving the implementation of SDG 11 at these levels. Key recommendations to implement SDG 11 more efficiently include better coordination and increased social participation. Third, two case studies were carried out to evaluate the progress of SDG 11 in distinct regions in Brazil. As demonstrated by the case studies, on one hand, there are several challenges to be faced by local governments and social actors regarding the implementation and evaluation of SDG 11. On the other hand, there is an opportunity for Goal 11 to become referential to promote sustainability in the cities. To facilitate the SDG 11 implementation urgent improvements will be necessary to foster stakeholder collaboration. This thesis revealed the importance to learn from previous and/or ongoing local planning strategies. The main barriers that hindered the implementation of previous initiatives, as well as the successful factors identified by stakeholders, proved a baseline to inform the commencement of the implementation of SDG 11 at local levels. New partnerships with business sectors and civil society organisations are critical. Regarding social participation, this thesis identified that, despite several problems, civil society organisations and the business sectors are looking for opportunities to establish partnerships and develop integrated projects. All sectors have a role to play in achieving SDG 11 and the roles must be clarified to facilitate ownership. Effective participatory mechanisms for implementation of SDG 11 at local levels must be developed. SDG 11 must be implemented based on participatory mechanism involving the communities and ensuring transparency of process and outcomes. This thesis suggests the adoption of Multi-Actor Multi-Criteria Analysis (MAMCA) as a potential tool to support local governments to broad participation at local levels. Mechanisms for good governance, especially at the national level, need to be improved. It is important to monitor and report regarding SDG 11 goals and objectives. Monitoring of progress and reporting will be the great challenges for local governments. It is urgent to create a structured data collection and recording system to provide a baseline for evaluation. Also, this thesis revealed the importance to develop evaluations combining quantitative and qualitative data to provide a more inclusive and effective assessment of SDG 11. Finally, the Performance Assessment proposed in this thesis, as a tool for collaborative benchmarking, should be adopted by Brazilian municipalities to facilitate the implementation of SDG 11 at local levels.