Urban Planning Law For Climate Smart Cities

Urban Planning Law
for Climate Smart Cities
Urban Law Module
LAW AND CLIMATE CHANGE TOOLKIT

https://climatelawtoolkit.org/
URBAN PLANNING LAW FOR CLIMATE SMART CITIES i

Urban Planning Law for Climate Smart Cities: Urban Law Module
LAW AND CLIMATE CHANGE TOOLKIT
First published in Nairobi in 2022 by UN-Habitat

Copyright © United Nations Human Settlements Programme, 2022
United Nations Human Settlements Programme (UN-Habitat)

P.O. Box 30030, 00100 Nairobi GPO, Kenya
Tel: 254-020-7623120 (Central Office)
www.unhabitat.org
HS Number: HS/018/22E
Acknowledgements
Coordinators: Gianluca Crispi and Remy Sietchiping

Main Authors: Gianluca Crispi and Rashid Abubakar
Contributors: Maria Socorro Manguiat (UNEP), Benjamin Ojoleck (UNEP), Valentina Ricca, Anne Amin, Samuel Njuguna
Peer reviewers: Anna Charles (UNFCCC), Anna Maria Bezerra de Mello Cárcamo (UNFCCC)
Editing support: Vicky Quinlan and Samuel Njuguna
Layout and Design: Jean Robert Gatsinzi
Disclaimer
The designations employed and the presentation of the material in this publication do not imply the expression of any
opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory,
city, or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries.
The information provided in this publication does not, and is not intended to, constitute legal advice; instead, all information,
content and materials are for general informational purposes only. Information on this publication may not constitute the
most up-to-date legal or other information and no liability is assumed for the accuracy or use of information provided.
Readers of this publication should contact their legal counsel to obtain advice with respect to any legal matter.
Excerpts may be reproduced without authorization on condition that the source is indicated.
Cover photo
Aerial view of flooding in Pakistan © Water Alternatives Photos
Table of Contents
LIST OF TABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI
LIST OF FIGURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI
FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
UNFCCC, Paris Agreement, NDCs and the Required Increased Ambition . . . . . . . . 3
The Law and Climate Change Toolkit: An Introduction . . . . . . . . . . . . . . . . . . . . . . . 6
Key Functionalities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Global Effects and Real Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
INTRODUCTION: THE URBAN LAW MODULE . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

The Companion Guide to the Online Version of the Toolkit . . . . . . . . . . . . . . . . . . . 10
1. GOVERNANCE FRAMEWORK FOR URBAN AND CLIMATE PLANNING . . . . 13

1.1. Multi-Level Institutional Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.2. Participatory Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.3. Data Collection and Sharing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.4. Local Governments’ Mandate for Urban Planning in Urban Areas . . . . . . . . . 21
2. URBAN AND TERRITORIAL PLANNING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

2.1. National Territorial Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.2. Regional (Sub-National) Territorial Planning . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.3. Urban Planning in Urban Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3. URBAN PLANNING AND DESIGN FOR ADAPTATION . . . . . . . . . . . . . . . . . . . 42

3.1. Climate Risks and Vulnerability for Planned Areas and Infrastructure . . . . . . 45
3.2. Identification and Prioritization of Adaptation Options . . . . . . . . . . . . . . . . . . 50
3.3. Implementation of the Identified Adaptation Options . . . . . . . . . . . . . . . . . . . 55
3.4. Adaptation of Slums and Vulnerable Settlements . . . . . . . . . . . . . . . . . . . . . . 61
3.5. Planned Relocations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
3.6. Security of Tenure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
3.7. Implementation of Climate Adaptation Strategies Through Development
Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
iv URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

4. URBAN PLANNING AND DESIGN FOR MITIGATION . . . . . . . . . . . . . . . . . . . . 81
4.1. Urban Plans and Greenhouse Gas Emissions . . . . . . . . . . . . . . . . . . . . . . . . . . 82
4.2. Urban Form and Reduction of Greenhouse Gas Emissions . . . . . . . . . . . . . . 85
4.3. Green Spaces for Environmental and Climate Services . . . . . . . . . . . . . . . . . . 93
4.4. Neighbourhood Design and Energy Saving in Buildings . . . . . . . . . . . . . . . . . 96
4.5. Implementation of Climate Mitigation Strategies Through Development
Approval/Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
98
5. ECONOMIC AND NON-ECONOMIC INSTRUMENTS FOR CLIMATE FRIENDLY

URBAN PLANNING ........................................................................................................104
5.1. Resources for Urban Planning and Climate Change . . . . . . . . . . . . . . . . . . . . . 106
5.2. Incentives for Mitigation and Adaption in Urban Planning . . . . . . . . . . . . . . . 111
5.3. Incentives that Undermine Sustainable Urban Land Uses . . . . . . . . . . . . . . . . 113
6. CONCLUSION ............................................................................................................116
REFERENCES ...................................................................................................................117
URBAN PLANNING LAW FOR CLIMATE SMART CITIES v

List of Tables
Table 1 Governance Framework for Urban and Climate Planning �� 24
Table 2 Urban and Territorial Planning�� 40
Table 3 Urban Planning and Design for Adaptation �� 77
Table 4 Urban Planning and Design for Mitigation �� 101
Table 5 Economic and Non-Economic Instruments for Climate Friendly Urban Planning 115
List of Figures
Figure 1 Urban extent of Pittsburgh and Stockholm, shown at the same scale �� 86
Figure 2 A Mapping Analysis of Portland’s 20-minute Neighbourhood �� 92
URBAN PLANNING LAW FOR CLIMATE SMART CITIES vi

Foreword
Urban areas represent a major battleground Collectively, these three outcomes are intended
for climate action. Cities account for between to spur systemic change by designing integrated
60 and 80 per cent of energy consumption and solutions that balance the patterns of human life
according to the Sixth Assessment Report (AR6) and the built and natural environments in cities.
by the Intergovernmental Panel on Climate
UN-Habitat has identified “Cities and Climate
Change (IPCC), they generate as much as 72
Change” as one of its top priorities for 2022-
per cent of human-induced greenhouse gas
2023 which will focus on accelerating the
emissions. At the same time, and quite ironically,
roll-out of the Resilient Settlements for the
urban areas also stand to be severely affected
Urban Poor (RISE UP) Flagship Programme;
by the negative impacts associated with climate
strengthening local climate finance; enhancing
change. Cities are already suffering from extreme
multilevel governance for local climate action;
weather events, flooding, subsidence, storms,
fostering innovation for urban climate action;
heat waves, water scarcity, droughts, and sea-
and promoting climate smart urban basic
level rise among other climate change effects.
services. This emphasis on localized climate
One of the hottest years on record, 2021, closed
action has been reaffirmed by the IPCC, which
with Typhoon Oddette damaging and destroying
has now expanded its focus on urban areas in its
nearly 2 million houses in the Philippines - twice
latest report. It has noted that cities can create
as many as Super Typhoon Haiyan in 2013.
opportunities to increase resource efficiency
Considering that over 55 per cent of the world’s
and significantly reduce GHG emissions through
population live in urban areas as of 2022, and
the systemic transition of infrastructure and
this share is projected to increase to 68 per
urban form through low-emission development
cent by 2050, cities will play a definitive role in
pathways towards net-zero emissions. The
combating climate change and adapting to its
IPCC has also observed that the global trend
effects.
of urbanization offers a critical but time-
Drawing from the New Urban Agenda, which bound opportunity to advance climate-resilient
sets out a shared vision for cities and other development and that integrated and inclusive
human settlements towards strengthened planning of urban infrastructure can significantly
climate action responses and an improved urban increase the adaptive capacity of urban and rural
environment, UN-Habitat has identified climate settlements.
change action as one of its priorities. UN-Habitat
The IPCC report has indicated that a key
aims to strengthen climate action and improve
prerequisite for effective climate action in urban
urban environments through efforts on reduced
areas will depend on regulatory and institutional
greenhouse gas emissions and improved
frameworks through which diverse actors
air quality; improved resource efficiency and
interact, and a basis for policy development and
protection of ecological assets; and effective
implementation.
adaptation of communities and infrastructure to
climate change.
URBAN PLANNING LAW FOR CLIMATE SMART CITIES 1

Hence, this publication is a much needed UN-Habitat is pleased to have collaborated
contribution to achieve effective climate action. with the Commonwealth Secretariat, the United
The IPCC also notes that climate governance Nations Environment Programme, and the
is most effective when it integrates across UNFCCC Secretariat in developing the Urban Law
multiple policy domains, helps realize synergies Module of the Law and Climate Change Toolkit
and minimize trade-offs, and connects national – an innovative online tool designed to help
and sub-national policy-making levels as well countries establish legal frameworks necessary
as ensures close engagement with multiple for effective domestic implementation of the
stakeholders. This recognition of the importance Paris Agreement – to which this publication
of legal and institutional frameworks mirrors is a guide on. It is hoped that this publication,
UN-Habitat’s position which identifies policy, together with the online version of the Toolkit, will
legislation, and governance as “Drivers of be instrumental in fulfilling the potential of urban
Change.” UN-Habitat views this publication as a areas to lead the way and be truly transformative
key contribution to this achieving climate action spaces for climate action.
due to its strong focus on policy, legislation, and
governance.
Maimunah Mohd Sharif
Under-Secretary-General and
Executive Director of UN-Habitat
2 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

UNFCCC, PARIS AGREEMENT, NDCS AND THE REQUIRED INCREASED
AMBITION
UNFCCC Secretariat
Climate change has been described as the The Agreement also clarifies that emission
‘defining issue of our time’ and to adequately
1
reductions are undertaken “in the context
address this issue, the United Nations Framework of sustainable development and efforts to
Convention on Climate Change (UNFCCC) was eradicate poverty” (Article 2 para. 1) and “will be
adopted in 1992 to support global cooperation implemented to reflect equity and the principle of
efforts seeking to limit the threat of the climate common but differentiated responsibilities and
crisis. The UNFCCC came into force in 1994 with respective capabilities, in the light of different
near universal membership (197 Parties); its national circumstances” (Article 2 para. 2).
objective was the “stabilization of greenhouse
According to the 2021 report compiled by the
gas concentrations in the atmosphere at a level
Intergovernmental Panel on Climate Change
that would prevent dangerous anthropogenic
(IPCC) on the physical science basis of climate
interference with the climate system” (Article 2,
change, a 1.5°C temperature rise will be
UNFCCC).
achieved in 2040, on average, in all of the five
The UNFCCC is the parent treaty to two other scenarios modelled by the IPCC, signaling “code
treaties: the Kyoto Protocol, which was adopted red for humanity” according to United Nations
in 1997 and came into force in 2005, and the Secretary-General António Guterres.3 However,
Paris Agreement, which was adopted in 2015 and the report clarifies that the temperature rise can
came into force in 2016. The Paris Agreement be limited and reduced if ambitious action is
brings more clarity to the UNFCCC objective taken immediately, with the Secretary-General
by providing a temperature goal of “well below emphasizing that “there is no time for delay”.
2°C above pre-industrial levels and pursuing Thus, the urgency is greater than ever to achieve
efforts to limit the temperature increase to the objectives of the Paris Agreement.
1.5°C above pre-industrial levels, recognizing
To that end, the Paris Agreement established
that this would significantly reduce the risks
an intricate ambition mechanism. Through
and impacts of climate change”2 (Article 2 para.
bottom-up objectives indicated by each Party -
1 (a), Paris Agreement; emphasis added). In
the Nationally Determined Contributions (NDCs)
addition, the Paris Agreement aims to “[increase]
- parties must undertake and communicate
the ability to adapt to the adverse impacts of
their efforts to address climate change, and to
climate change and foster climate resilience and
report on progress over time (Article 3, Paris
low greenhouse gas emissions development”,
Agreement).
and to make finance flows consistent with such
development (Article 2 para. 1 (b) and (c)).
1 See more at https://www.un.org/en/global-issues/climate-change

2 The sixth assessment (AR6) of Working Group 1 of the Intergovernmental Panel on Climate Change. Available at: https://
www.ipcc.ch/report/ar6/wg1/
3 Available at: https://www.un.org/press/en/2021/sgsm20847.doc.htm

This ambition mechanism has a five-year The NDCs take a variety of forms, including
cycle, in that parties are to present new and economy-wide and sectoral targets, and while
strengthened NDCs at the end of each cycle. some Parties provide specific targets in their
Parties can also revise and resubmit more NDCs, others have framed them in broad policy
ambitious NDCs at any point in time (Article 4 terms. Despite these differences, the NDCs
para. 11, Paris Agreement), which is especially must provide information that is necessary for
important considering the gap between science clarity, transparency and understanding (ICTU),
and the current NDCs. The NDCs, as detailed in as specified in Article 4 paragraph 8 of the Paris
Article 4 of the Paris Agreement, are to consider Agreement.
each country’s specific national circumstances,
Decision 1/CP.21, with which Parties adopted
“reflecting its common but differentiated
the Paris Agreement, also required those Parties
responsibilities and respective capabilities”, and
that had presented their intended NDCs with a
the “best available science”.
time frame up to 2025 to communicate a new
NDCs embody efforts by each Party to reduce NDC in 2020 and every five years thereafter.
national greenhouse gas (GHG) emissions and Parties that had presented intended NDCs with a
to adapt to the impacts of climate change. They time frame up to 2030 were similarly requested
must be elaborated by all Parties and are distinct to communicate or update their NDCs by 2020.
from the requirements of the Kyoto Protocol The five-year ambition mechanism also includes
which only bound developed country Parties to other steps, which are illustrated in the diagram
reduce their emissions. below4:
NDCs
* Adaptation
communication
Preparation
and Implementation * Information on
submission support
Accounting
Consideration of and tracking
Outputs progress
Technical Reporting
Assessment (BTRs*) ETF
GST Information Review

collection and
FMCP**
*BTRs: Biennial transparency reports

**FMCP: Facilitative, multilateral consideration of progress
4 Prepared by the UNFCCC Transparency Division.

According to the NDC Synthesis Report produced The long-term goals, detailed in Articles 2
by the UNFCCC Secretariat in September and 4 paragraph 1 of the Agreement, build on
2021,5 164 new or updated NDCs had been the ratcheting-up of the NDCs and establish
presented by 30 July, 2021. In general, the report guidance on the direction Parties will move
concluded that most new or updated NDCs had towards over time.
increased ambition and provided economy-wide
To review the efforts taken, build mutual
and clear numerical emission reduction targets
trust and confidence, promote effective
and strategies. There were also greater details
implementation and achievement of NDCs,
provided regarding adaptation efforts and their
provide information on adaptation7, and provide
mitigation co-benefits, as well as goals directed
financial, technology transfer and capacity-
at the transition to low-carbon economies. Yet,
building support to developing countries,8
the implementation of these NDCs would still
Article 13 of the Paris Agreement established
lead to an average of 16.3 per cent emissions
the Enhanced Transparency Framework (ETF),
increase from 2010 levels by 2030 even though
which built on reporting under the UNFCCC. The
the IPCC Report Special Report 1.5 specifies
efforts reported by Parties undergo a technical
these emissions need to be reduced by about 45
expert review (TER),9 which identifies advances
per cent from 2010 levels by 2030 to limit the
and areas of improvement. Also, a facilitative,
global average temperature rise to 1.5°C.6 The
multilateral consideration of progress (FMCP)
implementation of many of the submitted NDCs
is undertaken as a Party-led public discussion
is also conditional on the availability of financial
on the state of implementation of the Paris
resources, technology transfer, capacity building
Agreement in the country,10 as shown in the
and other forms of cooperation.
diagram above.
The Paris Agreement also foresees long-term
In the interest of better analyzing the advances
goals which should be achieved by the second
in ambition, including in the implementation of
half of this century. These aim at peaking GHG
NDCs and additional adaptation and finance
emissions as soon as possible and bringing
efforts, the Paris Agreement also prescribes a
about rapid reductions, in accordance with the
global stock take (GST).
best available science.
5 Available at: https://unfccc.int/sites/default/files/resource/cma2021_08_adv_1.pdf

6 Ibid, para. 13. For more information view the Intergovernmental Panel on Climate Change, Special Report 1.5, Summary for
Policymakers. Available at: https://www.ipcc.ch/site/assets/uploads/sites/2/2019/05/SR15_SPM_version_report_LR.pdf
7 Parties should provide “information related to climate change impacts and adaptation under Article 7, as appropriate” (Paris
Agreement, Article 13 para. 8).
8 “Developed country Parties shall, and other Parties that provide support should, provide information on financial, technology
transfer and capacity-building support provided to developing country Parties under Articles 9, 10 and 11” (Paris Agreement,
Article 13 para. 9).
9 Paris Agreement, Article 13, para. 11. The TER will be conducted by technical experts with relevant qualifications nominated
by Parties and as appropriate, intergovernmental organizations, per Decision 18/CMA.1, para 5. For more information, view
Decision 18/CMA.1, Annex.
10 Paris Agreement, Article 13, para. 11. For more information, view the Reference Manual for the Enhanced Transparency
Framework under the Paris Agreement, available at: https://unfccc.int/sites/default/files/resource/ETFReferenceManual.pdf

In 2023 and every five years thereafter, Parties Beyond the international arena, immediate
will take stock of the implementation of the Paris collective climate action is needed and national,
Agreement to assess the progress on achieving state/regional and municipal/local governments,
its purpose and long-term goals. as well as non-state actors, must cooperate and
align policies and efforts to ensure the climate
To achieve the full and effective implementation
crisis is effectively dealt with. For this reason,
of the NDCs and adaptation measures to
domestic legislation, including urban law and
ensure the success of the Paris Agreement, it
policy, is a necessary part of addressing climate
is fundamental to have effective and aligned
change mitigation, adaptation and resilience,
domestic laws and policies.
and preventing loss and damage, as will be
detailed below.
THE LAW AND CLIMATE CHANGE TOOLKIT: AN INTRODUCTION

UNEP
As a pressing global issue, an effective response The law also holds several advantages over ‘soft
to climate change requires deliberate and mechanisms’, including the increased chance of
sustained action from both state and non- enforceability through incentives and penalties,
state actors that is anchored in domestic as well its power to facilitate economic and social
implementation of the Paris Agreement through change. Considering the way in which NDCs
nationally determined contributions (NDCs) are formulated and the unique circumstances
and the monitoring and reporting of the actions of each country, the need arose for a non-
taken. Implementing NDCs requires supportive prescriptive tool that allows each user to work
regulatory and institutional frameworks and within the scope of their country’s own needs to
a regular assessment of the adequacy and obtain results that that are tailored specifically
effectiveness of these frameworks. The law for them.
performs a crucial role in supporting climate
The Law and Climate Change Toolkit is an
action. Strong comprehensive laws can create
innovative online tool designed to help countries
legally binding obligations to set GHG emission
establish legal frameworks necessary for
reduction targets and adaptation goals, create
effective domestic implementation of the Paris
oversight bodies and coordination mechanisms
Agreement. It is designed for use by government
to bring together and clarify responsibilities
policymakers, officials involved in technical
across levels of government, and lay down
and legal drafting, international organizations
obligations to mainstream climate change action
and experts engaged in assisting countries to
into national and sub-national plans. Legislative
design, review and implement national climate
frameworks may also create specialized funds
change laws and other laws that impact on
and budgets, facilitate monitoring and reporting
climate change action, as well as academic and
obligations, and integrate important democracy
research institutions. Key features of the Toolkit
elements such as the right to public participation,
include functionalities to search existing climate
access to information and access to justice.
change-related legislation and provisions and
to undertake an assessment of a selected
country’s legislation.

It is comprised of several thematic modules, partnerships with several specialized entities,
including dedicated climate laws and including the Food and Agriculture Organization
governance, energy, agriculture and urban of the United Nations, the United Nations
planning, with each module being further Conference on Trade and Development, the
broken down into discrete categories directed at United Nations Human Settlements Programme
allowing users to focus on the areas of law most (UN-Habitat), the United Nations High
applicable to their unique circumstances. Commissioner for Refugees and the European
Bank on Reconstruction and Development.
The Toolkit is a collaborative effort between the
Commonwealth secretariat, the United Nations Anyone seeking access can register for free to
Environment Programme and the UNFCCC use the Toolkit and is granted full access to all
secretariat, working in close cooperation with sections of the website. Currently, the website
international organizations, partner countries, consists of three main functionalities: the
academic institutions, development banks and Legislation Explorer; the Legal Assessment; and
research institutions. Ongoing sector-specific the Assessment Profile. A further functionality,
assistance is provided through strategic Lessons Learned, will be developed in the future.
KEY FUNCTIONALITIES
LEGISLATION EXPLORER
Built on the foundation of existing legislative The assessment profiles for each country, which
databases, the Legislation Explorer allows users can be customized for each specific search,
to search through dozens of legal instruments further ensure that the results of any search are
that have been uploaded and tagged against relevant to the specific circumstances of the
carefully chosen legal terms related to climate country for which the search is being conducted.
change and the various thematic modules of the
Toolkit. Through the legislation search function,
LEGAL ASSESSMENT
users can search for relevant laws and provisions The Legal Assessment tool is the core feature
by way of a free text search or through use of of the Toolkit and its key innovation. This
a guided taxonomy that organizes the various functionality of the Toolkit is designed to help
categories in a hierarchical classification. users identify priority areas for climate law review
To enhance the relevance of information and potential areas of legislative or regulatory
provided by the Toolkit, users are also able to reform. The user can begin assessments by
filter results by country, year of the legislation, selecting a country from the list found on the
type of instrument, country emission profiles, opening page of the Legal Assessment tool.
population, or cross-cutting categories. Once the user begins an assessment, they can
choose any of the thematic modules or subject
ASSESSMENT PROFILE
areas available on the site. These modules
The Assessment Profile section provides include dedicated climate laws and governance,
climate change statistics and information on all energy, agriculture and urban planning.
countries in the world, and includes information
on mitigation and adaptation focus areas.

The user can then undertake an assessment on follow-up questions or will record a gap in the
all sub-categories within a module or conduct legislative scheme that will be identified at the
an assessment under any section of a module end of the assessment. Once the assessment
to suit their needs. The user can also choose is completed, for each gap identified, the Toolkit
which questions to answer under each specific will suggest exemplary legislation and specific
category. Once a user chooses a module and provisions from legislation around the world
section, they are presented with a cascading that may assist in responding to that gap. By
series of questions about their domestic providing several examples for each gap, the
legislation that are intended to identify potential user is free to assess the style and content of a
gaps in the existing legislative scheme. For each legal provision that would best suit the needs of
answer given, the Toolkit will either suggest a specific country.
GLOBAL EFFECTS AND REAL RESULTS
The Toolkit seeks to have a truly global, solutions- Although continually being updated with new
oriented impact, empowering countries to legislation, the Toolkit is already capable of
autonomously enhance domestic legislation by shaping the development of environmental
assessing existing legislative schemes through a law, both at an early stage in the legislative
critical lens. In doing so, it aims to help countries development process and after legislation has
put in place the legal frameworks necessary for already been adopted and implemented. It is
effective domestic implementation of the Paris already being used as a diagnostic tool to initiate
Agreement and their NDCs. technical legal assistance to countries around
the world in the review and development of their
By highlighting gaps in legislative frameworks
national legislation.
around the world that may hinder action on
climate change and then providing users with
examples of legislative provisions that were
created to accelerate climate action in countries
with similar concerns, the Toolkit aims to take
a non-prescriptive approach to addressing the
legislative needs of each country in relation to
climate change-related legislation.

Introduction: The Urban Law Module
UN-Habitat
Urban areas account for two thirds of greenhouse by including the commitment to promote
gas emissions and energy consumption, making “international, national, subnational and local
them major contributors to climate change. climate action, including climate change
Ironically, they also stand to be severely affected adaptation and mitigation, and to support the
by the negative impacts associated with climate efforts of cities and human settlements, their
change. Cities are already suffering from inhabitants and all local stakeholders to be
extreme weather events, flooding, subsidence, important implementers”, and “mainstreaming
storms, heat waves, water scarcity, droughts of disaster risk assessments into land-use policy
and sea-level rise, among other climate change development and implementation, including
effects. Considering that as of 2022 over 55 urban planning”, respectively. Recognizing the
per cent of the world’s population lives in urban huge potential that cities have to steer growth
areas and this share is projected to increase towards lower GHG emissions and more resilient
to 68 per cent by 2050,11 cities are one of the systems led to UN-Habitat joining UNEP, the
main battlegrounds for climate change action. UNFCCC secretariat, and the Commonwealth
Indeed, the most vulnerable regions are where secretariat to develop the Urban Law Module of
urbanization will take place more rapidly. the Law and Climate Change Toolkit.
Of the 2.5 billion people expected to live in The way in which cities and human settlements
cities in the next three decades, 90 per cent of are planned, designed, governed and managed
them will be in Asia and Africa. A growing urban has an impact on their resilience and adaptation
population not only makes the prospects of to climate change and on their GHG emissions.
higher emissions real, but it also means that Urban law has an important role to play in
many people will be at heightened risk from the increasing cities’ resilience and in helping cities
adverse effects of climate change, including reduce their emissions: it defines urban forms,
millions of informal settlers, whole populations where land, infrastructure and basic services can
in coastal areas, delta regions and Small Island be built; lays out rules for planning and decision-
Developing States, as well as substantial making; and sets the context within which urban
numbers in arid and semi-arid areas. authorities, local governments and communities
are expected to fulfil their mandate and react to
The role of cities has been recognized by the
emerging challenges.
Paris Agreement, which identifies them as
“important stakeholders, capable of mobilizing Law can be used to direct spatial planning
strong and ambitious climate action”.12 and design in a climate friendly direction
and promote positive outcomes by directing
The New Urban Agenda and the Sendai
behaviour towards collectively agreed public
Framework on Disaster Risk Reduction also
objectives.
put urban areas at the centre of climate change
11 UNDESA (2018). 2018 Revision of World Urbanization Prospects.

12 Preamble to decision 1/CP.21.

In many countries, the laws, institutions and promoting climate-friendly urbanization and
policies governing urban planning in cities have increasing the resilience of urban population.
unintended effects on their capacity to adapt to
Accordingly, this module has a particular
the changing climate and promote urban forms
emphasis on urban law, and highlights its role
that increase GHG emissions. The enormous
in promoting climate-friendly urbanization and
potential of urban and regional planning to
increasing the resilience of urban populations
improve urban climate resilience is increasingly
and systems while also recognizing that the law
recognized. The recently adopted Glasgow
may, deliberately or inadvertently, undermine
Climate Pact, signed on 13 November 2021,
climate change action if not properly designed
urges Parties to further integrate adaptation
and implemented. The Urban Law Module
actions into local, national and regional planning.
is comprised of the following five sections:
The pact also explicitly calls for multilevel, governance framework for urban and climate
cooperative action, and the role of local and planning; urban and territorial planning; urban
regional governments in advancing and planning and design for adaptation; urban
implementing the climate goals of the Paris planning and design for mitigation and economic
Agreement. This will require a reflection on the and non-economic instruments for climate
adequacy of existing planning frameworks in friendly urban planning.
THE COMPANION GUIDE TO THE ONLINE VERSION OF THE TOOLKIT
This companion guide on Urban Planning Law It also highlights public participation, data
for Climate Smart Cities helps users to navigate collection and sharing among public agencies,
through and use the online version of the and their dissemination to the public.
Toolkit. Its structure replicates the five sections Furthermore, recognizing that NDCs under the
of the online module and, for each section and Paris Agreement will need to cascade down and
question, provides a narrative description and be implemented at the local level, this chapter
examples of legal provisions. pays specific attention to the powers of local
authorities to ensure climate-friendly urban
Chapter 1 covers multi-level governance
planning and land use.
which, in the climate change context, has been
defined as the “structural and institutional Chapter 2 is dedicated to planning instruments
setting in which different levels of government and is inspired by the New Urban Agenda (NUA),
distribute roles and responsibilities, coordinate which calls for the integration of climate-change
and cooperate on climate action as well as the adaptation and mitigation considerations and
specific instruments that are implemented at measures in urban and territorial development
different levels of government to support and and planning processes. The chapter focuses
implement local climate action”.13 It focuses on planning frameworks exhibited by countries,
on inter-governmental and intra-governmental the most common of which is a three-tiered
cooperation built around broad consultative hierarchy with national, sub-national (regional)
processes and mechanisms for vertical and and local levels.
horizontal cooperation and integration.
13 GIZ (2020). Multi-Level Climate Governance Supporting Local Action.

The objective of this chapter is to ensure that Chapter 4 is based on the understanding that
planning frameworks at all these levels have urban areas account for between 60 and 80
mechanisms for integrating climate change, per cent of energy consumption and generate
such as through land-use classification and as much as 70 per cent of human-induced
integrated transport and infrastructure networks. GHGs. It recognizes that urban planning has
It also seeks to promote harmony between the potential to steer urban development
territorial plans and climate change plans, as towards low-carbon urban development
well as coherence between plans at all levels – through advocating for climate-friendly urban
from the national to the local. The chapter also forms geared towards reducing vehicular trips
underscores the need for the plans to consider and, instead, encouraging the use of non-
how their implementation will be affected by motorized transport such as walking and
climate change in addition to the emission levels cycling. It considers elements such as density,
associated with them. land-use mix, connectivity and accessibility.
This chapter also highlights the importance of
Planning for adaptation is comprehensively
green spaces for environmental and climate
covered in chapter 3. It is in line with the Paris
services and the role of legislation in promoting
Agreement, which recognizes that “adaptation is
energy saving in buildings. These elements are
a global challenge faced by all” and is key to “the
complemented by a sub-chapter on monitoring
long-term global response to climate change
and enforcement.
to protect people, livelihoods and ecosystems”,
as well as the Cancun Adaptation Framework14 Chapter 5 of the Urban Law Module is on
and the NUA. The chapter is divided into seven economic instruments. It recognizes that
sub-chapters that contain the most important the measures that cities need to undertake,
elements for use of the law for successful including all those discussed in chapters 1 to
adaptation in urban contexts. The sub-chapters 4, require financial resources for successful
include climate risks and vulnerability for implementation. Public finance has traditionally
planned areas and infrastructure, identification formed the bulk of climate finance and requires
and prioritization of adaptation options, and sufficient consideration, which is addressed
implementation of the identified adaptation by the encouragement of inter-governmental
options. This chapter recognizes that almost transfers and vesting local governments with
a billion people live in environmentally fragile a revenue-collection mandate. Nonetheless,
informal settlements characterized by insecure the chapter recognizes that most countries
tenure and limited access to basic services lack sufficient public funds to cover the
and risk-reducing infrastructure; thus, there mitigation and adaptation costs associated
is a sub-chapter on the adaptation of informal with climate change, a situation that more
settlements and other vulnerable settlements. acutely affects local governments, especially
Planned relocations from areas at risk of climate in developing countries. Accordingly, private
change, security of tenure, and development finance is also highlighted through a focus on
approval and adaptation are also covered in the mobilization of investment capital and public-
chapter. private partnerships. Moreover, behavioural
change through incentives and disincentives is
highlighted, as these play an influential role in
promoting or discouraging specific adaptation
and mitigation activities.
14 FCCC/CP/2010/7/Add.1 URBAN PLANNING LAW FOR CLIMATE SMART CITIES 11
12
URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT
The Main Street in Cap Haitien © Alex Proimos, Haiti 2012
1. GOVERNANCE FRAMEWORK FOR
URBAN AND CLIMATE PLANNING
Governance refers to the process through which This chapter focuses on multi-level governance
state and non-state actors interact to design characterized by intergovernmental – between
and implement policies within a given set of different levels of government at the national
formal and informal rules that shape and are level – and intra-governmental – within the same
shaped by power.15 It involves the structures level of government - cooperation built around
and processes that are designed to ensure broad consultative processes and mechanisms
accountability, transparency, responsiveness, for vertical and horizontal cooperation and
rule of law, stability, equity and inclusiveness, integration. Participation by urban stakeholders
empowerment and broad-based participation. is also essential to climate governance as
Governance also represents the norms, are data collection and sharing among public
values and rules of the game through which agencies as well as their dissemination to the
public affairs are managed in a manner that general public. Furthermore, recognizing that
is transparent, participatory, inclusive and nationally determined contributions (NDCs)
responsive, and sets the parameters under under the Paris Agreement will need to cascade
which management and administrative systems down and be implemented at the local level, this
will operate. In the climate change context, the
16
section pays specific attention to the powers
magnitude and urgency of the challenge calls for of local authorities on steering and controlling
an emphasis on strong and effective governance climate-friendly urban planning and land use.
systems and practices.
1.1. MULTI-LEVEL INSTITUTIONAL COORDINATION
Multi-level governance in the climate change For the purposes of this section, the definition is
context has been defined as the “structural and broken down to comprise vertical coordination
institutional setting in which different levels of between governments at various levels as well
government distribute roles and responsibilities, as horizontal coordination within and amongst
coordinate and cooperate on climate action, and governments (and their departments) at the
the specific instruments that are implemented same level.
at different levels of government to support and
implement local climate action”.17
15 World Bank (2017). Governance and the Law.

16 UNESCO. “Concept of Governance”. Available at: http://www.ibe.unesco.org/en/geqaf/technical-notes/concept-governance
17 GIZ (2020). Multi-Level Climate Governance Supporting Local Action.

1.1.1. VERTICAL INTER-INSTITUTIONAL COORDINATION
Urban-related climate change action in countries For example, South Africa’s Spatial Planning
takes many forms, including the development of and Land Use Management Act 2013 contains
relevant policies and legislation (which many be a legal requirement for the national government,
sectoral such as housing, environmental, energy, the provincial governments and municipalities
transport etc.) and mitigation and adaptation to participate in the planning and land-use
plans. Some of these actions precede the management processes that impact on each
Paris Agreement and represent longstanding other to ensure that the plans and programmes
commitments from these countries under are coordinated, consistent and in harmony
the UNFCCC and the Kyoto Protocol. These with each other (Section 12.2.a). In India, the
domestic measures are, in some countries, National Action Plan on Climate Change 2008
reflected in their NDCs while in others they are promotes vertical coordination between the
not. At the same time, there are countries which national government – through the Ministry
have submitted their NDCs under the Paris of Environment and Forests – and the state
Agreement but have not adequately linked them governments as it requests all states to
to implementation actions at the sub-national develop State Action Plans on Climate Change
and local levels. Regardless of the form, however, to ensure sub-national implementation of
it is noteworthy that national, regional and local climate change commitments. In Colombia, the
governments play crucial roles in translating Political Constitution of 1991 establishes the
internationally expressed commitments into National Planning Council, a consultative body
concrete actions. that is part of the National Planning System to
discuss the National Development Plan among
While international accountability for preparing,
the national government and representatives
communicating and implementing the NDCs is
of the territorial entities and of the economic,
with the national government, the implementation
social, ecological, community and cultural
of actions relies on coordinated actions across
sectors (articles 340 and 341). In Mexico, the
the various levels of governments. Coherence
General Climate Change Law 2012 provides
and coordination of measures between national
for coordination between the national and
and sub-national governments is necessary
sub-national levels. It requires the country’s 32
for effective climate actions in urban contexts;
federal states to develop, conduct and evaluate
this may be promoted through both formal (and
the state-level climate change policy, implement
institutionalized) measures as well as informal
mitigation and adaptation actions, develop and
mechanisms that incentivize governments to
implement their own climate change programs,
coordinate their actions. Suggestions include
and integrate their emission source data into the
contracts or other formal legal agreements
National Emissions Inventory and the State Risk
between levels of government, conferences
Atlas. Informal measures may take the form of
between national and subnational governments
platforms for policy exchange or performance
and forms of fiscal grants or other financing
indicators (Article 38-43).18
mechanisms with attached conditionalities.
18 UNESCAP (2020). Vertical Integration of Climate Change Policies and Actions in Asia-Pacific Countries.

1.1.2. NATIONAL INTER-INSTITUTIONAL COORDINATION
In addition to vertical coordination, multi- Coordination among national-level institutions

level governance also requires horizontal such as line ministries can be promoted through
coordination. Institutions at both the national specific legal provisions requiring collaboration
and sub-national levels need to be able to work across these ministries, providing financial
collaboratively within and amongst themselves. incentives and establishing soft mechanisms
Institutional arrangements vary among such as policy exchange fora.
countries, but it is common to find ministries
In Vietnam, the Urban Planning Law 2009
dealing with infrastructure, urban planning,
mandates ministries and ministerial-level
housing, finance, energy, agriculture, transport,
agencies to coordinate with the Ministry of
land and environment.
Construction when performing functions related
In some countries, these areas are dealt with to urban planning (Article 14.3). Similarly,
through different ministries while others Namibia’s Urban and Regional Planning Act
combine them under one ministry (although 2018 requires the minister responsible for urban
even in these cases they could still be under and rural development to consult with other
separate departments within the ministry). offices, ministries and governmental agencies
In both scenarios, national inter-institutional that perform spatial planning-related functions
coordination is essential. For instance, transport in developing planning standards (Section 3.3).
systems are closely connected to urban In Kenya, national inter-institutional coordination
planning and land-use practices in that higher is promoted through a “whole of government
availability of motorized transport infrastructure approach” introduced by the Climate Change
may contribute to urban sprawl and greater Act 2016. This creates climate change units in
emissions. Similarly, housing policies and every government ministry and state agency
energy use are linked, as green housing policies (Section 15) and establishes a high-level
may steer buildings towards improved energy climate change council which reports to the
efficiency. president (Section 5). The Colombian General
Environmental Law (Law 99 of 1993) gives
These inter-linkages mean that policies in one
the Ministry of Environment the responsibility
sector can promote or undermine planned
to establish the environmental criteria to be
actions in another sector. The need to coordinate
incorporated into the formulation of sectoral
is also underscored by the fact that different
policies and in the planning processes of other
ministries may make use of different policy and
ministries and entities after consultation with
implementation instruments.
these bodies (Article 5).
1.1.3. METROPOLITAN INTER-JURISDICTIONAL COORDINATION

The growth of metropolises is one of the most zone, which consists of suburban, peri-urban
prominent urbanization trends of this century. A and rural areas economically and socially linked
metropolis is defined as a city and its commuting to the city.19
19 This definition has been proposed by the United Nations Statistical Commission and is endorsed by other UN reports such
as the World Urbanization Prospects (UNDESA) and the Global State of Metropolis 2020: Population Data Booklet (UN-Habitat)
because it captures the full extent of a city, including the dense areas beyond the municipal boundaries.

Approximately 2.59 billion people were living In Canada, Quebec’s Law C-37.01 establishes
in metropolises in 2020, which is equivalent to the Montreal Metropolitan Community, which is
one third of the world’s population.20 As local made up of various municipalities listed within
jurisdictions within a metropolis are connected the law. It lays out formal mechanisms in which
areas with strong territorial interdependencies the municipalities falling under the metropolitan
(ranging from economic, social, and area may collaborate, such as through the
environmental) regardless of administrative creation of a council of 28 members comprising
boundaries, it is essential that these of mayors of the municipalities (Section 4). In
interdependencies are managed in an integrated Colombia, the Territorial Development Law (Law
way. Urban residents need to access goods and 388 of 1997) requires municipalities within the
services without jurisdictional constraints, and same metropolitan area to coordinate their work
it must be noted that environmental challenges, under the metropolitan board that they are a part
including climate change, do not recognize of (Article 24) to ensure that the implementation
administrative municipal boundaries. These of their strategies is in harmony with the broader
factors call for an emphasis on coordination goals of the board. Additionally, the Regime for
among local jurisdictions that belong to the same Metropolitan Areas (Law 1625 of 2013) provides
metropolitan area. The legal framework may for the possibility of departments of two or
require municipalities to coordinate planning more metropolitan areas to jointly organize the
across municipal borders when it is expedient to provision of public services, the execution of
do so as has been done by the Norway Planning regional works and the fulfilment of their own
and Building Act 2008 (Section 9.1). administrative functions (Article 34).
1.1.4. URBAN-RURAL COORDINATION
The rationale behind metropolitan inter- linkages and there is need for coordinated
jurisdictional coordination also applies to approaches. For example, Malawi’s Physical
coordination between neighbouring cities and Planning Act 2016 calls for the establishment of
rural areas that are part of the same economic, joint committees where an area earmarked for
social or environmental functional areas. physical development lies within the boundaries
Administrative boundaries should not get in of two or more local government authorities
the way of constructive collaborations between as one of the ways of facilitating urban-rural
urban and rural areas where there are sufficient coordination (Section 19.2).
1.1.5. LOCAL INTER-INSTITUTIONAL COORDINATION
Horizontal coordination should also be carried Several countries have already reflected this
out at the local level. Line departments such as need in their legislation. For example, the
those dealing with housing, infrastructure, urban South Africa Spatial Planning and Land Use
planning, environment and natural resources, Management Act 2013 provides that a municipal
energy and utilities within local governments spatial development framework must “provide
need to work in a coordinated and coherent the spatial expression of the coordination,
manner for effectiveness. alignment and integration of sectoral policies of
all municipal departments” (Section 21.m).
20 UN-Habitat (2020). Global State of Metropolis 2020: Population Data Booklet.

1.2. PARTICIPATORY GOVERNANCE
Stakeholder participation is a critical component (the Aarhus Convention), and a regional

of governance. Involving stakeholders not agreement (the Regional Agreement on Access
only increases the quality of proposals and to Information, Public Participation and Justice
ensures that they respond to the real needs in Environmental Matters in Latin America
of the people but also improves compliance and the Caribbean (the Escazú Agreement).
due to increased buy-in from them. Public Specific to the climate change legal regime,
participation in environmental decision-making UNFCCC calls for public participation in
was recognized under Principle 10 of the addressing climate change and developing
Rio Declaration. To catalyse and accelerate adequate responses21 and the Paris Agreement
implementation of Principle 10, governments identifies public participation as one of the
adopted the Guidelines for the Development of elements of enhancing climate actions.22
National Legislation on Access to Information, Accordingly, this section elaborates on the
Public Participation and Access to Justice in importance of the involvement of stakeholders
Environmental Matters (the Bali Guidelines) at in urban planning processes. In particular, it
the 11th Special Session of UNEP’s Governing focuses on “meaningful” participation, with the
Council/Global Ministerial in Bali, Indonesia, in understanding that stakeholder involvement
2010. Principle 10 became the subject matter should not be a cosmetic exercise merely
of a legally binding global instrument, the undertaken to fulfil formal requirements. Instead,
Convention on Access to Information, Public public participation should enable residents to
Participation in Decision-making and Access to actively have their views and needs integrated
Justice in Environmental Matters into the process and reflected in the outcome.
1.2.1. IDENTIFICATION OF STAKEHOLDERS AND COMMUNITIES
For participation to have an impact, there must Norway offers a good example of a law that
be a deliberate effort to identify stakeholders requires public authorities to first identify
and communities whose interests may be stakeholders and communities in urban
either directly or indirectly affected by urban planning. The Planning and Building Act 2008
planning and climate change processes. Proper requires that before urban plans are prepared,
identification is important to the outcome of there first needs to be a planning programme
any consultative process to promote inclusivity which gives an account of the purpose of the
and avoid capture by strong interest groups. planning work, how the planning process will be
Urban planning processes should include a structured, including time limits, the participants
mechanism through which relevant stakeholders and arrangements for public participation,
are identified from the outset as a precursor to particularly in relation to groups presumed to be
discussions that would follow. particularly affected (Section 4.1).
21 Article 6.a.iii
22 Article 12.

In Chile, the National Action Plan on Climate councils and municipalities as well as
Change 2017-2022 has provided the basis for businesses, citizens, NGOs and academia as key
the establishment of Regional Committees stakeholders in bridging the gap between climate
on Climate Change (CORECCs) which identify change and regional development plans, regional
regional representatives of ministries, regional climate finance and local implementation.23
1.2.2. OPPORTUNITIES FOR PARTICIPATION
Urban planning processes in most countries This question thus seeks to assess and, in doing
include participation by stakeholders. However, so, encourage participation opportunities to
the opportunity to participate in a substantial be spread across the planning process - and
number of these processes is often limited not simply after urban plans have already been
to providing comments after urban plans developed - as a way of promoting “meaningful”
have already been developed. Stakeholders’ participation.
involvement in the preparation stage is usually
For example, the Dominica Physical Planning
non-existent or severely limited due to lack
Act 2002 provides that before any plan is
of avenues for input delivery. Accordingly,
developed, there should first be a “proposal
participation in such contexts only gives a veneer
for the preparation of a development plan”
of public input and, where the same is required
which needs to include proposals for obtaining
by law, fulfils the formal requirements while not
representations from people likely to be affected
actually giving communities and other relevant
by or interested in submitting representations
stakeholders the platform to have their views
and views on the proposed plan during the course
heard and considered. Inputs from the public
of its preparation; and proposals for the review
are more likely to influence the planning process
of the plan by sectoral agencies and private
and the outcome if they are received throughout
sector representatives (Section 18.2.d). The Act
the entire process rather than at the end as it is
further adds that during the preparation of a
relatively more difficult to change urban plans
development plan and before finally determining
after they have already been developed. Notably,
its content for submission to the minister, the
Guideline 8 of the Bali Guidelines calls for states
Physical Planning and Development Authority
to ensure opportunities for early and effective
must ensure that adequate publicity is given in
public participation in decision-making related
the area to which the plan relates, the matters
to the environment. To that end, stakeholders
which it proposes to include in the proposals
should be informed of their opportunities to
and that stakeholders are given an adequate
participate at an early stage in the decision-
opportunity to make representations (Section
making process. Guideline 9 goes further
10).
and requires states to proactively seek public
participation in a transparent and consultative
manner, including efforts to ensure that
members of the public concerned are given an
adequate opportunity to express their views.24
23 GIZ (2018). Multi-Level Climate Governance – Supporting Local Action. Available at: https://collaborative-climate-action.
org/multilevel-climate-governance-supporting-local-action/
24 UNEP (2015). Putting Rio Principle 10 into Action: An Implementation Guide.

1.2.3. CONSIDERATION OF SPECIFIC COMMUNITY NEEDS
This element goes a step further than the two are not conversant with “official” languages.
preceding ones. After stakeholders have been Rwanda’s Regulations on the Content of Urban
identified and a broader participation platform Planning Documents 2015 offers a good
availed of, the next step is ensuring that specific example in that urban planning documents are
community needs are considered. That is, that required to have a background study with a
participation is genuinely aimed at addressing citizens’ needs assessment that is conducted
stakeholder concerns and not just fulfilling through a survey and documented consultative
legislative requirements. Furthermore, modes of meetings with community, local authorities, the
participation need to be accessible and suitable private sector, and other local organizations,
to the concerned community. For instance, it including results and recommendations from
should be possible for representations to be made these meetings (Article 3).
in local languages where most of the population
1.2.4. STAKEHOLDERS AND COMMUNITY FEEDBACK

Public participation should influence the Even where views are not reflected in the final
priorities and content of urban plans. It must outcome, good governance requires that such
have, as its main aim, the consideration of and views are accounted for. The best practice is
response to community needs and priorities. exhibited where public authorities consider
Guideline 11 of the Bali Guidelines requires due stakeholder and community views and where
account to be taken of comments from the public such are rejected, reasons are provided. The
in the decision-making process and that the Sweden Planning and Building Act 2010
decisions are made public. Indeed, in addition
25
mandates municipalities to compile submitted
to improving the quality of urban plans, when opinions in a special report and account for
community views are taken into consideration, proposals that may arise from those opinions
adherence with the plans is eased. (Cap 3-Section 17).
1.2.5. ACCESS TO DISPUTE-RESOLUTION MECHANISMS
The nature of urban planning decisions and the Appeals Tribunal with jurisdiction over disputes
diverse range of involved stakeholders, as well as related to development permits (Section 53). In
the potential to affect proprietary interests and some countries, even people whose interests
cultural aspects of life, make disputes very likely. have not been directly affected are still allowed
A strong governance system needs to include to file cases provided a breach of planning
dispute-resolution and appeal mechanisms for regulations is present. The Samoa Planning and
affected people and communities. Most laws Urban Management Act 2004 empowers the
related to urban planning and land use often Planning and Urban Management Agency or any
create bodies for these purposes. For instance, interested person to bring proceedings in the
the Mauritius Planning and Development Act Supreme Court for an order to remedy or restrain
2004 provides for the establishment of a Planning a breach of the Act (Section 83.2).
25 Ibid.

The Colombian Territorial Development Law This enforcement action has a relevant
(Law 388 of 1997) provides any person with impact since it allows citizens to obtain the
the right to resort to the judicial authority to enforcement of a law or an administrative act by
enforce compliance with a law or administrative the administrative authority allegedly in default.
act related to the application of urban planning
instruments provided for in the national
regulations (Article 116).
1.3. DATA COLLECTION AND SHARING
Data collection and sharing is one of the Accordingly, this part calls for:
essential ingredients of effective governance as
■ Vertical data collection and sharing between
it assists public bodies to make more informed
local, subnational and national levels
policy decisions. Data sharing is particularly
critical to evidence-based governance as it ■ Horizontal data collection and sharing
allows the aggregation of data from a wide among subnational governments (different
range of sources at greater quantities which can cities, regions, provinces)
reveal new correlations and patterns that can
help governments to tackle multi-dimensional ■ Local data collection and sharing among
challenges. It reveals correlations that would different departments and institutions in
otherwise remain invisible and, by readily the same city.
availing data, reduces searching and processing
Norway’s Planning and Building Act 2008
times which in turn help to speed up decision-
requires municipalities to keep an up-to-date,
making and improvement in efficiency.26
public set of basic map data related to the Act’s
Considering that climate change has the objectives and obligates central government
potential to impact almost every sector of a authorities to make national map data available
country’s domestic policies, coupled with the to all municipalities. Central governments and
fact that urban planning and land use have direct regional and municipal bodies are required to
effects on energy use, agriculture, transport organize geodata in a way that ensures that
and waste production, among others, it is vital the information is readily available for use in
that data collection and sharing practices are processing planning and building applications.
undertaken to promote sectoral integration The Act also adds that the basic map data must
in the climate change context. These should be available for use for other public and private
happen between governments at all levels purposes (Section 2.1).
(vertical data collection and sharing) as well as
horizontally among subnational governments
(different cities, regions, provinces) and within
local government departments and institutions.
26 Law Commission of England and Wales, “Data Sharing Between Public Bodies: A Consultation Paper” Consultation Paper No
214.
1.4. LOCAL GOVERNMENTS’ MANDATE FOR URBAN
PLANNING IN URBAN AREAS
The principle of subsidiarity stipulates that This sub-section proposes that, as the closest
authority and resources should be at the level level to the people, it is preferable that local
of authority that is closest to the people most governments be vested with the mandate for
affected by decisions to ensure effective, urban planning. The legal framework should
appropriate and cost-effective delivery. In the clearly lay out the roles and responsibilities of
urban context, the closest level is represented local governments. To successfully implement
by local governments which perform a variety their mandates, attention needs to be paid to
of functions that may have an impact on building the capacities of local authorities. Inter-
climate change mitigation and adaptation. municipal collaborations beyond administrative
Local governments have unique knowledge of boundaries for urban and infrastructure planning
their territories and of the climate challenges is also one of the important elements under this
affecting them. They are more likely to accurately sub-section.
appreciate the needs and concerns of their
local population and it is also more likely that
their authority will be accepted as legitimate.
1.4.1. LOCAL GOVERNMENTS’ CLEAR INSTITUTIONAL ROLES AND

RESPONSIBILITIES
The functions, powers and responsibilities of The Malawi Physical Planning Act 2016
local governments should be clearly outlined. A makes it clear that the preparation of local
clear definition is one that sets out the institutional physical development plans for the area
roles and responsibilities with no overlapping within its jurisdiction is the responsibility of
or conflicting mandates between institutions. a local government authority (Section 35.1).
Clarity of roles avoids institutional conflicts and In Tanzania, the Urban Planning Act 2007
gaps in implementation. There should also be empowers every city council, municipal council,
clear requirements for decision-making with town council and township authority to be the
limited discretion. The legal framework needs planning authority in its area of jurisdiction
to specify the basis or conditions upon which (Section 7.1) and that the planning authority
decisions will be based. is the entity responsible for controlling and
regulating development in the relevant planning
For instance, a development control framework
area (Section 40). Similarly, the Iceland Planning
should lay out the requirements that need to be
and Building Act 1999 gives municipalities the
met for the grant of a building permit, including
mandate for urban planning by requiring them to
the steps that need to be undertaken, the
prepare municipal plans which cover all the land
documents needed and the timeframes for each
within the municipality’s boundaries and set
decision stage. Discretion of public officials
out the policy regarding land use, transport and
should also be limited, as unlimited discretion
service systems, environmental matters and the
could create room for inefficiency or corruption.
urban development (Article 16).

In the Philippines, the role of local governments The Act further requires municipal and city
is strengthened through the Climate Change Act governments to consider climate change
2009 which provides that local governments adaptation as one of their regular functions
are the frontline agencies in the formulation, (Section 14).
planning and implementation of climate change
action plans in their respective areas.
1.4.2. LOCAL GOVERNMENT CAPACITY BUILDING

Urban areas not only substantially contribute to Mechanisms include defining adequate
climate change – they account for around two- minimum qualifications of staff, performing
thirds of global emissions – but they are also capacity needs assessments and mandatory
particularly vulnerable to the impacts of climate periodic trainings, promoting knowledge
change, including sea level rise, groundwater exchange with other local governments, and
depletion, fires, food shortages, extreme introducing performance-based incentives,
temperatures and increased frequency of among others. Finland’s Land Use and Building
extreme weather events such as floods, droughts Act 1999 explicitly provides that local authorities
and storms which affect city infrastructure and must have sufficient resources and expertise
the livelihoods and health of residents.27 These available for their functions and, if the local
two factors, coupled with the fact that urban authority’s population is greater than 6,000,
populations are expected to steadily grow to the local authority must have a planner who is
68 per cent of the world’s population by 2050, 28
qualified to manage its planning functions.
mean that local authorities ought to keep pace
Furthermore, every local authority must have a
with the increased demand for sustainable, safe
building inspector for the purpose of building
and inclusive urban areas.
guidance and control. The Philippines’ Climate
Authorities can only fulfil their mandates and Change Act 2009 vests the responsibility to
satisfy these needs if they have been sufficiently prepare Local Climate Change Action Plans in
equipped. As the Paris Committee on Capacity local government units (LGUs) and obligates the
Building has noted, “capacity-building is a critical national government to provide technical and
means of implementation and achieving the financial assistance to them for this purpose.
goals of the Paris Agreement requires enhanced,
sustained and long-term capacity if countries
are to close the gap between ambition and
implementation”.29 Accordingly, there should be
an emphasis on building and improving local
governments’ capacities.
27 REN (2019). Renewables in Cities 2019 Global Status Report.

29 UNFCCC (2019). Paris Committee of Capacity-Building, Coherence and coordination of capacity-building activities of
constituted bodies and in other relevant processes under the Convention.

1.4.3. INTER-MUNICIPAL COLLABORATIONS BEYOND ADMINISTRATIVE
BOUNDARIES FOR URBAN AND INFRASTRUCTURE PLANNING
Rapid urbanization has contributed to the to freely cooperate and combine resources in
expansion of urban areas beyond their traditional executing tasks that commonly affect them,
administrative boundaries in many parts around including urban and infrastructure planning.
the world. The effect of this phenomenon has Inter-municipal collaborations may take the
been the emergence of human settlements that form of an ‘association’ or an ‘inter-municipal
do not fit wholly within any one municipal area community’, with the latter being more
but are spread across two or more. In this sense, institutionalized (Article 127-133). Similarly, in
the administrative boundaries do not correspond the Former Yugoslav Republic of Macedonia,
to functional and morphological boundaries, the Law on Local Self-Government 2002
leading to institutional loopholes and service allows municipalities to create shared public
delivery gaps. For climate-responsive urban agencies and administrative bodies to facilitate
planning in such areas, it is thus essential that cooperation on inter-municipal mandates such
the legal framework devises suitable institutional as urban and rural planning and construction of
arrangements for effective urban governance. infrastructure (Article 14). In Colombia, Article
These may take the form of informal and flexible 14 of Law 1454 of 2011 states that “two or
inter-municipal collaborations for urban and more municipalities of the same department,
infrastructure planning. A good example is or of several departments, may associate
Montenegro’s Law on Local Self Government administratively and politically to jointly organize
2003, which allows local governments, based the provision of public services”.
on the principles of voluntarism and solidarity,

Table 1. Governance Framework for Urban and Climate Planning
Multi-level 1.1 Does your country have provisions in legislation or regulations requiring multi-level
institutional institutional coordination for climate action and urban planning?
coordination
i. Do these include legal provisions that require inter-institutional coordination
Yes/No
among national and subnational governments?
ii. Do these include legal provisions that require coordination across line
Yes/No
ministries at the national level?
iii. Do these include legal provisions that require coordination among local
Yes/No
jurisdictions that belong to the same metropolitan area?
iv. Do these include legal provisions that require coordination between
neighbouring cities and rural areas that are part of the same economic, social Yes/No
or environmental functional areas?
v. Do these include legal provisions that require coordination among different
Yes/No
line departments in local governments?
Participatory 1.2 Does your country have provisions in legislation or regulations requiring engagement with
governance local stakeholders, civil society and businesses in urban planning processes and climate planning
processes?
i. Do these include legal provisions that require stakeholder and community
identification? Yes/No
ii. Do these include legal provisions that grant the right of access to information
Yes/No
across the planning process?
iii. Do these include legal provisions that require participation across the
planning process and not only when the urban plans have already been Yes/No
developed?
iv. Do these include legal provisions that require planning institutions to tailor
Yes/No
participatory processes to specific community needs?
v. Do these include legal provisions that require consideration of and response
Yes/No
to community demands and priorities?
vi. Do these include legal provisions that grant access to dispute or appeals
mechanisms? Yes/No
Data collection 1.3 Does your country have provisions in legislation or regulations requiring data collection and
and sharing sharing arrangements of climate-sensitive information among different institutions dealing with
urban planning and climate planning?
i. Do these include legal provisions that require data collection and sharing
Yes/No
among local, subnational and national levels?
ii. Do these include legal provisions that require data collection and sharing
Yes/No
among subnational governments (different cities, regions, provinces)?
iii. Do these include legal provisions that require data collection and sharing
Yes/No
among different departments and institutions in the same city?

Local 1.4 Does your country have provisions in legislation or regulations assigning local governments
governments’ the mandate for urban planning in their urban areas?
mandate for
i. Do these include provisions with the clear definition of institutional roles and
urban planning Yes/No
responsibilities?
in urban areas
ii. Do these include provisions that require local governments to build and
improve their capacities to implement their mandates? Yes/No
iii. Do these include provisions that require or facilitate informal and flexible
inter-municipal collaborations for urban and infrastructure planning when
Yes/No
administrative boundaries do not correspond to functional boundaries and
morphological boundaries?

URBAN PLANNING LAW FOR CLIMATE SMART CITIES
26
View of the city of Florence from Piazzale Michelangelo with Ponte Vecchio © Peter Kittsteiner, 2018
2. URBAN AND TERRITORIAL PLANNING
Urban planning traces its roots to addressing This overarching importance was further
negative externalities of industrialization elaborated by the Istanbul Declaration at the 1996
and urbanization with a particular focus on Second United Nations Conference on Human
improved sanitation and control of diseases Settlements (Habitat II) and has since been
and epidemics. It has since evolved into a affirmed by the NUA, which calls for readdressing
broader policy instrument that establishes the way cities and human settlements are
long-term, sustainable frameworks for social, planned as a way of ending poverty, reducing
territorial and economic development. The role inequalities, promoting economic growth,
of urban planning in sustainable development fostering resilience and protecting the
was first recognized at the 1972 United Nations environment. 31
The NUA notably goes further
Conference on the Human Environment to require the integration of climate change
and applied to human settlements at the adaptation and mitigation considerations and
1976 United Nations Conference on Human measures in urban and territorial development
Settlements in Vancouver, Canada (Habitat I). and planning processes in recognition that cities
The Vancouver Declaration specifically urges are both major contributors to climate change
states “to adopt bold, meaningful, and effective and the main targets of its effects and risks.32
human settlement policies and spatial planning The adoption of the International Guidelines
strategies ... considering human settlements on Urban and Territorial Planning in 2015 was
as an instrument and object of development”. also a major milestone in recognizing the role
The role of urban planning received further of planning instruments for sustainable and
attention at the 1992 United Nations Conference inclusive urban development.
on Environment and Development (UNCED)
Urban planning frameworks vary among
through Agenda 21 Action Plan, which called
countries but most of them have a three-tiered
for integrated physical and land-use planning
hierarchy with national, sub-national (regional)
to “make the most efficient trade-offs and to
and local levels. The national framework often
link social and economic development with
identifies the broader objectives of planning
environmental protection and enhancement”.30
and strategies for implementation. These are
then adopted and tailored at the sub-national
and local levels through sub-national (regional)
plans and local (urban) plans respectively.
30 “Integrated approach to the planning and management of land resources” (Chapter 10). Agenda 21 Action Plan.
31 Para 5.
32 Para 101.

2.1. NATIONAL TERRITORIAL PLANNING
National territorial plans support, structure In almost all cases, national territorial plans
and balance the system of towns and cities to also recommend policy options, strategies and
fully unleash their economic potential through measures that may be undertaken to promote
existing and planned economic policies and large balanced urban and rural development in a
infrastructure.33 National territorial planning coherent, sustainable, and inclusive manner.
instruments take various forms and many Notably, although at times these plans, strategies
countries have different names for them; for and frameworks go beyond spatial planning
example National Spatial Plan (Kenya, Jamaica to include broader issues such as agriculture,
and Estonia); National Spatial Strategy (Ireland industrialization, tourism and mining, the overall
and Japan); National Spatial Development aim is often finding the most optimum use of
Framework (Ghana); National Framework for space for achieving not only stronger economic
Physical Planning (Philippines); National Spatial prospects from these activities, but also a better
Development Concept (Poland) and National quality of life and the highest environmental
Strategic Plan for Urban Development (Egypt). integrity.
Despite their titles, the underlying objective of
This section of the assessment highlights the
such documents is ensuring balanced social,
most relevant components of climate change
economic and environmental growth. They
mitigation and adaptation in national territorial
often describe the country’s development
planning, and the importance of coordinating
trends, challenges and opportunities; highlight
the national territorial plan with national climate
the main land uses; identify the location of major
plans (adaptation and mitigation plans).
infrastructure; and recognize inter-sectoral
linkages involved in the use and allocation of
land and other natural resources.
2.1.1. NATIONAL LAND-USE CLASSIFICATION
Considering that the function of planning The South Korea’s National Planning and
is to promote and balance socio-economic Utilization Act 2013 categorizes national land
development with environmental considerations, into urban areas; control areas; agricultural
classifying land with allowed uses enables these and forest areas; and natural environment and
objectives to be achieved in a coordinated conservation areas (Article 6). In the Philippines,
manner. It allows the protection of ecosystems classification through the National Framework
that perform mitigation and adaptation functions for Physical Planning 2001-2030 includes
(e.g., forests, mangroves etc.), and restricts agricultural areas, coastal and marine zones;
urban development in unsuitable areas. Land production forests; mineral lands; and industrial
classifications vary by country but the zoning and tourism development areas.
categories that could be considered include
built-up areas; agricultural areas; protected
areas (such as forests and wetlands); cultural
heritage areas; and national parks.
33 UN-Habitat (2015). International Guidelines on Urban and Territorial Planning.

Kenya’s land is classified by the National Spatial also identifies various land-use classifications,
Plan 2015-2045 as built up areas; agricultural including urban areas; rural areas; and protection
areas; forests (indigenous and mangrove); zones (consisting mainly of national parks,
national parks; marine parks; flood plains; water nature reserves, landscape parks, protected
towers; wetlands; and rangelands. Poland’s landscape areas and the European Natura 2000
National Spatial Development Concept 2030 network).
2.1.2. INTEGRATED TRANSPORT AND INFRASTRUCTURE NETWORK
The availability of an integrated transport and It proposes an integrated national and urban
infrastructure network is key for harmonious transport system that seeks to maximize
and balanced economic growth. Extensive and efficiency and sustainability of the transport
efficient transport infrastructure is essential for sector and envisions a balanced transport
well-functioning economies and the development infrastructural development through provision of
of regions and cities. When designed effectively, the missing links and improvement of the quality
transport networks can be an engine for of transport services. Furthermore, the plan calls
productivity and improved quality of life for for the establishment of a hierarchy of transport
citizens, and allows regions and cities to leverage systems comprising rail, road, water (lake and
benefits from agglomeration and concentration. 34
sea) and air services to link all major economic
Infrastructure guides and supports urban and rural production areas.
development, facilitates economic activities and
Poland’s National Spatial Development Concept
promotes integration of previously marginalized
2030 aims to improve territorial accessibility
regions. At the same time, a disconnect between
at different spatial levels through alignment of
territorial planning and infrastructure provision
transport investment priorities in medium- and
may contribute to haphazard growth, imbalance
long-term strategic documents and European
in development between different regions, socio-
Union guidelines on the Trans-European
economic inequities and unsustainable use of
Transport Network. It prioritizes transport projects
natural resources. It is thus essential to adopt a
to improve the internal and external accessibility
more strategic approach to territorial planning that
of Poland, including land and water investments
integrates transport and infrastructure networks.
intended to improve access to Poland from other
Kenya’s Physical and Land-Use Planning Act
European countries and connections between
2019 identifies one of the functions of national
cities located farther away from major socio-
territorial planning as “providing a framework
economic centres. Furthermore, the National
for guiding the location and development of
Spatial Development Concept 2030 specifies
strategic national investments and infrastructural
integration of telecommunications, primarily by
development” (Section 22.2.i). Accordingly, the
supporting the development of ICT networks in
Kenyan National Spatial Plan 2015-2045 calls for
rural areas and preventing the digital exclusion
an integrated urban transport system to enhance
of social groups and regions as one of its main
provision of relevant modal split and to integrate
priorities.
land-use and transport planning to encourage
development patterns which reduce transport
demands.
34 OECD. “Transport infrastructure trends and regional developments.” Available at https://www.oecd-ilibrary.org/sites/512e786f-
en/index.html?itemId=/content/component/512e786f-en

2.1.3. COORDINATION BETWEEN NATIONAL TERRITORIAL PLAN AND
NATIONAL CLIMATE PLANS
In addition to national territorial plans, countries The Kenya Climate Change Act 2016 provides
have also adopted several climate plans which that the National Climate Change Action Plan
seek to guide domestic climate action. These should address all sectors of the economy
climate plans include National Action Plans and provide mechanisms for mainstreaming
(often used by countries as a mechanism for climate change into those sectors (Section
integrated climate action), National Adaptation 13.4). It also obligates each state department
Plans (agreed under the Cancun Adaptation and national government public entities to
Framework) and within the European Union, integrate the National Climate Change Action
National Energy and Climate Plans (which Plan into sectoral strategies, action plans and
determine national contributions of each other implementation projections (Section
Member State towards the binding EU energy- 15.5.a). Accordingly, the National Spatial
climate targets and the objectives of the Energy Plan, which is prepared by the department of
Union). However, parallel application of national physical planning (under the Ministry of Lands
territorial plans on the one side, and the pursuit of and Physical Planning), is required to include
targeted strategies within national climate plans climate change considerations. In Colombia,
on the other leads to fragmented actions that Article 17 of Law 1931 of 2018, known as Ley
cannot respond to the magnitude and urgency de Cambio Climático (Climate Change Law),
of climate change.35 Effective climate action requires the Ministry of the Environment and
requires the development and implementation Sustainable Development and the National
of territorial plans able to advance climate Planning Department to take into account
goals and objectives, which should be done by the National Climate Change Policy and the
coordinating the national territorial plans with guidelines established in the other programmes
national climate plans. and instruments for climate change planning
and management when developing guidelines
The Philippines offers a good example through
for the formulation, implementation, monitoring
the Climate Change Act 2009 which creates the
and evaluation of the Integral Sectoral Climate
Climate Change Commission as the lead policy-
Change Management Plans (PIGCCS). Article 7
making body of the government and requires it to
also states that “the national government will
coordinate, monitor and evaluate programmes
regulate Article 10 of Law 388 of 1997 within the
and action plans of the government to ensure
framework of its competencies, with the purpose
the mainstreaming of climate change into the
of including the management of climate change
national, sectoral and local development plans
among the determinants of territorial planning”.
and programmes (Section 4).
35 Jan Corfee-Morlot, Lamia Kamal-Chaoui, Michael G. Donovan, Ian Cochran, Alexis Robert and Pierre-Jonathan Teasdale
(2009). “Cities, Climate Change and Multilevel Governance”, OECD Environmental Working Papers No. 14. OECD.

2.1.4. CLIMATE VULNERABILITY OF THE NATIONAL TERRITORIAL PLAN
This element seeks to assess the impact of For example, Finland’s National Land-Use
climate change on the implementation of the Guidelines 2000 recognize the need to adapt
national territorial plan i.e. assess the resilience to increased climate change risks such as
of the plan to the effects and risks of climate precipitation levels, floods, average temperature,
change. It seeks to determine whether climate soil and groundwater conditions and the
vulnerability is assessed in various elements increased occurrence of extreme weather events
of national territorial plans. For instance, how such as storms, torrential rains and urban floods.
would infrastructure envisaged in the plan be It calls for siting new construction outside flood
affected by and respond to climate change? If risk areas or otherwise ensuring flood risk
there is urban development in coastal zones, management; siting establishments causing
are the effects of sea level rise and inundation major-accident hazards, chemicals rail yards
factored in? Similarly, if the plan has identified and marshalling yards of hazardous substance
agricultural areas for food production, has the sufficiently far from residential areas, areas of
vulnerability of such areas to severe weather public use and areas of natural sensitivity.
such as droughts and flooding been considered?
2.1.5. EMISSIONS ASSOCIATED WITH NATIONAL TERRITORIAL PLAN
The purpose of this sub-section is to examine the For instance, the SEA notes that new transport
potential impact of the national territorial plan on infrastructure may pass through valuable nature
climate change mitigation, i.e., examine whether areas or landscape types functioning as green
its implementation may lead to increased links as well as a possible reduction of nature
GHG concentrations (higher emissions or areas when building roads and railways. It also
reduced carbon sinks). Such an examination observes that the suggested infrastructural
may be carried out through environmental initiatives can have both positive and negative
impact assessments (EIAs) or strategic impact effects on climate and resources depending on
assessments (SEAs) of the national territorial the extent and use. “If the projects create a more
plan. Ghana’s Land Use and Spatial Planning Act fluid traffic, hence reducing congestions, the use
2016 requires the National Spatial Development of fuel may also be reduced. On the other hand,
Framework to contain a strategic environmental better infrastructure may also result in greater
assessment. The National Spatial Development use and thereby greater use of fuel and a greater
Framework 2015-2035 thus includes an annex climate impact.”36
(2) with a report on whether the initiatives and
activities made possible in the framework can
cause significant impact on the environment.
36 Annex 2: Strategic Environmental Assessment of the Ghana NSDF (2015-2035) available at https://new-ndpc-static1.
s3.amazonaws.com/CACHES/PUBLICATIONS/2016/04/16/NSDF+Annexes+Final+Edition+TAC.pdf

2.2. REGIONAL (SUB-NATIONAL) TERRITORIAL PLANNING
The second level of planning in most countries socio-economic conditions between different
is the regional/sub-national level. The objectives regions. These factors make regional territorial
of regional territorial planning are often like the planning a valuable instrument for translating
national ones but with contextual modifications national plans and priorities into regional
based on specific challenges and opportunities. contexts - for those that have national territorial
However, in some countries (such as Norway, plans - and a must-have tool for jurisdictions
Canada, Australia and Finland), territorial where regional planning is the highest level of
planning is done at the regional rather than spatial organization. Accordingly, most elements
the national level due to varying geographical under the national territorial planning section are
features, natural resource endowments and also included in this part of the assessment.
2.2.1. INTEGRATED TRANSPORT AND INFRASTRUCTURE NETWORK

The rationale for linking national spatial planning system that connects people to jobs and
to an integrated transport and infrastructure services and goods to the market.
network also applies to regional planning.
In Canada, the Greater Vancouver Regional
The Central Highlands Regional Growth Plan
District Board adopted the Metro Vancouver
(Australia) provides a good example of how
2040: Shaping Our Future policy, which notes
to ensure access and connectivity between
that land use influences travel patterns, and
settlements within and external to the region,
transport systems in turn have an impact on
i.e., by providing social infrastructure that is well
land use and development. It recognizes that
located and accessible in relation to residential
achieving the goals of the Regional Growth
development, public transport services,
Strategy requires the alignment of land use and
employment and educational opportunities,
transport strategies. It thus calls for accessible
and direct development to locations that make
and sustainable transport choices supported by
the best use of existing water, energy and
strategies for a compact urban area, and transit-
utility infrastructure and minimize the need for
oriented development patterns throughout the
infrastructure upgrades or expansion. In the
region with growth focused on urban centres
Melbourne Metropolitan Region, Plan Melbourne
and frequent transit development areas.
2017-2050 also contains comprehensive
strategies to provide an integrated transport
2.2.2. COORDINATION BETWEEN REGIONAL TERRITORIAL PLAN AND

NATIONAL CLIMATE PLANS
As earlier highlighted, it is crucial to have Kenya’s Climate Change Act 2016 is unequivocal
adequate linkages between territorial plans that county governments must mainstream the
and national climate plans for coherence and implementation of the National Climate Change
coordinated action that is needed to address the Action Plan in the development, updating and
multi-faceted challenge that is climate change. approval of the county Integrated Development
This applies at the regional level as well. Plan (Section 19.2).

Consequently, several counties have included change and disseminating information to
climate considerations in their plans. For farmers; adaptation of new technologies in both
instance, the Nairobi Integrated Development solid and other types of waste management
Plan 2018-2022 notes that climate change has as opposed to using open dumping sites; and
affected the county through rising temperatures, diversification of energy sources by investing in
changes in precipitation levels, unpredictable renewable sources, water harvesting, recycling
weather patterns and increased food insecurity. and conservation. In Colombia, Decree 1807 of
It therefore calls for the adoption of several 2014 states in Article 1 that regional territorial
response strategies, including the establishment plans must be coordinated with national climate
of early warning systems; monitoring climate plans.
2.2.3. CONSISTENCY OF REGIONAL TERRITORIAL PLAN WITH NATIONAL

TERRITORIAL PLAN
Consistency of plans from the national to the must conform to the general requirements of
regional level is essential for coherent and the National Spatial Development Framework
coordinated territorial development. Several (Section 52.12). Kenya’s Physical and Land
mechanisms may be used to achieve this Use Planning Act 2019 requires each county’s
consistency, such as requiring that regional physical and land-use development plan
plans need to be consistent and compatible to conform with the National Physical Plan
with the directions of the national plans; a and any relevant Inter-County Physical and
legal requirement that regional plans need to Land Use Development Plan (Section 36.2).
receive a non-binding opinion on the content Similarly, Trinidad and Tobago’s Planning and
of the regional plans by the national authority Facilitation of Development Act 2014 mandates
that develops the national plans; or a legal all development plans to be consistent with
requirement that regional plans need to be the National Spatial Development Strategy
approved by the national authority that develops (Section 20.2). In Samoa, consistency is
the national plans. Ghana’s Land Use and achieved by a declaration in the Planning and
Spatial Planning Act 2016 provides that the Urban Management Act 2004 that a national
Regional Spatial Development Framework or sustainable management plan prevails over all
Multi-Regional Spatial Development Framework other plans (Section 27.4).
2.2.4. CLIMATE VULNERABILITY OF THE REGIONAL TERRITORIAL PLAN
This element seeks to assess the impact of An insightful provision is Section 19.d of
climate change on implementation of the Norway Regulations on Impact Assessments
regional territorial plan, i.e. assess the resilience 2017, which provides that the description of
of the plan to the effects and risks of climate the regional plan or initiative must include how
change. A climate-responsive plan should aim vulnerable the plan or initiative is to climate
to reduce rather than increase climate change changes and natural hazards such as floods,
vulnerability. The regional plan should thus have landslides, storm surges and rising sea level.
a mechanism to determine how vulnerable it is
and propose relevant adaptation measures in
response.

2.2.5. EMISSIONS ASSOCIATED WITH REGIONAL TERRITORIAL PLAN
This sub-section examines the potential impact It further adds that the impact assessment
of the national territorial plan on climate change needs to identify and describe the factors that
mitigation, i.e., whether its implementation may may be affected and to assess significant
lead to increased GHG concentrations (higher impact on the environment and society, including
emissions or reduced carbon sinks). Norway’s pollution (emissions to air, including greenhouse
Regulations on Impact Assessments 2017 gas emissions), and impact because of climate
provides that the description of the regional plan changes, including the risk of rising sea level,
or initiative must include the main features of storm surges, floods and landslides (Section
the initiative’s operational phase, the initiative’s 21). Finland Land Use and Building Act 1999
energy requirements, energy consumption, also states that plans must be founded on
energy solutions, transport requirements and the sufficient studies and reports, and that when
nature and quantity of natural resources that will a plan is drawn up, the environmental impact
be used, and an estimate of the type and volume of implementing the plan, including socio-
of waste, residues, emissions and pollution economic, social, cultural and other impacts,
that will be produced in the construction and must be assessed to the necessary extent
operation phase (Section 19). (Section 9).

2.3. URBAN PLANNING IN URBAN AREAS
Urban plans guide and regulate development These elements make urban plans useful
at the municipal, neighbourhood or local levels. mechanisms for promoting climate change
They seek to provide an enabling framework for mitigation and adaptation. By determining the
new economic opportunities, regulation of land location of urban development, the quantity and
and housing markets and the timely provision quality of buildings and basic infrastructure, and
of adequate infrastructure and basic services. 37
specifying what may be done differently, urban
Often, their main focus is setting planning (and plans have the potential to steer cities towards
sometimes building) standards, creating zones lower emissions and greater resilience to
and identifying various land uses. In most climate change. This section of the assessment
countries, urban plans are anchored in urban focuses on several aspects of urban plans
planning and land-use regulations, which lay out that are particularly crucial for climate change
the urban plan-making process and specify the mitigation and adaptation, including land-use
matters to be included in the plans. The most classification; planning at scale; urban growth
common regulations include zoning, allowed boundaries; long-term planning; capability for
uses, density requirements, setbacks, parking review considering new scientific information
regulations, urban containment instruments, and fresh options; and coherence of planning
open space reservations and protection zones. from the national to the local level through
consistency of plans.
2.3.1. LAND-USE CLASSIFICATION

Land-use classification should be an important cultural heritage zones; and buffer zones to
element, not only of national planning instruments protect sensitive ecosystems and natural
but also urban plans. Land classification allows environments that should not be used for urban
multiple objectives to be attained in a coherent development (forests, wetlands, etc.). Urban
and sustainable manner. For instance, it makes planning and land-use laws in many countries
it possible to increase the housing stock without list the uses that urban plans should specify.
destroying green zones and facilitates renewal
Tanzania’s Urban Planning Act 2007 empowers
without the loss of cultural heritage. At this level,
planning authorities to reserve land for various
land may be classified in categories such as land
uses, such as industrial and commercial
for urban development that includes already
purposes, formal and informal housing, urban
built-up areas with adequate infrastructure;
agriculture, urban forests and green belts, and
urban regeneration areas (built-up areas that
open spaces and parks (Section 28.f). Similarly,
need to be improved); and unbuilt land that
Switzerland’s Spatial Planning Act 1979
can be used for urban expansion. Other zones
requires cantons to establish in their structure
are lands that should not be used for urban
plans which areas are suitable for agriculture;
development, including agricultural lands whose
are of special beauty or are important for
importance for food and water security means
recreation or as natural habitats; are suitable for
they should be free from urban development;
producing electricity from renewable energies;
37 UN-Habitat (2015). International Guidelines on Urban and Territorial Planning.

or are seriously endangered by natural hazards (POT), which should specifically regulate “land
or harmful emissions (Article 6). The Colombian uses in urban, expansion and rural areas, in
law on the modernization of municipalities’ accordance with the laws and taking into
organization and functions (Law 1551 of account the instruments defined by the Unidad
2012) requires municipalities to formulate and de Planificación Rural Agropecuaria (UPRA) for
adopt the Planes de Ordenamiento Territorial land-use planning and use” (Article 6).
2.3.2. PLANNING FOR FUTURE LAND NEEDS IN SAFE LOCATIONS

‘Planning’ is by definition about the future and of the area; the communication and transport
urban planning should be proactive rather than system and traffic patterns of the area and
reactive. Lack of foresight has contributed to neighbouring areas; and an assessment of the
many urban challenges, including inadequate existing infrastructure and level of development
supply of serviced land, infrastructure and basic in the area, which shall include an identification
services (water, sanitation and drainage), the of communities which do not have access
growth of informality, urban development in risky to basic services and those proposed or
areas, and destruction of natural ecosystems designated for redevelopment, improvement,
and biodiversity. Urban plans ought to anticipate upgrading, revitalization or renewal (Section
the required need for urban space, infrastructure 20.3). Tanzania’s Urban Planning Act 2007
and services well in advance and provide for requires planning schemes to include population
ways of dealing with them. Accordingly, they growth projections, distribution and movement;
ought to consider factors such as demographic identification of actual or likely problems that
and migratory trends, housing needs and income may affect the natural resources and the
projections, among others, when developing broader environment; employment and incomes,
new plans. including characteristics of employment,
income distribution, labour force, potential of the
Zambia’s Urban and Regional Planning Act
informal sector and their locations; and human
2015 requires an integrated development plan
settlements, including distribution of existing
to include a planning survey which contains the
services, growth and pattern of urbanization,
principal spatial and economic characteristics of
environmental degradation and identification
the area under the planning authority; the size,
of trends in the development of urban and rural
composition and distribution of the population
settlements (First Schedule).
2.3.3. URBAN GROWTH BOUNDARIES
Urban growth management aims to guide the It is intended to encourage urban areas to grow
location, quality and timing of development inwards and upwards, not outwards.38 Urban
to minimize “sprawl”, which is characterized growth boundaries are one of the mechanisms
by low-density, non-contiguous, automobile- for urban containment. They have the potential
dependent development that prematurely to contribute to climate change mitigation by
or excessively consumes farmland, natural creating more compact, less car‐oriented built
preserves and other valued resources. form, in addition to their ability to preserve carbon
38 Jonathan Martin, Rolf Pendall and William Fulton (2002). Holding the Line: Urban Containment in the United States.
Brookings Institution Centre on Urban and Metropolitan Policy.

sinks by preventing development in surrounding Other examples are Oregon’s Senate Bill 100 on
natural and agricultural areas. Urban growth State-wide Planning 1973, which was used to
boundaries could be categorized as having contain urban sprawl in Portland by establishing
either explicit boundaries or implicit boundaries. an explicit growth boundary, and Finland’s
An explicit boundary line is set by either a spatial Planning and Building Act 1999, which provides
plan or regulatory instrument while an implicit that the local detailed plan should be presented
boundary line is established by the accumulated on a map indicating the boundaries of the
boundaries of land-use zones in spatial plans. area covered by the local detailed plan and the
The London Green Belt is a well-known implicit boundaries of the various areas included in the
urban containment measure initiated through a local detailed plan as a way of containing urban
range of legal instruments, including the Green growth (Section 55).
Belt (London and Home Counties) Act 1938,
the Town and Country Planning Act 1947 and
the National Planning Policy Framework 2019.
2.3.4. LONG-TERM PLANNING

Urban planning entails conceptualizing a desired Long-term planning is particularly relevant in
future and taking concrete actions to achieve it. this module considering how seriously cities are
It is a self-conscious collective (societal) effort projected to be impacted by climate change. As
to imagine or re-imagine a town, city, urban such, urban planning needs to be future-oriented
region or wider territory and to translate the and this module estimates that a planning period
result into priorities. Planning also highlights a of about 20 years is considered to be appropriate
developmental movement from the past to the long-term planning. Several countries have
future. It implies that it is possible to decide already recognized this need and specified how
between appropriate actions now in terms of anticipative their planning frameworks should
their potential impact in shaping future socio- be over the years. For example, South Africa’s
spatial relations.39 Long-term planning focuses Spatial Planning and Land Use Management
on how far ahead policy makers look in terms Act 2013 mandates municipal spatial
of years. This indicator is concerned with how development frameworks to include a longer-
that information is used for future planning, term spatial development vision statement for
i.e. whether the identified issues are factored the municipal area which indicates a desired
into planning, not just for the present but for spatial growth and development pattern for the
medium- to long-term purposes. Notably, long- next 10 to 20 years (Section 21.c). China’s Urban
term planning finds support in the New Urban and Rural Planning Law 2008 also specifies the
Agenda, which calls for “integrated planning period covered by the overall plan of a city or
that aims to balance short-term needs with town as 20 years (Article 17).
long-term desired outcomes of a competitive
economy, high quality of life and sustainable
environment”.40
39 Healey, P. (2004). “The treatment of space and place in the new strategic spatial planning in Europe”. International Journal of
Urban and Regional Research 28(1): pp. 45–67.
40 Para 94.

In Colombia, the Climate Change Law (Law Comprehensive Territorial Climate Change
1931 of 2018) identifies the initial planning Management Plans (PIGCCT) through to 2021,
horizon of the Comprehensive Sectoral Climate but provides that after 2029, the planning
Change Management Plans (PIGCCS) and the horizon becomes 20 years (Article 20).
2.3.5. URBAN PLAN REVIEWS

One of the defining characteristics of climate The ever-growing body of scientific knowledge,
change is uncertainties in terms of scope and both in terms of risks and vulnerabilities, must
effects. While there is scientific consensus on be appreciated in urban planning. As the New
the reality of climate change and its broader Urban Agenda states, there is need for built-in
effects on ecosystems and human lives, flexibility in plans to adjust to changing social
assessment of its risks and impacts on specific and economic conditions over time.42 Urban
societies, economic sectors and geographies plans should be amenable to review if new
are still the subject of further scientific studies. climate risks or new climate adaptation options
There are multiple variables that make precise are identified. For instance, Vietnam’s Urban
projections very difficult. These uncertainties are Planning Law 2009 states that an urban plan
appreciated by the Intergovernmental Panel on may be adjusted when there is a change in
Climate Change (IPCC), which has a “likelihood climate, geological or hydrological conditions
scale” that determines the probability of an (Article 47.3). In Colombia, according to Article
event taking place ranging from virtually certain 20 of the Climate Change Law (Law 1931 of
to exceptionally unlikely. In between, there 2018), the Comprehensive Territorial Climate
are several probabilities, including very likely, Change Management Plans (PIGCCT) are to
likely, about as likely, unlikely and very unlikely. be revised and adjusted in conformity with the
Furthermore, climate change risks are not only available information on GHGs, vulnerability,
activated by hazards (such as sea level rise), adaptation and implementation means
but by vulnerability (susceptibility to harm) and generated in the frame of the Climate Change
exposure (people, assets or ecosystems at risk) Information System.
which also need to be taken into account. For
these types of uncertainties, the IPCC uses the
terms limited, medium or robust to evaluate
and communicate the degree of certainty over
findings.41
2.3.6. CONSISTENCY OF URBAN PLANS WITH NATIONAL TERRITORIAL PLAN

Consistency of plans across the planning regional plans may also be applicable to
hierarchies is crucial for coherence and consistency between the national and the local
coordination. The same mechanisms that plans.
promote consistency between national and
41 IPCC (2014). Climate Change 2014: Synthesis Report.

42 Para 94.

These include requiring that urban plans be The United Kingdom’s Planning etc. (Scotland)
consistent/compatible with the directions of the Act 2009 states that in preparing a local
national plan; urban plans receive a non-binding development plan, the planning authority is
opinion of the national authority that develops to consider the National Planning Framework
national plans; or urban plans be approved by (Section 16.2.a). In Dominica, consistency is
the national authority that develops national implemented at the development control stage
plans. Zambia’s Urban and Regional Planning where applications for development permission
Act 2015 explicitly provides that an integrated are assessed based on whether they conform
development plan made by a local authority to the National Physical Development Plan
must be compatible with the National Planning (Physical Planning Act 2002, Section 25. 1).
Framework and the regional development plan
(Section 19.4.d).

Table 2. Urban and Territorial Planning
National 2.1 Does your country have provisions in legislation or regulations requiring the formulation of a
territorial national territorial plan?
planning
i. Do these include legal provisions that require the national territorial plan to
classify national land according to its use, for example in urban and non- Yes/No
urban land?
ii. Do these include legal provisions that require the national territorial plan
to establish an integrated national inland and coastal transportation and Yes/No
infrastructure network?
iii. Do these include the legal requirement to coordinate the national territorial
Yes/No
plan with national climate plans?
iv. Do these include the legal requirement to assess the climate vulnerability of
Yes/No
the implementation of the national territorial plan?
v. Do these include the legal requirement to assess the greenhouse gas
Yes/No
emissions associated with the implementation of the national territorial plan?
Regional 2.2 Does your country have provisions in legislation or regulations requiring the formulation of
territorial regional territorial plans?
planning
i. Do these include legal provisions that require regional territorial plans to
establish an integrated transportation network and infrastructure system? Yes/No
ii. Do these include legal provisions that require the coordination of the regional
Yes/No
territorial plans with national climate plans?
iii. Do these include legal provisions to ensure that regional plans implement the
Yes/No
objectives of the national territorial plan?
iv. Do these include the legal requirement to assess the climate vulnerability
Yes/No
associated with the implementation of the regional territorial plans?
v. Do these include the legal requirement to assess the greenhouse gas
Yes/No
emissions associated with implementation of the regional territorial plans?
Spatial plans for 2.3 Does your country have provisions in legislation or regulations that require the formulation
urban areas of spatial plans for urban areas?
i. Do these include legal provisions that require urban plans to classify land
based on what is and is not allowed within each category? Yes/No
ii. Do these include legal provisions that require urban plans to assess future
land needs and identify land safe from the effects of climate change adequate Yes/No
to meet these needs?
iii. Do these include legal provisions that require the setting of urban growth
boundaries or other growth management strategies making sure that the
Yes/No
amount of buildable land within the boundary is adequate to meet current and
future land needs?
iv. Do these include legal provisions that require a planning horizon of at least 20
years? Yes/No
v. Do these include legal provisions that require reviews of urban plans if new
Yes/No
climate risks or new climate adaptation options are identified?
vi. Do these include legal provisions to ensure that urban plans implement the
Yes/No
objectives of the national territorial plan?

Slums in India © Francesco Terzini, 2015

3. URBAN PLANNING AND DESIGN FOR
ADAPTATION
Climate change has been described as “the of the Sustainable Development Goals (SDGs).45
defining issue of our time” and a “direct
Urban areas stand to be more acutely affected
existential threat”, and for good reason.43 Climate
by climate change due to the concentration of
change poses unprecedented challenges in both
people, economic activities, assets and social
complexity and magnitude. Extreme weather
and cultural institutions, and impacts are already
events have increased due to climate change,
being felt by millions of urban dwellers throughout
including an increase in the number of cold days
the world. Increased frequency of hot days and
and nights as well the frequency and duration
warm spells is resulting in a higher frequency
of heat waves in Asia, Europe and Australia.44
of heat waves and is expected to exacerbate
Changes in precipitation patterns have increased
urban heat island effects, causing heat-related
the risk of flooding in some regions while at the
health problems.46 Droughts are reducing water
same time increasing the vulnerability of other
availability in many cities, which adds more
regions to drought and famine. Climate change
people to the 150 million people currently living
has resulted in rising sea levels, which are already
in cities with chronic water shortages.47 For
threatening millions of coastal communities.
instance, Latin American cities such as Quito,
These risks are expected to get worse. Climate
Bogota and Lima are experiencing decreased
change will hinder economic growth, challenge
water availability due to a reduction in the glacial
the fight against poverty and erode food security.
mass.48 Numerous urban areas are located along
It is also expected to catalyse the displacement
cyclone tracks and there is evidence that storms
of people and indirectly increase the risk of
are increasing in both frequency and intensity.
violent conflicts through the amplification of
Heavy rainfall and storm surges would impact
already existing drivers of these conflicts, such
urban areas through flooding, which in turn can
as poverty. Together, climate-related hazards
lead to the destruction of properties and public
and associated effects, including heat stress,
infrastructure, contamination of water sources,
inland and coastal flooding, air pollution,
water logging, loss of business and livelihood
water scarcity, droughts, storms, heavy rains,
options, and an increase in water-borne and
landslides, sea level rise and storm surges,
water-related diseases.49
will not only threaten people, livelihoods and
ecosystems but also undermine the realization
43 United Nations Secretary-General’s remarks on Climate Change on 10 September, 2018. Available at: https://www.un.org/
sg/en/content/sg/statement/2018-09-10/secretary-generals-remarks-climate-change-delivered
44 Ibid, p 53.
45 IPCC (2014). AR5 Climate Change 2014: Synthesis Report.
46 Hajat, S., M. O’Connor and T. Kosatsky (2010). Health effects of hot weather: from awareness of risk factors to effective
health protection. The Lancet, 375(9717), pp. 856-863.
47 Chapter 8: Urban Areas. In IPCC (2014). AR5 Climate Change 2014: Impacts, Adaptation, and Vulnerability. Available at
https://www.ipcc.ch/site/assets/uploads/2018/02/WGIIAR5-Chap8_FINAL.pdf
48 UNEP (2013). Where will the water go? Impacts of accelerated glacier melt in the Tropical Andes. GEAS September.
49 Chapter 8: Urban Areas. In IPCC (2014). AR5 Climate Change 2014: Impacts, Adaptation and Vulnerability. Available at
https://www.ipcc.ch/site/assets/uploads/2018/02/WGIIAR5-Chap8_FINAL.pdf

In addition, sea level rise poses a huge threat to UNFCCC calls for countries to “take
major as well as minor coastal cities. Although precautionary measures to anticipate, prevent
just 2 per cent of the world’s total land is urban, or minimize the causes of climate change
almost 10 per cent of coastal land less than and mitigate its adverse effects”,53 and also
10 metres above sea level is already urbanized exhorts the formulation and implementation of
or quasi-urbanized. Thirteen per cent of the measures to “facilitate adequate adaptation to
world’s total urban land mass is in low-elevation climate change”.54 It further implores countries
coastal zones. Indeed, some countries’ urban to cooperate in preparing for adaptation and
populations are especially concentrated in low- specifically mentions the need to develop and
elevation coastal zones. For example, in Guyana, elaborate appropriate and integrated plans for
Maldives, Belize and Suriname, 100 per cent of coastal zone management, water resources
the urban population lives at an elevation lower and agriculture, and for the protection and
than 10 metres above sea level, and 81 per rehabilitation of areas affected by drought and
cent of the urban populations of Thailand and desertification, as well as floods.55 Adaptation
Bahrain live at this low elevation. Because most also appears in the Kyoto Protocol which,
countries’ economies depend heavily on the in addition to reiterating the necessity of
activity of their cities, the increased vulnerability adaptation, identifies several sectors, including
caused by the low elevation poses a risk to future energy, transport, industry, agriculture, forestry
national economic development and growth.50 and waste management. Notably, it notes
that “adaptation technologies and methods
Considering that 55 per cent of the world’s
for improving spatial planning would improve
population lives in urban areas and this share is
adaptation to climate change”.56 Adaptation had
projected to increase to 68 per cent by 2050,51
greater focus in the Cancun Agreements, and
there is a very strong and urgent need for urban
the momentum generated through the Cancun
areas to adapt to the effects of climate change.
Adaptation Framework was crystallized in the
Indeed, the most vulnerable regions are where
Paris Agreement. Indeed, adaptation in the Paris
urbanization will take place more rapidly. Of the
Agreement occupies just as prominent a position
2.5 billion people expected to live in cities in the
as mitigation and most of the obligations under
next three decades, 90 per cent of them will be
Article 7 apply to all parties with a very limited
in Asia and Africa.52 It is thus imperative that
form of differentiation.57 It recognizes that
serious consideration is given to adaptation in
“adaptation is a global challenge faced by all”
urban contexts.
and is key to “the long-term global response to
climate change to protect people, livelihoods
and ecosystems”.58
50 Coalition for Urban Transitions (2019). Climate Emergency-Urban Opportunity.

52 Ibid.
53 Article 3.3
54 Article 4.1 (b)
55 Article 4.1 (e)
56 Article 10 (b) (i)
57 Differentiation in the context of adaptation is only manifested in provisions that call for assistance.
58 Article 7.2.

The preamble of the Paris Agreement recognizes It also highlights the need for “medium- to long-
how inequality affects vulnerability to climate term adaptation planning process, as well as
change, as it will affect some nations more than city-level assessments of climate vulnerability
others, leading to climate injustice. Other global and impact, to inform adaptation plans, policies,
commitments that have emphasised adaptation programmes and actions that build the resilience
include the SDGs, with Goal 13 specifically of urban inhabitants, including through the use
mentioning building climate resilience and of ecosystem-based adaptation”.61
developing adaptive capacity to climate-related
It is on this robust international framework on
hazards and natural disasters. The Sendai
adaptation that this section is grounded. It is
Framework on Disaster Reduction recognizes
divided into seven sub-sections that contain
that climate change is one of disaster risk
the most important elements for use of the law
drivers and, to this end, requires governments to
for successful adaptation in urban contexts.
prepare, review and periodically update disaster
These are: climate risks and vulnerability for
preparedness and contingency policies, plans
planned areas and infrastructure; identification
and consider climate change scenarios and their
and prioritization of adaptation options;
impact on disaster risk.59
implementation of the identified adaptation
The NUA includes various paragraphs that options; adaptation of slums and other vulnerable
signify the importance of adaptation in the urban settlements; planned relocations from areas at
context. These include the commitment to risk of climate change; security of tenure; and
promote “international, national, subnational and development approval and adaptation.
local climate action, including climate change
adaptation and mitigation, and to supporting
the efforts of cities and human settlements,
their inhabitants and all local stakeholders to be
important implementers”.60
59 Para 33.
60 Para 79
61 Para 80

3.1. CLIMATE RISKS AND VULNERABILITY FOR PLANNED
AREAS AND INFRASTRUCTURE
The Cancun Adaptation Framework calls of averting, minimizing and addressing loss and
for enhancement of climate change-related damage associated with the adverse effects
disaster risk reduction strategies, taking into of climate change, including extreme weather
consideration early warning systems and risk events and slow onset events, and the role of
assessment and management.62 The Paris sustainable development in reducing the risk
Agreement also requires countries to engage of loss and damage”.64 In the urban context,
in adaptation planning processes and the the NUA expresses the commitment to support
implementation of actions through, among other “medium- to long-term adaptation planning
things, “assessment of climate change impacts process, as well as city-level assessments of
and vulnerability, with a view to formulating climate vulnerability and impact”.65 Accordingly,
nationally determined prioritized actions, taking this section covers the role of legal frameworks
into account vulnerable people, places and in ensuring that climate risks and vulnerability for
ecosystems”,63 and “recognize[s] the importance planned areas and infrastructure are considered.
3.1.1. CLIMATE RISK AND VULNERABILITY ASSESSMENTS TO ASSESS

CURRENT AND ESTIMATED FUTURE VULNERABILITIES AND RISKS AS
PART OF THE URBAN PLANNING PROCESS
The first step to planning for adaptation in urban Exposure refers to the presence of people,
areas is understanding the relevant climate livelihoods, species or ecosystems,
risks and the associated vulnerability of people, environmental functions, services, resources,
ecosystems and sectors. The risk of climate- infrastructure or economic, social or cultural
related impacts results from the interaction of assets in places and settings that could be
climate-related hazards (including hazardous adversely affected.67 This emphasises assessing
events and trends) with the vulnerability and current and future risks and vulnerabilities as part
exposure of human and natural systems.66 of the urban planning process. Examples include
Vulnerability is defined as the propensity or the Norway Planning and Building Act 2008,
predisposition to be adversely affected and which requires planning authorities to make
encompasses a variety of concepts and sure that a risk and vulnerability assessment is
elements, including sensitivity or susceptibility carried out for the planning area when preparing
to harm and lack of capacity to cope and adapt. development plans (Section 4.3).
62 Decision 1/CP.16, The Cancun Agreements: Outcome of the work of the Ad Hoc Working Group on Long-term Cooperative
Action under the Convention, UN Doc. FCCC/CP/2010/7/Add. 1., 15 March 2011.
63 Article 7.9 (c).
64 Article 8.1.
65 Para 80.
66 Oppenheimer, M., M. Campos, R. Warren, J. Birkmann, G. Luber, B. O’Neill and K. Takahashi (2014). Emergent risks and
key vulnerabilities. In: Climate Change 2014: Impacts, Adaptation, and Vulnerability. Part A: Global and Sectoral Aspects.
Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change.
67 Ibid.

South Korea National Planning and Utilization The Act particularly notes that information
Act 2002 also mandates mayors/governors or collected from the assessments should inform
the head of Si/Gun to ensure that an assessment early warning on potential risks and hazards
of land, such as the soil, siting and potential for and guide national planning processes and
use of land, and an analysis of vulnerability to development strategies (Section 14). In
disasters has been conducted (Article 20.2). In Colombia, the Territorial Development Law
Seychelles, the Disaster Management Act 2014 (Law 388 of 1997) specifically outlines the
creates the Vulnerability Assessment Committee general components of municipal zoning plans
and tasks it with conducting vulnerability and risk and land-use planning schemes. These plans
assessments and investigations to determine must identify “areas of high risk for the location
vulnerable areas for each hazard. of human settlements, due to natural hazards or
risks, or unhealthy conditions” (Articles 12, 16,
and 17).
3.1.2. METHODS AND PROCESSES FOR RISK AND VULNERABILITY

ASSESSMENTS
This part is concerned with the methods and the be indicated in the plan as an area requiring
processes of conducting risk and vulnerability special consideration (Section 4.3). The United
assessments, i.e., which steps should be States’ Water Infrastructure Act 2018 provides
taken and which factors should be included. for risk assessments in the context of water
The Norway Planning and Building Act 2008 provision to determine the risks to and resilience
requires the assessment to show all the risk of water systems in case of natural hazards,
and vulnerability factors of significance for among other causes. The Act also specifies the
determining whether the land is suitable for components that the risk assessments must
development purposes, and any changes in such address and establishes deadlines by which
factors because of the planned development. It water systems must be certified to the United
also provides that areas where it is determined States Environmental Protection Agency upon
that a danger, risk or vulnerability exists must completion of a risk assessment.
3.1.3. INCLUSIVE AND PARTICIPATORY VULNERABILITY ASSESSMENTS

A vulnerability assessment is participatory historical memory of where disasters take place
when it involves all stakeholders in decision and how to cope with them.
making, for example by being allowed and
Inclusivity and participation are not simply good
facilitated to submit comments, ask questions,
administrative practices; they have several
attend and participate in public meetings. A
tangible benefits and result in more robust
vulnerability assessment is inclusive when its
and legitimate outcomes by allowing multiple
outcomes include all stakeholders and gives
viewpoints and experiences, including the
special consideration to marginalized groups
integration of alternative forms of knowledge
such as women, youth, older people, people
into the processes and by getting support and
with disabilities and slum dwellers as well as
buy-in needed for successful implementation.
indigenous communities in particular, as they
have traditional environmental knowledge and

The Philippines Disaster Reduction and identify, assess and prioritize hazards and risks
Management Act 2010, for example, requires in consultation with key stakeholders, including
that the Office of Civil Defence (OCD) is to the local community (Section 9.c).
3.1.4. CLIMATE HAZARDS

This part is about the potential climate A hazard is not necessarily an extreme weather
hazards that need to be identified in the risk event (e.g., tropical storm, flooding), but can also
and vulnerability assessments. A climate be a slow onset trend such as less water from
hazard refers to the “potential occurrence of snow melt, increase in average temperature
a natural or human-induced physical event, and sea level rise. The New York Community
trend or physical impact that may cause loss Risk and Resiliency Act 2014 identifies the risks
of life, injury or other health impacts, as well that need to be considered by the Department
as damage and loss to property, infrastructure, of State and the Department of Environmental
livelihoods, service provision, ecosystems and Conservation. These include sea level rise, storm
environmental resources”. In most contexts, it
68
surges and flooding (Section 14). South Korea’s
often involves “climate-related physical events National Planning and Utilization Act 2002 also
or trends or their physical impacts 69
and may identifies several hazards as presenting risks,
include sea level rise, marine and fluvial flooding, including storms, floods, landslides and ground
erosion, precipitation, heat extremes, wildfires collapses (Article 37).
or landslides. A hazard may be a climate event
(e.g., a heavy rain event), but it can also be a
direct physical impact (e.g., a flood).
3.1.5. CLIMATE HAZARD MAPS

Hazard maps are essential for understanding the conditions and trends in the quality of the
the locations at risk, their frequency and their environment, both current and prospective, as
spatial extent. Hazard maps depict the spatial these relate to the likelihood of disasters, and
extent of hazards at different susceptibility prepare and review hazard risk assessment
levels and can also provide other technical maps of the country (Section S4.2.d & g).
information, such as the magnitude/intensity Another example is the Philippines’ Disaster
and, in some cases, information on the frequency Reduction and Management Act 2010, which
or probability of the hazard occurrence. The calls for multi-stakeholder participation in the
Seychelles’ Disaster Management Act 2014, in development, updating and sharing of a Disaster
addition to providing for risk and vulnerability Risk Reduction and Management Information
assessments, also calls for identifying, analysing System and Geographic Information System-
and mapping of hazards (Section 4.1.j). In based national risk map as policy, planning
Antigua and Barbuda, the Director of Disaster and decision-making tools (Section 6.d). It
Preparedness and Response is obligated by also requires provincial, city and municipal
the Disaster Management Act 2002 to gather Risk Reduction and Management Offices to
timely and authoritative information concerning consolidate local disaster risk information,
68 Ibid.
69 Ibid.

which includes natural hazards, vulnerabilities to the magnitude, frequency and spatial extent of
and climate change risks, and to maintain a local risks that differentiate between high susceptible
risk map (Section 12.c). Based on this law, the areas, moderate susceptible areas and low
country has developed hazard maps according susceptible areas.
3.1.6. IDENTIFICATION OF PEOPLE, PROPERTY AND ECONOMIC SECTORS

EXPOSED TO CLIMATE RISKS
Risk and vulnerability assessments are not ends The Vulnerability Assessment Committee
in themselves. Instead, they are meant to inform created under the Seychelles’ Disaster
and guide comprehensive adaptation planning Management Act 2014 is required to assess
and implementation. The nature of climate disaster risk indicators to identity factors
change and the interaction between hazards, that influence risk and vulnerability, such as
exposure and vulnerability mean that different livelihoods and well-being on a national, regional
groups may be affected to different extents by and local level; assess the outcomes of impacts
climate risks depending on various factors such of disasters on livelihoods and psychosocial
as age, gender, economic status, health status impacts of disasters; and update livelihood
etc. For instance, infants and elderly people are zones and baselines for monitoring vulnerability
more sensitive to hazards such as heat stress; (Section 14). Risk assessments and the
people with diseases, injuries or disabilities may associated risk mapping under the Philippines’
be more sensitive to climate impacts; informal Disaster Reduction and Management Act 2010
settlers may be more vulnerable to climate- include a review of the technical characteristics
related displacement than people with secure of hazards as well as an analysis of exposure
tenure; and women may be more affected by and vulnerability, including the physical, social,
reduced precipitation or inhibited agricultural health, economic and environmental dimensions
productivity. Accordingly, the effectiveness of (Section 3).
such assessments relies on the extent to which
they include useful information, including the
people, property and economic sectors that are
exposed to climate risks.
3.1.7. PUBLICLY ACCESSIBLE HAZARD MAPS

Hazard maps need to accessible to the public and other disaster-related information, and
to ensure transparency and full use of relevant with collaborating with other agencies to
information in decision making. In Seychelles, develop and maintain a database on disaster-
the Disaster Risk Management Division is related information, including climate change,
tasked with promoting education and awareness and to ensure access to the database by all
in relation to disaster risk management by stakeholders (Disaster Management Act 2014,
acting as a repository and conduit for hazard Section 4.1.n).

3.1.8. REGULAR REVIEW OF HAZARD MAPS
One of the defining characteristics of climate as if climate projections indicate that there will
change is uncertainties in terms of scope and be major changes in the areas exposed to a 1
effects. As more scientific information becomes in 200-year risk of flooding in their catchments.
available and climate risks are identified, hazard The Saint Lucia Disaster Management Act 2006
maps need to be reviewed accordingly. For requires the Director of the National Emergency
instance, the Norwegian Water Resources and Management Organization not only to prepare
Energy Directorate is empowered by the Water but also to review disaster risk assessment
Resources Act 2000 to conduct flood hazard maps of the country (Section 5.3.f), although it
mapping in flood-prone areas and to update does not specify a timeframe for this to happen.
existing maps based on specific criteria, such
3.1.9. CLIMATE VULNERABILITY ASSESSMENT OF PLANS AND

INFRASTRUCTURE
If urban plans are to be effective in promoting assessments or strategic impact assessments.
climate change adaptation, they must be “climate Norway offers a good example; it Regulations
proof”. They need to reflect an appreciation on Impact Assessments 2017 provide that the
of potential climate risks and anticipate, description of the plan or initiative must include
prevent, reduce or otherwise prepare for them. how vulnerable the plan or initiative is to climate
An assessment of how vulnerable plans and changes and natural hazards such as floods,
infrastructure are to climate change may be landslides, storm surges and rising sea level
determined through environmental impact (Section 19.d).

3.2. IDENTIFICATION AND PRIORITIZATION OF ADAPTATION
OPTIONS
Once the climate risk assessment is complete Additionally, it pays particular attention to the
and the hazards, exposure and vulnerability use of measurable and verifiable benchmarks
have been determined, the next step is the against which progress can be assessed, as well
identification of adaptation options. This is as the extent to which the selected options will
followed by prioritization and selection of contribute to overall adaptations strategies and
adaptation options in a process that should targets at the local, national and international
involve a wide range of relevant stakeholders. levels.
This section encourages the use of both
infrastructure-based and ecosystem-based
adaptation measures in the option selection
process.
3.2.1. IDENTIFICATION OF ADAPTATION OPTIONS

This step entails compiling a list of all possible Urban areas can also choose to focus on
adaptation options. Developing a catalogue increasing “adaptive capacity”, which involves
of measures provides a systematic collection developing the ability of people, authorities
of potential adaptation options for the specific and sectors to respond effectively to climate
urban context, which can be used for the change.70
subsequent assessment and selection process.
As climate change presents novel and unique
When compiling the catalogue of adaptation
challenges, new and innovative adaptation
options for consideration, the overall approach
strategies are required for the widest possible
and objectives of adaptation planning in
array of potential options. Particular attention
the urban area need to be contemplated.
should be paid to choosing measures which
Identification of adaptation options is guided
respond to the identified vulnerabilities, ensuring
by the type of actions that may be undertaken.
a good mix of different types of options and
These include “soft” adaptation measures
putting long-term goals above short-term
(such as introducing flexi-time work during
political interests.71 These options can be
heat waves and commissioning new buildings
obtained through expert judgment or spatial
with climate-resilient design as part of planned
analogues.72 The former involves inputs from
urban building programme); technical/“grey”
sector representatives, including community
adaptation measures (such as refurbishing
members, while the latter occurs where regions
buildings, enhancing physical flood defences and
expected to face new climate risks derive lessons
increasing the capacity of stormwater drainage
from regions that have already experienced
systems); and ecological /nature-based/“green”
similar conditions.
(such as implementing or expanding green
infrastructure for water runoff management).
70 https://climate-adapt.eea.europa.eu/knowledge/tools/urban-ast/step-3-1
71 climate-adapt.eea.europa.eu/knowledge/tools/urban-ast/step-3-1
72 Ibid.

The New South Wales Coastal Management In Colombia, Law 99 of 1993 (General
Act 2016 aims to “mitigate current and future Environmental Law) recommends a variety of
risks from coastal hazards, considering the options typically implemented by the Ministry
effects of climate change” and “to encourage of Environment and Sustainable Development
and promote plans and strategies to improve or Regional Autonomous Corporations that
the resilience of coastal assets to the impacts will allow Colombia to better adapt to climate
of an uncertain climate future, including change. These adaptation strategies include
impacts of extreme storm events” (Section 3). protecting biodiversity and conservation areas
Accordingly, it calls for the preparation of coastal (Article 5), promoting defence against floods
management programmes to set the long-term and other disasters (Article 31), and advancing
strategy for the co-ordinated management the adaptation of urban areas in high-risk
of land within the coastal zone. Notably, the areas (Article 31). Moreover, Law 1931 of 2018
Act requires such programmes to identify the (Climate Change Law) establishes that the
coastal management issues affecting the areas Comprehensive Territorial Climate Change
to which the programme is to apply, as well as Management Plans (PIGCCT) shall include the
identifying the actions required to address those development of ecosystem-based adaptation
issues in an integrated and strategic manner actions for inland, coastal marine and island
(Section 15.1 (a) and (b)). ecosystems, as well as management tools for
protected areas, according to their management
category (Article 18).
3.2.2. ASSESSMENT OF ADAPTATION OPTIONS
When the list of adaptation options has Notably, this step finds favour in the Cancun
been prepared, the next step is to prioritize Adaptation Framework, which encouraged
between the various options based on detailed countries to assess adaptation actions by
information and criteria. The identified options considering economic, social and environmental
are assessed to determine their suitability to factors.74
the local context, their effectiveness in reducing
The assessment should focus on factors such
vulnerability and exposure or increasing
as the urgency of the climate risk, feasibility,
coping and adaptive capacity, and their wider
financial costs, ease of integration into existing
impact on sustainability. The analysis of costs
institutional arrangements and impacts on other
and benefits can significantly assist decision
social, environmental or economic objectives.75
makers in working out the best strategy for
The New South Wales Coastal Management Act
using scarce economic resources for the most
2016, in addition to calling for the identification
effective adaptation approach and to help
of options, calls for their assessment based
prioritize and time resilience investments. The
on among other things, their costs and the
objective of this step is to avoid decisions that
responsible implementing authority.
lead to inappropriate actions or maladaptation.73
73 See step 4 of Urban Adaptation Support Tool ( Climate-ADAPT) https://climate adapt.eea.europa.eu/knowledge/tools/

urban-ast/step-4-0
74 Decision 1/CP.16, The Cancun Agreements: Outcome of the work of the Ad Hoc Working Group on Long-term Cooperative
Action under the Convention, UN Doc. FCCC/CP/2010/7/Add. 1., 15 March 2011.
75 Ibid.

It provides that the coastal management to be implemented by local councils, those to
programme should “identify the costs of be implemented under environmental planning
those actions and proposed cost-sharing instruments and development control, and those
arrangements and other viable funding to be implemented by other public authorities
mechanisms” as well how and when those (Section 15.1 (c) and (d)).
actions are to be implemented, including those
3.2.3. PRIORITIZATION AND SELECTION OF ADAPTATION OPTIONS

The assessment of adaptation options is It is advisable to use a multi-criteria analysis
followed by the selection of the most suitable which provides a structured approach to
ones. This step recognizes that there could be determine overall preferences among alternative
a range of viable options and, as such, seeks options where the options accomplish several
to develop a ranking mechanism for arriving at objectives.77 A good example is Colombia’s
the most effective ones and developing them Climate Change Law (Law 1931 of 2018), which
into concrete actions. Some criteria to select provides under Article 2.4 that priority will be
the preferred adaptation options could be given to the implementation of climate change
cost-benefit ratio,76 time considerations, adaptation options that bring the greatest
robustness under a broad range of likely future beneficial impact for the population at the lowest
impacts, flexibility for adjustments or reversibility cost or effort invested, and with the greatest
in case of diverging developments, political social and economic benefits.
and cultural acceptability, and enhancement of
learning and autonomous capacity, etc.
3.2.4. STAKEHOLDERS’ ENGAGEMENT IN IDENTIFICATION AND

PRIORITISATION OF ADAPTATION
The Paris Agreement underscores the need for As a cross-cutting issue that affects almost
adaptation actions that are “gender-responsive, every sector of a country’s domestic policies,
participatory and fully transparent”, which adaptation to climate change needs to be
consider “vulnerable groups, communities and undertaken in a coordinated manner that takes
ecosystems” and which take advantage of advantage of cross-sectoral synergies and
“traditional knowledge, knowledge of Indigenous explores opportunities for achieving multiple-
Peoples and local knowledge systems”.78 The benefit simultaneously. A wide range of
importance of involving stakeholders in the stakeholders may, for instance, propose options
identification and prioritization of adaptation that not only promote adaptation but also
options in urban plans cannot be overstated. support other goals, such as mitigation,
76 Adaptation costs are understood to be the costs of planning, preparing for, facilitating, and implementing adaptation
measures, including transition costs and the benefits are the avoided damage costs or the accrued benefits following the
adoption and implementation of adaptation measures. See UNFCCC (2011). Assessing the Costs and Benefits of Adaptation
Options: An Overview of Approaches.
77 See step 4 of Urban Adaptation Support Tool (Climate-ADAPT) https://climate adapt.eea.europa.eu/knowledge/tools/
urban-ast/step-4-0
78 Article 7.5.

disaster-risk reduction and better environmental information on climatic and weather patterns
management. Furthermore, expanding the and trends. In Australia, the New South Wales
stakeholder pool enables the use of traditional Coastal Management Act 2016 provides
knowledge and indigenous practices of that before adopting a coastal management
communities which carry a huge potential for programme, a local council must consult on the
cost effectiveness and efficiency of measures draft programme with the community (Section
due to their possession of unique local 16.1).
3.2.5. IDENTIFICATION OF INFRASTRUCTURE-BASED AND ECOSYSTEM-

BASED ADAPTATION MEASURES
Adaptation may use both infrastructure-based The New York Community Risk and Resiliency
and ecosystem-based measures depending on Act 2014 obligates the Department of
the climate risks involved, their urgency, costs, Environmental Conservation and the Department
ease of implementation and capacity, among of State to develop guidance on the use of
other factors. Infrastructure-based measures resiliency measures that use natural resources
comprise “climate proofing” infrastructure and and natural processes to reduce risk (Section
often include projects such as the construction 16). The New South Wales Coastal Management
of seawalls and river embankments, storm Act 2016 is even more explicit, as it provides
drainage systems, water supply and treatment that the management objectives for the coastal
plants, and relocating energy facilities. vulnerability area are to encourage land use that
Ecosystem-based measures, on the other hand, reduces exposure to risks from coastal hazards,
harnesses biodiversity and ecosystem services including through siting, design, construction
to reduce vulnerability and build resilience to and operational decisions, and to adopt coastal
climate change. Examples include conservation management strategies that reduce exposure to
of wetlands, to absorb peak flows from floods, or coastal hazards which should give preference to
the planting of protective mangroves to reduce enhancing natural defences, including coastal
the intensity of storm surges. While the most dunes, vegetation and wetlands (Section 7.2).
appropriate method to be adopted between the The Myanmar Natural Disaster Management
two is context-specific and depends on the range Law 2013 calls for both infrastructure- and
of listed factors, it is noteworthy that ecosystem- nature-based adaptation measures, including
based measures have numerous benefits, “constructing embankments along the coast and
including cost-effectiveness, conservation of in the flooded area” as well as the “preservation
biodiversity and generation of significant social, of mangroves along the coast and planting fast-
economic and cultural benefits in addition to growing trees” (Section 16).
building on traditional knowledge and practices
of Indigenous Peoples and local communities.79
79 UNFCCC. Technical Paper, Slow Onset Events, 26 November 2012, FCCC/TP/2012/7.

3.2.6. TARGETS TO IMPROVE THE ADAPTATION OF URBAN AREAS WITH
MEASURABLE AND VERIFIABLE BENCHMARKS AGAINST WHICH
PROGRESS CAN BE ASSESSED
In accordance with the Paris Agreement It requires the crystallization of actions into
stipulation for countries to monitor, evaluate concrete targets with measurable and verifiable
and learn from adaptation plans, policies, benchmarks against which progress can be
programmes and actions, this part is concerned
80
assessed. Such an exercise would reveal the
with finding out whether the preferred measures efficacy of agreed actions and provide the
are achieving their intended objectives. basis for additions, adjustments or cessation of
certain actions based on their effects.
3.2.7. ASSESSMENT OF URBAN PLAN’S CONTRIBUTION TO ADAPTATIONS

STRATEGIES
In addition to reflecting the most suitable options, Norway’s Regulations on Impact Assessments
it is advisable that urban plans include adaptation 2017 stipulate that an assessment of urban
actions that result in “win-win” outcomes, i.e., plans needs to be done to determine, among
they not only minimize identified climate risks other things, its impact on nationally and
but also make a significant contribution to local, internationally agreed environmental targets
sub-regional and national governments’ climate (Section 21).
change strategies, targets and measures. In this
sense, the urban plans will be promoting both
local climate resilience as well as compliance
with international obligations.
80 Article 7.9 (b)

3.3. IMPLEMENTATION OF THE IDENTIFIED ADAPTATION
OPTIONS
3.3.1. RESTRICTIONS TO LAND USE AND DEVELOPMENT
A climate risk assessment may underscore sea or of a body of water without a local detailed
the need to keep hazard-prone areas free from plan or a legally binding local master plan which
use and development through restrictions. contains special provisions concerning use of
Such restrictions may be total or partial. the local master plan or a part thereof as the
Total restrictions are recommended where basis for granting a building permit (Section
extreme risk exists that is determined through 72). In Dominica, restrictions are implemented
a comprehensive risk assessment and through the creation of environmental protection
consultation with affected communities. Partial areas. Under the Physical Planning Act 2002, an
restrictions are more common and often seek to order declaring an area to be an environmental
prevent unsuitable land use and development in protection area may specify that only certain
hazardous areas while permitting suitable ones. developments or classes of development are
Examples include allowing agricultural use but permitted; prohibit any development within
not human habitation in flood zones; restricting the area; or permit the area to be used only
development densities coupled with observance for agriculture or forestry purposes (Section
of certain technical requirements; or permitting 57.3). In Maine, one of the objectives of the
development on the condition of developers Mandatory Shoreland Zoning Act list is to
covering the cost of required adaptation “protect buildings and lands from flooding and
measures. accelerated erosion”. To this end, it requires all
municipalities to adopt, administer and enforce
Denmark’s Planning Act 2007 provides that a
local ordinances to regulate land-use activities
local plan may contain provisions on keeping an
within 250 feet of great ponds, rivers, freshwater
area free from new construction if buildings may
and coastal wetlands, and all tidal waters and
be exposed to collapse, flood or other damage
within 75 feet of streams. According to Japan’s
that may endanger users’ life, health or property
Act on Special Measures concerning Urban
(Section 15) and further calls for the country’s
Reconstruction (amended in 2018), local
coastal areas to be kept as free as possible of
governments can designate areas as vulnerable
development and installations that do not need to
to disasters such as floods, tsunamis and storm
be located near the coast (Section 5.a) Finland’s
surges and prohibit construction of residential
Planning and Building Act 1999 prohibits the
buildings in disaster red zones.
construction of buildings in the shore area of the
3.3.2. PUBLIC LAND BUFFER
A public land buffer is one of the mechanisms The area of land between the sea or river and
for preventing development in vulnerable and the demarcation line is thus vested in the
hazard-prone areas. It creates an area of land government and cannot be developed or used
abutting sea or rivers which is public, i.e., state- by private individuals.
owned.

In South Africa, a public land buffer is In Colombia, Decree 2811 of 1974 introduces
implemented through the creation of “coastal public land buffers through Article 320, which
public property” under the Integrated Coastal states that private individuals may be subject
Management Act 2009, which provides that to easements between their property and
such an area may be created to protect sensitive hydrological systems. In addition, Article 330
ecosystems and to protect people, property states that “buffer zones will be determined
and economic activities from risks arising from in the periphery of the park system in order to
dynamic coastal processes, including the risk of preserve it for educational and recreational
sea-level rise (Section 8 and 9). purposes”.
3.3.3. RIPARIAN SETBACKS

Setbacks are “building restrictions that establish Examples of laws that establish riparian setbacks
a distance from a boundary line with which are Norway’s Water Resources Act 2000, which
a landowner is prohibited from building or states that along the banks of river systems
expanding structures”.81 Setbacks have two with a perennial flow, a limited natural belt of
main advantages over traditional engineering vegetation shall be maintained to counteract
structures. First, they are ecologically friendly runoff and provide a habitat for plants and
in that they provide a buffer area that can animals. The width of the belt is stipulated by
simultaneously accommodate the naturally municipalities or laid out in urban plans (Section
dynamic nature of the riverbeds and coasts. 11). Kenya’s Environmental Management Co-
Second, unlike seawalls, setbacks are economical ordination (Water Quality) Regulations 2006
as they provide protection from the immediate prohibits development activity or cultivation
impacts of flooding and storm waves without within a minimum of 6 metres and a maximum
requiring huge financial outlays. The width of of 30 metres from the highest ever recorded
riparian setbacks should ideally be based on flood level, on either side of a river or stream,
scientific assessments and projections. and as may be determined by the National
Environment Management Authority from time
to time (Section 6 (c)).
3.3.4. COASTAL SETBACKS

Coastal setbacks are “prescribed distances to public property, private property and public
a coastal feature such as the line of permanent safety; to protect the coastal protection zone;
vegetation, within which all or certain types of to preserve the aesthetic values of the coastal
development are prohibited”.82 South Africa’s zone; and to prohibit or restrict the building,
Integrated Coastal Management Act 2009 erection, alteration or extension of structures
requires the provincial council to establish or that are wholly or partially seaward of that
change coastal set-back lines to protect coastal coastal set-back line (S25.1a & b).
81 Anne Siders (2013). Managed Coastal Retreat: A Legal Handbook on Shifting Development Away from Vulnerable Areas.
Columbia Centre for Climate Change Law, Columbia Law School.
82 Gillian Cambers (1998). Planning for Coastline Change: Coastal Development Setback Guidelines in Antigua and Barbuda.
UNESCO.

Fiji’s Environmental Management Act 2005 This law prohibits permanent developments
requires all built development to have a 30-metre within the setback zone.83 In Italy, the coastal
setback from the high-water mark. Notably, like setback line is set at 300 metres from the
riparian setbacks, these should be set based shoreline. Development in this zone is restricted
on scientific information. South Carolina’s but not prohibited outright and is regulated
Beachfront Management Reform Act 2018 by regional plans through landscape planning
offers a good example, as it requires the use of (pianificazione paesaggistica). Furthermore, the
the best available scientific and historical data Navigation Code (Article 55) specifies that new
in the implementation of setbacks. The setback works within 30 metres of the maritime domain
line is based on the average annual erosion or from the edge of the elevated land on the sea
rate calculated based on the best historical are subject to state authorization.84 In Turkey, the
and scientific data adopted by the department setback zone takes the form of a “shore strip”
as a part of the State Comprehensive Beach introduced by the Coastal Law 1992. The shore
Management Plan (Section 4). In Spain, the 1988 strip has a width of 100 metres divided into two
Coastal Law establishes a 100-metre setback parts of 50 metres each. The first 50 metres (the
line from the edge of the Marine Terrestrial Public area directly abutting the sea) is publicly owned
Domain, although this is reduced to 20 metres in while in the next 50 metres, tourism facilities for
urban areas. These setbacks were retained by daytime use may be permitted subject to floor
the 2013 Protection and Sustainable Use of the space and height restrictions.85
Coastline and Amendment of the Coastal Law.
3.3.5. INTEGRATED COASTAL ZONE MANAGEMENT PLANS

Integrated coastal zone management refers The purpose and scope of such plans are
to “a dynamic, multidisciplinary and iterative often stipulated in the law. For this part,
process to promote sustainable management integrated coastal zone management plans
of coastal zones”.86 It seeks to involve all should integrate climate change adaptation
relevant sectors and stakeholders in coastal considerations. For example, South Africa’s
zones, with its primary aim being to balance Integrated Coastal Management Act 2009
“environmental, economic, social, cultural and notes that integrated coastal zone management
recreational objectives, all within the limits set is necessary to protect the ecological integrity,
by natural dynamics”. Integrated coastal zone
87
natural character and the economic, social
management plans are thus policy instruments and aesthetic value of coastal public property;
meant to guide activities within the coastal zone, avoid increasing the effect or severity of natural
ensuring that sustainability is at the centre. hazards in the coastal zone; protect people,
83 Marta Lora-Tamayo (2021). Chapter 8: Spain. In Rachelle Alterman and Cygal Pellach (eds.) Regulating Coastal Zone:
International Perspectives on Land Management Instruments. Routledge.
84 Enzo Falco and Angela Barbanente (2021). Chapter 10: Italy. In Rachelle Alterman and Cygal Pellach (eds.) Regulating
Coastal Zone: International Perspectives on Land Management Instruments. Routledge.
85 Fatma Unsal (2021). Chapter 14: Turkey. In Rachelle Alterman and Cygal Pellach (eds.) Regulating Coastal Zone:
International Perspectives on Land Management Instruments. Routledge.
86 European Commission.
87 Ibid.

property and economic activities from risks coastal resources, and may include standards
arising from dynamic coastal processes, for environmental impact assessment for
including the risk of sea-level rise; maintain the development which may affect the resources
natural functioning of the littoral active zone; and (Section 3 and 4).
maintain the productive capacity of the coastal
South Korea’s Coast Management Act 2009
zone by protecting the ecological integrity of the
also obligates the preparation of an integrated
coastal environment (Section 17).
coastal management plan each decade in
Barbados’ Coastal Zone Management Act order to preserve, use and develop coasts in a
1998 requires the Director of the Coastal Zone comprehensive manner (Article 6). It particularly
Management Unit to prepare a draft coastal considers special management of the area
zone management plan which comprises where serious damage has occurred or is likely
policies, strategies and standards that provide to occur due to coastal erosion (Article 20).
for the management and conservation of
3.3.6. LOCATION OF ESSENTIAL INFRASTRUCTURE

Essential infrastructure is infrastructure related Furthermore, such infrastructure may
to water, sanitation, drainage, transport, coastal exacerbate a situation that is already dire if
transport (seaports and coastal airports), struck by climate hazards (e.g., if a climate-linked
energy, telecommunications or emergency fire occurs near a nuclear facility). Accordingly,
infrastructure and critical facilities (hospitals). urban planning frameworks should ensure that
Such infrastructure is not only crucial to essential infrastructure is located outside high-
adaptation (e.g., water treatment and storage risk areas. Vietnam’s Urban Planning Law 2009
plants during drought), but also provides provides that the base height and urban surface
essential services during climate hazards (e.g, water drainage planning must indicate areas
transport and communication infrastructure is favourable for construction in urban centres,
vital during disaster response to climate-linked including areas where construction is banned
disasters such as hurricanes, typhoons and and restricted, and measures for preventing and
fires. mitigating damage caused by natural disasters
(Article 37.2).
3.3.7. CAPACITY OF WATER INFRASTRUCTURE

Increased precipitation is one of the most notable occur through power, data and telecom cuts
climate hazards identified by the IPCC. This fact as well as business and traffic interruption.88
calls for particular attention on the adequacy of Moreover, heavy rainfall is an environmental
water infrastructure. Heavy precipitation results and health risk where there is inadequate water
in not only large-scale economic damage from capacity as storm water may seep into drinking
direct destruction of buildings and infrastructure water pipelines or enter the sewer system in
but also secondary economic damage that may such high volumes that the mixed storm water
88 Hens Runhaar (2018). “Mainstreaming climate adaptation: taking stock about what works from empirical research
worldwide.” Regional Environmental Change.

and waste water has to be discharged directly to They use scientific projections to guide the
the sea or a river system instead of being treated location and capacity of water infrastructure.
first.89 This part thus seeks to promote planning For instance, they provide that consideration
of sewerage systems, storm drains and waste should be given to likely future pressures on
water treatment plants based on predicted the site drainage system, such as increasing
rainfalls, flooding and densification. One of the intensity of rainfall due to climate change. The
objectives of the Welsh Sustainable Drainage standards further add that drainage solutions
Systems Standards 2018 is to manage surface should consider historical information on all
water runoff to protect people and property from forms of flooding and groundwater levels during
flooding effects and to protect the receiving extended wet periods.90
water body from morphological damage.
3.3.8. NATURE-BASED STORM WATER MANAGEMENT

Nature-based stormwater management entails consideration in land-use planning processes
using natural soil infiltration or drainage via open and when processing applications for new
waterways and ponds rather than resorting developments. The Welsh Sustainable Drainage
to artificial solutions such as impermeable Systems Standards 2018 provide that surface
storm drains, which tend to intensify flooding runoff not collected for use should be discharged
in river systems causing more damage further by infiltration to the maximum extent possible
downstream. A legal requirement to consider at any location across the site. In Colombia,
nature-based storm water management to a policy instrument (CONPES 4004 of 2020)
manage increasing volumes of stormwater states that Sustainable Urban Drainage Systems
in already built-up and expansion areas (SUDS) are to be considered and implemented
may provide a more sustainable alternative. by the National Planning Department (DNP) to
Norway’s Water Resources Act 2000 states that deal with storm flooding: “the DNP, together
land should, as a general rule, be developed in with the Ministry of Housing, City and Territory,
a way that precipitation can continue to drain will publish in 2021 a methodological guide for
away by infiltration into the ground (Section 7). the formulation and implementation of SUDS,
Accordingly, the Planning and Building Act 2008 in order to strengthen water management
and the regulations on technical requirements processes at the municipal level, as these types
for building works authorize municipalities of systems allow the use and reuse of water”
to include stormwater management as a (Section 4.3.2).
3.3.9. CLIMATE VULNERABILITY IN LAND INFORMATION SYSTEMS

Climate risks may be avoided through awareness mechanisms to achieve this. Vulnerability
raising of the hazards associated with certain information could include low elevation coastal
areas. Integrating vulnerabilities and exposure zones, flood plains, fire-prone areas, zoning,
of land parcels to climate hazards in land and development and use restrictions. In the
information systems is one of the most effective Netherlands, the Cadaster Law 2008 provides
89 Climate change adaptation in Norway. Meld. St. 33 (2012–2013) Report to the Storting (white paper).
90 G2.5 and G2.6 under Guidance on Standard S2 - Surface water runoff hydraulic control available at https://gov.wales/sites/
default/files/publications/2019-06/statutory-national-standards-for-sustainable-drainage-systems.pdf

the basis for the inclusion of various details in the Some countries are integrating climate
land information system, including land tenure, vulnerability information in local registers. For
value and use of land and buildings, as well as instance, the Flood and Water Management
the existence of any environmental limitations Act 2010 of Wales requires a lead local flood
regarding use. It has introduced an energy label authority to establish and maintain a register
to be attached during sale, letting or construction of structures or features which, in the opinion
transactions of real estate. More notably in this of the authority, are likely to have a significant
context, this law supports land acquisition by effect on a flood risk in its area, and a record of
the government for the implementation of anti- information about each of those structures or
flooding measures. 91
features, including information about ownership
and state of repair (Section 22).
3.3.10. EVACUATION ROUTES AND LOW RISK AREAS

Part of adaptation planning is the appreciation It further requires all major development
that, in extreme cases, people may need to proposals in areas at risk of flooding to submit
be evacuated from risky areas. It is crucial a flood warning and evacuation plan. In Japan,
that urban plans provide for accessible and the Flood Prevention Act 1949 (amended by
functional evacuation routes and identify safe Act No. 109 of 2014) requires the Minister of
locations that may be used as temporary or even Land, Infrastructure, Transport and Tourism
long-term settlements. Pursuant to the United (MLIT) and prefecture governors to designate
Kingdom Planning and Compulsory Purchase areas along certain rivers as predictable areas
Act 2004 which introduced Local Development prone to flooding (Article 14). It also adds that
Frameworks, the London Borough of Richmond municipal governments with such areas within
upon Thames has adopted a Development their jurisdictions must prepare systems for
Management Plan that provides that flood issuing flood warnings, designating evacuation
warning and evacuation plans should be in place spaces and listing facilities that need particular
for those areas at an identified risk of flooding. attention in case of floods, such as underground
It calls for developers to ensure that appropriate malls, care facilities for the elderly, the disabled,
evacuation and flood response procedures are or children, and large factories. (Article 15.)
in place to manage the residual risk associated
with an extreme flood event and include how
such plans will be implemented.
91 Diego Navarra and Paul Van Der Molen (2013). “A Global Perspective On Cadastres & Geo-Ict For Sustainable Urban
Governance In View Of Climate Change.” Architecture, City and Environment 8 (24).

3.4. ADAPTATION OF SLUMS AND VULNERABLE
SETTLEMENTS
It is estimated that almost a billion people Second, the socio-economic characteristics

live in slums with more than 881 million in of slum dwellers - high levels of poverty and
developing countries alone.92 These settlements illiteracy – mean that these communities have
have been built outside the “formal” system of low capacity to deal with climate impacts. Third,
laws and regulations that are meant to ensure slums often suffer from political and institutional
safe, resilient structures, settlements and marginalization by public authorities which
systems. In addition to living under conditions refuse to legitimize their urban existence.
characterized by inadequate access to safe Consequently, such areas often miss out on
water, sanitation, sufficient living space and investments in risk reducing infrastructure.93
insecure tenure, informal settlers also face the Reducing the climate risks facing slums thus
grave threat of climate change. They stand needs to start by integrating them into the
to be disproportionately affected due to three broader urban fabric and improving the physical,
underlying factors. First, they are often located social and economic environment of their
in environmentally fragile areas, such as occupants through upgrading.
steep slopes, floodplains, coastal shores, and
riverbanks.
3.4.1. URBAN PLANNING AND LAND MANAGEMENT TOOLS

Legal frameworks may play a crucial role in “the development of that area raises significant
slum upgrading by providing specific planning urban design and environmental challenges”
instruments for this purpose. These tools (Section 52). In Malawi, an improvement area
recognize the reality of informality and seek may be declared for “land developed primarily
to increase the resilience of slum dwellers, for residential purposes to a high density, or in
notwithstanding their frequent need to rely an unplanned and unauthorized manner, or in
on irregular strategies. These tools may a manner which makes further development
relate to land subdivision, land consolidation, or redevelopment of that land or adjacent land
land pooling/readjustment, land sharing, difficult to carry out, or in a manner detrimental
community land trust, land banks and transfer of to the environment of the area and the health
development rights. In some countries, the urban of the residents of the area or adjacent areas”
planning mechanism used for slum upgrading (Section 63.1, Physical Planning Act 2016).
is the declaration of “special planning areas” or This law goes further to lay out the actions
“improvement areas”. This is the case in Kenya, that may constitute slum upgrading following
Malawi, South Africa, Tanzania, Dominica, the declaration of an improvement area;
Zambia and Tanzania. Kenya’s Physical and these include the improvement of houses, the
Land Use Planning Act 2019 provides for the building or rebuilding of houses, the provision
declaration of a special planning area where of roads, water and electricity in the area, the
92 UN-Habitat (2016). World Cities Report 2016.

93 UN-Habitat (2018). Addressing the Most Vulnerable First: Pro-poor climate action in informal settlements.

reallocation of land within the area to ensure a for one or more of the purposes of development,
more beneficial occupation and a more suitable redevelopment, improvement or conservation
subdivision of the land, the demarcation of (Section 9.4.e). In India, the Gujarat Town
boundaries and the payment of compensation Planning and Urban Development Act 1976
to residents of the area who suffer loss or has been used to undertake various land
inconvenience through the exercise (Section readjustment projects which have promoted
63.2). The Dominica Physical Planning Act security of tenure for the urban poor, increased
2002 envisages land pooling/readjustment affordable housing units, provided infrastructure
by providing that a development plan may and basic services and regenerated historic
designate as a comprehensive planning area cores.94
any area which needs to be planned as a whole
3.4.2. FLEXIBLE PLANNING AND INFRASTRUCTURE STANDARDS

Urban planning law in some countries requires Flexible planning and infrastructure standards
compliance with particular forms of land tenure, may include lowering minimum plot sizes,
building forms and construction materials, which allowing higher floor-space ratios, loosening
often embody standards imported from other height restrictions, or allowing greater density
countries and building technologies. Coupled in specific target zones. Planning laws which
with requirements for setbacks, minimum plot provide for “special planning” or “improvement”
sizes, coverage, on-site parking, etc., these areas often require special plans to be prepared
standards make it impossible for the urban poor for these areas. For instance, the Uganda
to formally reside in urban areas as they are Physical Planning Act 2010 requires the Physical
usually unaffordable for low-income households Planning Board to prepare a “special planning
and often impractical in dense and highly area physical development plan” for areas with
populated slums.95 Regulatory frameworks “unique development potential or problems”
in such contexts thus need to be in tune with (Section 24.3). Such plans may allow flexible
local realities for effective adaptation to climate standards provide for lower specifications than
change through slum upgrading. Flexible what is generally required in other areas. In
standards which uphold minimum standards for Kenya, slum upgrading projects have benefited
health and safety and enable informal settlers from this allowance based on special area
to lead a decent and productive life should be plans.97 The Zambia Urban and Regional
considered in the interim, with the possibility Planning Act 2015 makes it clear that the
of scaling up to more complex interventions as minister may provide for certain specifications in
capacity and resources increase. 96
places declared as improvement areas (Section
31.2).
94 UN-Habitat (2013). Supply of Land for Development: Land Readjustment Experience in Gujarat, India.
95 UN-Habitat (2020). Human Rights, Rule of Law and the New Urban Agenda.
96 Ibid.
97 See the Kenya Informal Settlement Improvement Project (KISIP). https://projects.worldbank.org/en/projects-operations/
project-detail/P113542?lang=en&tab=overview

3.4.3. COMMUNITY PARTICIPATION IN UPGRADING
Slum upgrading should involve meaningful is required to stipulate how public participation
community participation across the planning and innovative approaches will be used in the
process. Gaining the support and the planning and implementation process (Section
collaboration of informal settlers is essential for 53.h, Physical and Land Use Planning Act
the success of interventions as it allows specific 2019). The Act also requires renewal and re-
community needs to be factored into the process development plans to contain “a report on
and promotes buy-in. Participation needs to citizen participation describing meaningful
include not only land and structure owners citizen participation in the planning process
but also the residents (tenants), with special and expected citizen participation during
consideration for women, youth, disabled people project execution” (Second Schedule - Part C).
and elderly people, among other marginalized In Malawi, once an improvement area order is
groups. In Kenya, the declaration of a special made, the Physical Planning Act 2016 provides
planning area is followed by the preparation of a for community participation through meetings
“special area plan” which, among other matters, and representations (Section 63.3).
3.4.4. COMMUNITY INVOLVEMENT IN SURVEYS AND ENUMERATIONS

A household enumeration is a census of housing Similarly, in India, the Guidelines for Preparation
and people living in a specific neighbourhood. of Slum Free City Plan of Action (2013-2022)
It is important to ensure that participatory under the Rajiv Awas Yojana (RAY) programme,
processes related to slum upgrading, such as which envisages a slum free India with
surveys and household enumerations, have a “inclusive and equitable cities in which every
strong community involvement and, preferably, citizen has access to basic civic and social
are community-led to promote inclusivity and services and decent shelter”, makes mapping
avoid capture by other interest groups. The and participatory enumeration a mandatory
Kenya Slum Upgrading Bill 2019 requires requirement for planning citywide slum
the preparation of an inventory which maps upgrading.
and enumerates households to be done in a
“participatory and inclusive manner”.
3.4.5. ACCESSIBILITY TO BASIC SERVICES

As most slums are by nature “informal As most informal settlers do not have these
settlements”, governments often do not provide documents, they are inevitably excluded from
them with services out of the fear that their formal/official service provision and are forced
recognition is an implicit endorsement of their to access those services informally at a higher
informality (especially if the slums are on public cost and lower quality. Accordingly, there is need
land). For this reason, the practice in many states for legislative reform in these areas to establish
is to require applications for utility connections measures to ensure that everyone enjoys the
to be accompanied by formal proof of ownership right to basic services such as water, sanitation
or occupation (often in the form of a title deed or and energy as well as eliminate legal provisions
rental agreement). and requirements that hinder people from such
access.
It should be possible to access water, sanitation 30). The occupancy licences enable holders to
and electricity based on the provision of not access services since they are considered to
only formal tenure rights documents but also be adequate proof of proprietorship. Belgium
customary and non-documentary forms, also offers a good example through the
such as oral lease agreements, occupancy decree regarding the tariffication and general
certificates, neighbours’ statements etc. conditions of the public distribution of water in
Zambia’s Urban and Regional Planning Act the Walloon region, 2004, which provides that
2015 recognizes occupancy licences – valid “any person holding an interest in immovable
for 30 years - which grant holders rights over property is entitled to connect the property to the
the land to which the licence relates (Section public water supply network”.
3.4.6. AFFORDABILITY OF THE UPGRADED SETTLEMENT
Slum upgrading efforts always carry the risk legal frameworks thus need to ensure that
that the new/refurbished settlements may the upgraded settlement remains affordable
be unaffordable to the pre-existing residents. for pre-existing communities. Measures to
This is often the case where substantial public prevent economic displacement in the context
resources have been expended on the project of upgrading include the requirement to build
and the government is seeking to recoup part affordable housing; community saving schemes
of its investment by opening up the area and and provision of subsidies to help the settlers
offering to sell some units to other beneficiaries, cover the upgrading costs; imposition of
or where the informal settlers are required to maximum rental fees to maintain affordability;
cover part of the upgrading costs (such as and temporary limitation of the right to sell to
through loans) which prove to be too high for outside parties. A good example is Zambia’s
them. In both cases, the original settlers are Urban and Regional Planning Act 2015, which
often pushed out by wealthier households that seeks to prevent economic displacement of pre-
can afford to buy most of the units or pay back existing communities by requiring that any sale
the loans. As such, the poorest are displaced or transfer of property within the improvement
and in their bid to find affordable housing, area must be approved by the local authority in
resort to settling in even riskier settlements. For whose jurisdiction the land is situated (Section
slum upgrading to serve its intended function, 33).

3.5. PLANNED RELOCATIONS
A climate risk and vulnerability assessment Accordingly, this Toolkit includes planned
may conclude that the most effective protection relocations as one of the important elements
measure for a particular community is their of adaptation in urban contexts. This part is
relocation to a new region which is safe from influenced by the fundamental principle that
climate hazards. Planned relocation involves “a planned relocation should always be a context-
process in which persons or groups of persons specific measure of last resort, based on consent
move or are assisted to move away from their and participation of affected communities and
homes or places of temporary residence, are without compromising their security of tenure.101
settled in a new location, and provided with Planned relocations should only be implemented
the conditions for rebuilding their lives”. 98
when no other means of adaptation are available
Planned relocations can be undertaken pre- to enhance the population’s resilience and ability
emptively (e.g., before a disaster strikes, or as to remain in their original settlements, or when
a measure to avoid the longer-term impacts of adequate alternatives that enable people to
climate change) or remedially (e.g. following a rebuild their lives in their communities of origin
disaster). They may also be used as a strategy are unavailable. They should also be underpinned
to avoid future displacement; for example, by a sound legal and scientific basis upon which
when areas are highly disaster-prone or too the determination of the necessity of relocation
dangerous for human habitation, when the is made in a process that fully protects, respects
impacts of climate change are expected to make and responds to the rights and needs of affected
life unsustainable in particular areas, or when the populations.102
return of original habitats is not possible. The 99
role of planned relocation in the climate change

context is recognized by the Cancun Adaptation
Framework, which calls on states to enhance
adaptation action by undertaking “measures
to enhance understanding, coordination and
cooperation with regard to climate change-
induced displacement, migration and planned
relocation”.100
98 UNHCR (2017). A Toolbox: Planning Relocations to Protect People from Disasters and Environmental Change. Georgetown
University and IOM.
99 Brookings Institution, Georgetown University and UNHCR (2015). Guidance on Protecting People from Disasters and
Environmental Change through Planned Relocations.
100 Cancun Adaptation Framework, 14 (f).
101 Convention 169 of the ILO stresses the absolute last-case scenario of relocation of Indigenous and traditional
communities, which should be subjected to free, prior and informed consent due to their deep bonds to the land and because
relocation can lead to loss of culture, belonging and history.

3.5.1. LAND FOR RELOCATIONS
The term “planned relocation” implies that Act 2012 (IDP Act) notes that government
the process entails a level of foresight and bears the “primary duty and responsibility to
“planning”. Among the central tenets of the designate, where necessary, official areas for the
planning process is ensuring that suitable land settlement of internally displaced persons in the
has been identified and, if necessary, set aside for republic” (Section 11.5.a). Colombian Territorial
when it might be needed for planned relocations. Development Law (Law 388 of 1997) requires
Ideally, the land needs to be located close to the that zoning plans include “mechanisms for the
places of origin and have the ability to generate relocation of human settlements located in
livelihoods for the relocated community. Some areas of high risk to the health and integrity of
countries have already envisaged the provision their inhabitants” (Article 13). Decree 1807 of
of land in their legislation. In Papua New Guinea, 2014 also requires that in areas where the risk
the Manam Resettlement Authority Act 2016 cannot be mitigated, the houses and buildings
provides that one of the functions of the authority to be resettled must be identified in detail, in
is to identify and acquire land for resettlement of addition to the stabilization works necessary to
displaced populations. In Kenya, the Prevention, prevent the influence of the phenomenon under
Protection and Assistance to Internally study from increasing (Article 20).
Displaced Persons and Affected Communities
3.5.2. SAFETY OF THE RELOCATION SITE

Planned relocation may be counter-productive Efforts must be made to guarantee the safety of
if the new site increases or fails to reduce the relocation site if planned relocations are to
the vulnerability of affected communities. be an effective climate change-adaptation and
Considering that planned relocations often disaster risk-reduction mechanism. Fiji offers a
have disruptive effects on housing, livelihoods good example through the Planned Relocation
and social networks, it is critical to ensure that Guidelines 2018, which require “actions to ensure
the relocated community does not face further a climate-resilient environment at destination,
climate risks or is forced to move again due to including climate-proof infrastructure [and]
other hazards. alternative green energy”.
3.5.3. RESETTLED AND HOST COMMUNITIES’ PARTICIPATION

Both resettled and host communities should be Planned relocation should ensure the meaningful
informed, consulted and enabled to participate participation of stakeholders at every step of
in decisions on whether, when, where and how the planned relocation process, including the
a planned relocation is to occur. Culturally decision to relocate, site selection, timing and
appropriate consultative, participatory structures modalities of relocation, and should involve all
need to be in place to enable all sectors of a factions within stakeholder groups (such as
community to make informed choices and to the elderly, people with disabilities, women and
communicate these in a transparent process. children).

Furthermore, as planned relocation has the The Fiji Planned Relocation Guidelines 2018
potential to exacerbate underlying tensions require the government to collaborate with the
in communities and spark frictions and affected communities and ensure the diverse
conflicts over resources such as land, water needs of the community are integrated in
and pastures, thereby unsettling the social preparing and elaborating the relocation plan;
geometry in both relocation sites and places this should be by initiating a real dialogue with
of origin, the participation of host communities the affected population and putting in place
is also essential to a successful process. 103
measures to remove obstacles to participation
Facilitating the participation of both relocating and to capture the views of differently affected
and host communities can temper or allay groups.
these outcomes, as does ensuring that host
communities also receive benefits from the
process of planned relocation.
3.5.4. RELOCATION SITE FACILITIES

Planned relocations should be a process of Similarly, the Fiji Planned Relocation Guidelines
rebuilding and integration, enabling people to 2018 also tasks government stakeholders with
settle sustainably in a new location.104 It should, fulfil basic human rights, including the right to
at a minimum, restore the living standards of water, the right to food, the right to health, the
relocated individuals and communities. To be right to work, the right to education and the
sustainable, planned relocation should provide right to a clean and healthy environment of
affected populations with suitable land and affected communities. The guidelines also call
housing, access to public services like water, for measures intended to promote access to
sanitation, electricity, and transportation, and financial resources, diversification of livelihood
access to social services like education and and new economic opportunities. Moreover,
health and sources of income, livelihood/ they include facilities for both relocated people
employment opportunities.105 These facilities and host communities by providing that if the
should also be accessible to host communities relocation site is in a previously occupied area,
to promote integration and harmony in the additional infrastructure, including shelter,
resettlement areas. The Manam Resettlement schools, medical facilities and livelihoods,
Authority Act 2016 (Papua New Guinea) should be provided.
obligates the authority to provide services
and infrastructure for the resettlement area,
including building access roads, an airstrip,
schools, aid posts and ensuring a safe water
supply; and to ensure that the human rights of
displaced persons and the members of the host
communities are protected.
103 Ibid.
104 UNHCR, Georgetown University and IOM (2017). A Toolbox: Planning Relocations to Protect People from Disasters and
Environmental Change.

3.6. SECURITY OF TENURE
Lack of tenure security undermines the Furthermore, lack of formally recognized land
effectiveness of adaptation actions in urban rights may exclude informal settlers from
contexts by increasing the sensitivity of compensation or disaster-recovery funding,
affected populations. It increases the risk of which may undermine planned relocation
displacement from loss of land rights which may efforts.107 Security of tenure is thus a critical
push communities into even more risky zones. component of not only adaptation but also the
It restricts access to public infrastructure and realization of sustainable and inclusive urban
services as in some countries proof of formal development as recognized by the NUA, which
titles is required.106 The adaptive capacity of also calls for cities and human settlements that
residents is also inhibited by tenure insecurity as “fulfil their social function, including the social
persistent threats of evictions discourage them and ecological function of land”.108
from investing in more resilient housing.
3.6.1. RECOGNIZED TENURE FORMS

Land tenure refers to the various relationships Consequently, many countries give recognition
between people and land. It involves rules, to freehold tenure and formalized individual
practices and beliefs that define conditions of land rights to the exclusion of the other forms,
access to, use of, control over and disposal of which affects the rights of informal settlements
land. Land tenure is seen as existing in binary women, children, and other vulnerable groups.
forms: formal/informal, legal/extra-legal, or de
To address these gaps, this Tool advocates for
facto/de jure. This view ignores the wide and
the “continuum of land rights” concept, which
complex spectrum of appropriate, legitimate
recognizes a variety of rights ranging from
tenure arrangements that exist between
informal rights on one end of the spectrum to
these extremities, which range from various
formal rights on the other.110 In between, there
and sometimes overlapping rights of use to
are occupancy rights, customary, leasehold and
conditional or full rights to dispose of the land.109
group tenure, among others, and include both
The binary approach to land tenure has been
individual and collective rights. Namibia offers
reflected in legal systems through a preference
one of the best practices in this area.
of registered freehold and formalized individual
land rights as the ultimate form of land rights
rather than being seen as one among many
forms of tenure.
107 UN-Habitat (2019). Land Tenure and Climate Variability.
108 Para 13 (a) and Para 14 (b).
109 UN-Habitat (2008). Secure Land Rights for All.
110 UN- Habitat (2012). Handling Land: Innovative Tools for Land Governance and Secure Tenure.

The Flexible Land Tenure Act 2012 explicitly The Zambian Urban and Regional Planning Act
notes that its main objective is to create 2015 gives local authorities the power to issue
alternative forms of land title that are simpler occupancy licences to informal settlers (Section
and cheaper to administer than existing forms 30.2), and the Lands Act 1995 recognizes
of land title, and to provide security of title for customary and leasehold tenure (Section 7
people who live in informal settlements or who and 8). The rights are also provided for under
are provided with low-income housing (Section Nigeria’s Land Use Act 1990 (Section 5 and 6).
2). Several other countries recognize different
tenure forms in their legal framework, including
occupancy rights, customary and leasehold in
addition to freehold.
3.6.2. LAND TENURE REGULARIZATION

Security of tenure may be promoted through In Kenya, regularization has taken place in the
land regularization. This is a deliberate process context of slum upgrading through the Land Act
by which informal tenure and unauthorized 2012 and the Land Registration Act 2012. Where
settlements are integrated into the official, legal informal settlers occupy public land, these two
and administrative systems of land management. laws have been used to convert public land to
The regularization process is two-fold: juridical/ private land or to community land followed
administrative (tenure regularization) and the by proprietary documents. Regularization
physical (material regularization). In tenure has also been done in Colombia through the
regularization, the process often starts with the Public Policy for the Integral Improvement of
delivery of an administrative permit to occupy Neighbourhoods (CONPES 3604/2009), which
that can be conditionally upgraded to a leasehold has been used by the Ministry of Housing to
and, at a later stage, to a long-term registered improve the living conditions of the urban poor.111
freehold. Namibia’s Flexible Land Tenure Act Colombian Law 1001 of 2005 also introduced
2012 provides for the creation of a simple land crucial legislation to help occupants of informal
tenure form beginning with a “starter title” which settlements on public land to obtain property
may then be upgraded to a “land hold title” and rights and proof of ownership, provided they had
later to full ownership (Section 14 and 15). settled on such land prior to 30 November, 2001.
3.6.3. MULTIPLE TENURE FORMS AND LAND INFORMATION SYSTEM

Registration of land rights in public records is It has also been argued that registered property
a crucial component of secure tenure. It gives increases investments on land and promotes
the beneficiaries a degree of certainty and access to credit,113 which can be used to provide
security, and a legitimate expectation of legal resilient infrastructure and more durable housing
protection. 112
in vulnerable areas.
112 Tim Hanstad (1998). “Designing Land Registration Systems for Developing Countries.”, 13. American University
International Law Review 3.
113 Hernando De Soto (2000). The Mystery of Capital: Why Capitalism Triumphs in the West and Fails Everywhere Else. Basic
Books.

The Namibia Flexible Land Tenure Act 2012 Pursuant to the Agrarian Law, multiple tenure
establishes Land Rights Offices and requires the forms have been registered and recorded in
Registrar of Deeds to establish a land hold title the land information system. This process has
register and a starter title register, and it creates a resulted in the issuance of certificates falling
general duty to register all types of tenure forms within the three regimes of customary land
(Sections 4-7). In Mexico, the legal framework tenure in Mexico: (a) usufruct rights to the
recognizes both private and communal land commons within an ejido, (b) usufruct rights to
ownership. The latter is particularly associated an individual parcel usually used for agriculture,
with the ejido system through which the and (c) private rights to a housing lot within the
customary system of land has been integrated urban zone of the ejido.114
into the statutory system.
3.6.4. EVICTIONS
Forced evictions are permanent or temporary Legal frameworks should try to prevent
removal against their will of individuals, families instances of forced evictions through security
and communities from the homes or land of tenure for all. In cases where people must
which they occupy, without the provision of, and be evicted, the process should involve certain
access to, appropriate forms of legal or other safeguards. These include preparation of
protection.115 Evictions may exacerbate the an eviction impact assessment, extensive
negative effects of climate change as they consultations with the affected people and
not only deprive people of housing but also effective recourse mechanisms for those who
threaten their access to health, education, food, are adversely affected by the eviction decision.117
livelihoods and even the right to life, especially The process of conducting the evictions also
when evictions are carried out through violence. needs to be stipulated in the law.
Such evictions not only affect proprietary
South Africa’s Prevention of Illegal Eviction From
interests of the targeted individuals but also
and Unlawful Occupation of Land Act 1998 lays
destroy their social networks, personal identities
out procedural and substantive guidelines for
and access to employment. Furthermore, they
evictions. In addition to all evictions being court-
have a disproportionate impact on the most
ordered, the court has the obligation to consider
vulnerable and already marginalized groups.
all relevant circumstances and be ordered only
Women, girls, children, disabled people, refugees,
if they are just and equitable. Eviction matters
migrants and the poor face the brunt of such
cannot be heard ex parte and summarily
actions.116
determined.
114 UN-Habitat (2015). Ejido Land Tenure and Registration System: Mexico Case Study. Available at: https://gltn.net/
download/ejido-land-tenure-and-registration-system-mexico-case-study-synthesis-report-eng-2015/?wpdmdl=8127&refres
h=605ac404eda2d1616561156
115 Committee on Economic, Social and Cultural Rights, general comment No. 7 (1997) on the right to adequate housing:
forced evictions.
117 Guiding Principles on Internal Displacement (E/CN.4/1998/53/Add.2); Basic principles and guidelines on development-
based evictions and displacement (A/HRC/4/18, annex I).

All the relevant circumstances must be presented are vulnerable, such as women, children, the
before the court, with the most important one elderly, and people with disabilities; special
being whether occupiers, including unlawful measures be included to ensure that there is no
ones, have alternative accommodation. The arbitrary deprivation of property or possessions
Kenya Land Act 2012 offers a good example as a result of the eviction; mechanisms be
of mandatory procedures meant to protect included to protect property and possessions
the welfare of communities facing evictions. It left behind involuntarily from destruction; there
provides that all evictions must be preceded by is respect for the principles of necessity and
the presentation of the formal authorizations for proportionality during the use of force; and give
the action; where groups of people are involved, the affected people the first priority to demolish
government officials or their representatives are and salvage their property (Section 152G). The
to be present during an eviction; evictions be evictions must also be preceded by a three-
carried out in a manner that respects the dignity, month notice to the affected people, in writing,
right to life and security of those affected; by notice in the Government Gazette, in one
special measures be included to ensure newspaper with nationwide circulation and by
effective protection for groups and people who radio announcement (Section 152C).
3.6.5. LAND ACQUISITION AND COMPENSATION
Public authorities at times need to acquire land The Malawi Physical Planning Act 2016
for various purposes. These may be to expand makes it clear that informal settlers are
infrastructure, provide affordable housing or entitled to compensation for loss of land rights
create public spaces. Climate risks could also or inconvenience due to slum upgrading. It
motivate governments to acquire land in the stipulates that there shall be a right to the
vulnerable area – and effectively lock out any payment of compensation where a person is
private development to prevent disasters. In required to move from his or her house, either
all these cases, it is recommended that legal permanently or on a temporary basis, and take
frameworks consider and compensate loss up residence elsewhere in the exercise of powers
of not only formal rights, but also the informal under an improvement area order (Section 68.1).
rights of settlers who often depend on such
The Sierra Leone Public Lands Act 1960 also
settlements for housing, livelihoods and
entitles compensation to not only “owners”
social support systems. An example is the
but also “occupiers” of land that is being
Kenya Constitution 2010, which provides that
appropriated, which includes the value of the
acquisition of land must be preceded by prompt
land as well as for any damages sustained as
compensation to the interested holder and gives
a result of the process (Section 15). Colombia’s
the affected person the right to challenge the
Territorial Development Law (Law 388 of 1997)
expropriation decision or valuation in a court
ensures at its article 67 that owners shall be
of law. It also allows compensation to be paid
paid equal to commercial appraisal during
to occupants in good faith who may not hold
expropriation.
title to the land (Article 40). This provision may
potentially be applied to compensate holders of
formal rights as well as informal settlers.

Moreover, Decree 4.830 of 2008 establishes territorial entities (Article 3). This subsidy can be
the value of the Family Subsidy for Rural Social used for the construction or acquisition of new
Interest Housing, which will be between 10 and housing or for basic improvements to the house
18 monthly current legal minimum wages, in or sanitation system.
accordance with the projects presented by the
3.6.6. LAND AND PROPERTY DISPUTE TRIBUNAL
The centrality of land to the social and economic In Kenya, the Environment and Land Court Act
well-being as well as the sense of identity for 2011 creates the Environment and Land Court,
many individuals and communities makes which has original and appellate jurisdiction
disputes and conflicts likely. Such disputes often to hear and determine all disputes relating to
lead to the loss of land rights of some members environment and land. These include disputes
at the expense of others. As security of tenure relating to environmental planning and
has been shown to be essential to climate protection, climate issues, land-use planning,
change adaptation, it is important that legal title, tenure, boundaries, rates, rents, valuations,
frameworks ensure that dispute resolution- compulsory acquisition of land, and land
mechanisms are not only available, but also administration and management (Section 13).
that they are accessible to all. Furthermore, The jurisdiction of the court is reiterated by the
unresolved disputes lead to blockages in urban Land Act 2012 (Section 128). In Nigeria, the Land
interventions. Effective dispute resolution is Use Act 1990 creates Land Use and Allocation
essential to enforce rights, hold institutions Committees which are tasked with determining
accountable on procedural and substantive disputes related to compensation. Article 69 of
rights, and to ensure the smooth implementation Colombian Territorial Development Law (Law
of plans, informal settlements upgrading, 388 of 1997) provides for an appeal mechanism
planned relocations and implementation of related to expropriation decisions.
adaptation options.
3.6.7. ALTERNATIVE DISPUTE RESOLUTION MECHANISMS
In addition to the formal justice system, the legal These factors hinder access to justice for many,
framework should recognize and encourage especially the urban poor, ethnic minorities,
alternative dispute resolution (ADR), as the Indigenous Peoples, irregular migrants,
formal court system often includes lengthy and internally displaced persons (IDPs) and women.
costly processes laced with complex procedures In contrast, ADR has several advantages. It is
that limit access for most of the population. The relatively speedy, less costly, more flexible and
formal court system is often technical in nature has fewer technicalities. It involves disputing
and obliges litigants to be represented by lawyers, parties in the dispute-resolution process, has
thus making it more expensive. Furthermore, the potential to result in a win-win situation,
especially in common law jurisdictions, it is thus preserving the parties’ relationships post-
adversarial in nature and results in a win-lose dispute and, in some cases, gives the parties the
outcome for the disputants. 118
choice of selecting arbiters.
118 Marc Galanter (1974). “Why the “Haves” Come out Ahead: Speculations on the limits of legal change”, (1974), 9 Law &
Society Review 1.

As opposed to the public nature of court The Land Act 2012 reiterates these principles
cases, it also offers privacy to the parties. under Section 4.2, where encouragement of
These benefits make ADR an attractive communities to settle land disputes through
option for the vindication of rights provided it recognized local community initiatives and
guaranties equity,119 the respect of the law and alternative dispute-resolution mechanisms
transparency. 120
Indeed, most victims of land in land dispute handling and management
rights loss often belong to the most marginalized are listed as guiding values and principles.
and discriminated groups. ADR ensures that the Alternative forms of dispute resolution are also
affected have access to remedies in the context encouraged under the Community Land Act
of land disputes. The Kenyan Constitution 2016, where the land in question forms part of
2010 encourages communities to settle land community land (Section 3).
disputes through recognized local community
initiatives (Article 60.1) and provides for the
use of alternative forms of dispute resolution,
including reconciliation, mediation, arbitration
and traditional dispute-resolution mechanisms
(Article 159.2).
119 Heinrich Böll Stiftung Foundation regarding ADR mechanism called TAC in Brazil, https://br.boell.org/pt-br/2015/01/12/
negociacao-e-acordo-ambiental-o-termo-de-ajustamento-de-conduta-tac-como-forma-de
120 Albert Fiadjoe (2004). Alternative Dispute Resolution: A developing world perspective. Cavendish Publishing Limited.

3.7. IMPLEMENTATION OF CLIMATE ADAPTATION
STRATEGIES THROUGH DEVELOPMENT APPROVAL
Development control is the process through Development control is a valuable tool in this
which authorities manage the nature and context as it ensures that planning and design
extent of land development. It is meant to standards for adaptation to climate risks and
ensure that development occurs in appropriate vulnerabilities are implemented, monitored and
locations; is consistent with the protection of the enforced through the development approval
environment and natural resources; buildings process. It can be used to prevent development
are structurally sound; and structures are in risky areas (by denying permission to
equipped with the basic services and facilities such proposals); force developers to include
necessary to support the purpose for which they adaptation infrastructure; and promote
are erected. Developers are typically required to environmental integrity. This part focuses on
seek authorization prior to undertaking activities four main issues that are deemed to be central to
- including land subdivision, land consolidation, the efficacy of development control for climate
rezoning applications and neighbourhood plans change adaptation.
- by applying for permission from the local
authority.
3.7.1. CRITERIA FOR APPROVAL AND ADAPTATION

For development control to be effective in The Act further obligates the permit authority to
implementing climate adaptation strategies and have regard to the natural environment of the
priorities, it must be linked to legally approved area; the conservation of the built environment
urban plans, zoning regulations and standards in the area; and the suitability of the site for the
that are based on relevant climate information, development when considering applications
including evidence from climate risk and (Section 30). The Samoa Planning and
vulnerability assessments. The criteria may, for Urban Management (Environmental Impact
instance, require that an application for planning Assessment) Regulations 2007 provides for an
permission show that the site is fit for building; EIA where the development application and its
or that the developer provide various facilities to associated activities could give rise to adverse
ensure safety of occupants in case of a climate impacts in conjunction with natural hazard
hazard; or that the development will not lead risks; adverse impacts in the coastal zone; and
to the destruction of natural features essential adverse impacts associated with land instability,
for adaptation (e.g., through mandating an EIA). coastal inundation, or flooding (Section 5).
For instance, the criteria provided under the
Mauritius Planning and Development Act 2004
require applications for a development permit
to be accompanied by an EIA licence or an
approved preliminary environmental report.

Similarly, the criteria for granting building the provision of private and public open space;
permission in Tonga under the National Spatial and proposed safety features of the development,
Planning and Management Act 2012 includes including fire safety features (Section 41). The
the potential environmental effects of the Planning and Facilitation of Development Act
proposal, the sustainability of the proposed 2014 of Trinidad and Tobago follows this route
development; the suitability of the site for the by requiring planning authorities to consider any
proposed development, including consideration disaster mitigation information relevant to the
of natural hazards such as flooding, earthquake, area to which the application relates (Section
cyclone, subsidence, slip, drainage and erosion; 35.1.d).
3.7.2. DEVELOPERS’ CONTRIBUTION FOR ADAPTATION INFRASTRUCTURE

Infrastructure is essential for a country’s Examples of infrastructure costs include
social and economic activities and is a huge construction of green areas, provision of
determinant of the quality of life led by its land for infrastructure, construction of
people. This includes transport, water, waste, stormwater infrastructure, construction of
communication and energy infrastructure. In the sewerage infrastructure, construction of water
context of climate change, such infrastructure infrastructure. Samoa offers an apt example as
must not only be resilient to current and the Planning and Urban Management Act 2004
future risks but must also aid the resilience of provides that where the proposed development
populations, economies, assets and livelihoods. will or is likely to increase the demand for
New developments often lead to a heavier public amenities and public services within
burden on urban authorities with regards to the area, the agency may grant consent to the
infrastructure and service provision. To avoid application, subject to a condition requiring the
overwhelming public authorities, especially in dedication of land free of cost; the payment of a
resource poor contexts, part of this burden may monetary contribution; or both (Section S49.1).
be shifted to the developers at the development The Mauritius Planning and Development Act
approval stage. This shift is necessary to ensure 2004 also allows conditions to be attached to
that private development is not subsidized with the granting of planning permission, including
public funds and that the developers contribute a financial contribution which is to be used to
to the costs that their development produces. provide infrastructure, public utility services,
Legal frameworks may allow authorities to roads, car parking and social and community
charge developers for infrastructure costs facilities in connection with the development;
associated with the development, either in actions to prevent environmental damage from
monetary or in kind, through conditions attached the development; and the preservation of trees
to the planning permission. and other natural resources (Section 32).
3.7.3. COMPLIANCE MONITORING AND ADAPTATION

An effective development control system needs Zambia’s Urban and Regional Planning Act 2015
to include mechanisms to monitor compliance calls for the appointment of planning inspectors
with the approved development and its tasked with monitoring whether developers
conditions. are complying with the conditions upon which
permission was granted (Section 63).

Malta’s Development Planning Act 2016 gives The Malawi Physical Planning Act 2016 also
prescribed public officials the right to enter any gives authorized officers the power to enter
premises at all reasonable times to inspect any land or building to inspect or survey for
or survey land, or verify whether an illegal the purpose of preparing a plan or determining
development or activity is taking or has taken whether any unauthorized development is being
place (Section 94.1). or has been undertaken on the land or in the
building (Section 95.1).
3.7.4. COMPLIANCE ENFORCEMENT AND ADAPTATION

To ensure that development control achieves Enforcement in Malta is also carried through
its climate change adaptation objectives, it is “enforcement notices” which are issued
essential that compliance mechanisms exist. under the Development Planning Act where
These are necessary if developments are not development is being carried out without
compliant with the submitted application and permission or is taking place without adherence
its conditions. The planning inspectors under to accompanying conditions. Authorities also
the Zambian Urban and Regional Planning Act have the right to enter the site and take steps
2015 have the power to issue an “enforcement to enforce the order, including disabling or
notice” to compel developers to abide by certain removing of equipment, machinery, tools,
conditions. Failure to comply with such a belongings, vehicles, or other objects that may
notice is a criminal offence. The Act also allows be on site and to carrying out of any works
revocation of planning permission if the planning necessary to comply with what is requested
permission was obtained through fraud, in the enforcement notice (Section 97-100).
misrepresentation, non-disclosure of a material Similar provisions also exist under the Malawi
fact or submission of incorrect information; or if Physical Planning Act 2016,121 Tonga’s National
the development permit no longer conforms to Spatial Planning and Management Act 2012,122
the development plan (Section 64). Saint Lucia’s Samoa’s Planning and Urban Management Act
Physical Planning Act 2002 also provides for 2004,123 and Tanzania’s Urban Planning Act
service of an “enforcement notice” and a “stop 2007.124
notice” where development is occurring without
the grant of permission, or the developer has not
complied with any condition subject to which
permission was granted (Section 37-39).
121 Section 55-59

122 Sections 66 and 67.
123 Sections 81 and 82.
124 Section 74.

Table 3. Urban Planning and Design for Adaptation
Climate risks and 3.1 Does your country have provisions of law or regulations that require the consideration of
vulnerability for climate risks and vulnerability for planned areas and infrastructure?
planned areas and
infrastructure i. Do these include the requirement to produce climate risk and vulnerability
assessments to assess current and estimated future vulnerabilities and risks Yes/No
as part of the urban planning process?
ii. Do these include legal requirements concerning methods and processes to

conduct risk and vulnerability assessments? Yes/No
iii. Do these include the requirement to conduct inclusive and participatory

vulnerability assessments? Yes/No
iv. Do these include a list of potential climate hazards that need to be identified
in the risk and vulnerability assessments? Yes/No
v. Do these include a legal requirement to identify the places where climate

hazards are most likely to occur through climate hazard maps? Yes/No
vi. Do these include the requirement to identify people, property and economic
sectors exposed to risks arising from climate change? Yes/No
vii. Do these include the requirement for hazard maps to be publicly accessible? Yes/No
viii. Do these include the requirement that hazard maps need to be reviewed at
least every 10 years? Yes/No
ix. Do these include the legal requirement to assess the climate vulnerability of
urban plans and infrastructure through environmental impact assessments Yes/No
or strategic impact assessments?
Identification and 3.2 Does your country have provisions of law or regulations on how to identify and prioritize
prioritization of adaptation options for the risks and vulnerabilities identified?
adaptation options
i. Do these include the requirement to determine available adaptation options
for the identified risks and to describe them in detail? Yes/No
ii. Do these include the requirement to assess the identified adaptation options
based on time, cost, benefits and barriers to implementation? Yes/No
iii. Do these include the requirement to prioritize the adaptation options and
select the preferred ones? Yes/No
iv. Do these include the legal requirement for stakeholders’ engagement in the
process of identification and prioritization of the adaptation options? Yes/No
v. Do these include the legal requirement to identify both infrastructure-based

and ecosystem-based adaptation measures? Yes/No
vi. Do these include the legal requirement to have targets to improve the
adaptation of urban areas with measurable and verifiable benchmarks Yes/No
against which progress can be assessed?
vii. Do these include provisions that require the assessment of the urban plan’s
ability to meet the local, sub-regional and national governments’ climate Yes/No
change strategies, adaptations targets and measures?

Implementation 3.3 Does your country have provisions of law or regulations to facilitate implementation of the
of the identified adaptation options identified for planned areas and infrastructure?
adaptation options
i. Do these provide for total and partial restrictions on land use and
development in hazard prone areas? Yes/No
ii. Do these include the provision for a public land buffer between sea and
rivers, and land? Yes/No
iii. Do these include the requirement to establish riparian setbacks with width
based on scientific assessments and projections? Yes/No
iv. Do these include the requirement to establish coastal setbacks with widths
Yes/No
based on scientific assessments and projections?
v. Do these include the requirement to develop integrated coastal
zone management plans that integrate climate change adaptation Yes/No
considerations?
vi. Do these include the legal requirement to plan the location of essential
infrastructure out of flood prone, high-risk areas? Yes/No
vii. Do these include the legal requirement to plan sewerage systems, storm
drains, and wastewater treatment plants based on predicted rainfall, flooding Yes/No
(sea/river) and densification with a time horizon of at least 20 years?
viii. Do these include the legal requirement to consider nature-based stormwater
management to manage increasing volumes of stormwater in already built- Yes/No
up and expansion areas?
ix. Do these include provisions that allow the land information system to
Yes/No
integrate vulnerabilities and exposure of land parcels to climate hazards?
x. Do these include the legal requirement to plan for evacuation routes and
identify locations for low-risk safety areas in case of extreme weather Yes/No
events?
Adaptation 3.4 Does your country have provisions of law or regulations to support the adaptation of
of slums and slums and other vulnerable settlements to the effects of climate change?
other vulnerable
i. Do these include urban planning and land management tools for urban
settlements
expansion, infill and redevelopment to change the shape and configuration Yes/No
of plots?
ii. Do these include differentiated and flexible planning and infrastructure
Yes/No
standards for slums and other vulnerable settlements?
iii. Do these include mechanisms to ensure the participation of all owners
and residents of slums and other vulnerable settlements in the process of
Yes/No
upgrading with special consideration to women, youth, disabled people, and
elderly people?
iv. Do these include the requirement to conduct community-led surveys, maps
and household enumerations to facilitate the adaptation of slums and other Yes/No
vulnerable settlements?
v. Do these include provisions that ensure the accessibility of water, sanitation
and electricity services based on the provision of customary and non- Yes/No
documentary forms in addition to formal tenure rights documents?
vi. Do these include the legal requirement to maintain the affordability of
the upgraded settlement for the pre-existing community and prevent its Yes/No
economic displacement?

Planned 3.5 Does your country have provisions of law or regulations that support the relocation of
relocations from populations from areas at risk of the effects of climate change to ensure their safety and
areas at risk of health after all reasonable on-site alternatives and solutions have first been explored?
climate change
i. Do these include the legal requirement to identify and, if necessary, set aside
land for relocation in case of extreme weather events? Yes/No
ii. Do these include the requirement that the resettlement land need to be safe
from current and future climate hazards? Yes/No
ii. Do these include a process for planned relocations with inclusive

consultation and engagement with the affected resettled and host Yes/No
communities?
ii. Is there a legal requirement to provide the relocation site before occupation
with livelihood opportunities, water and food security, sanitation, education Yes/No
and health facilities?
Security of tenure 3.6 Does your country have provisions of law or regulations that ensure the security of tenure
of people living in slums and other settlements vulnerable to the effect of climate change or
whose tenure security might be affected by planned relocations?
i. Do these include the legal recognition of a variety of tenure forms including

customary rights, informal tenure rights and occupation? Yes/No
ii. Do these include the process to regularize informal land and property rights? Yes/No
iii. Do these include provisions that allow a variety of tenure forms, including
customary rights, informal tenure rights and occupation, to be recorded in Yes/No
the official land information system?
iv. Do these include provisions of law or regulations on how evictions and

relocations should be conducted? Yes/No
v. Do these include provisions for land acquisition that consider and

compensate loss of formal rights, informal rights and interests and Yes/No
livelihoods for slum dwellers and resettled and host communities?
vi. Do laws or regulations provide access to formal grievance, review, dispute

resolution and redress mechanisms for land and property disputes for
people whose tenure security might be affected by the adaptation of slums, Yes/No
vulnerable settlements and planned relocations?
vii. Do these include alternative dispute-resolution mechanisms for land and

property disputes such as customary institutions, negotiation, mediation and Yes/No
arbitration?
Development 3.7 Does your country have provisions of law or regulations to ensure that planning and design
approval and standards for adaptation to climate risks and vulnerabilities are implemented, monitored and
adaptation enforced through the development approval process?
i. Do these include provisions that link the development approval process to

legally approved urban plans, zoning regulations and evidence from climate Yes/No
risk and vulnerability assessments?
ii. Do these include provisions that allow governments to charge developers,

either in cash or in kind, through conditions to be attached to the approval
Yes/No
of planning applications for infrastructure costs associated with their
developments?
iii. Do these include mechanisms to monitor compliance with the approved
development and its conditions? Yes/No
iv. Do these include mechanisms for enforcement in the event developments

are not compliant with the submitted application and its conditions? Yes/No

Dead tree, Namibia © Klaus Petry, 2017

4. URBAN PLANNING AND DESIGN FOR
MITIGATION
Urban areas account for between 60 and 80 per It includes a commitment to reduce GHG
cent of energy consumption and generate as emissions from all relevant sectors in line with
much as 70 per cent of human-induced GHGs.125 the goal of the Paris Agreement to hold the
As more than half of the world’s population increase in the global average temperature to
is already living in cities and the rate of well below 2°C above pre-industrial levels, and to
urbanization is projected to increase rapidly over pursue efforts to limit the temperature increase
the next 30 years, urban areas are increasingly to 1.5°C above pre-industrial levels (para 79).
at the centre of the fight against climate change.
The NUA also mentions the need for developing
International development agendas and legal
“sustainable, renewable and affordable energy,
instruments have appreciated the role of cities in
energy-efficient buildings and construction
climate change mitigation. The role of cities was
modes; and to promoting energy conservation
recognized by Paris Agreement which identified
and efficiency, which are essential to enable the
them as important stakeholders, capable
reduction of greenhouse gas and black carbon
of mobilizing strong and ambitious climate
emissions” (para 75).
action.126 The SDGs, particularly SDG 11, calls
for inclusive, safe, resilient and sustainable cities Notably, the NUA recognizes the link between
and among its targets, and there are several climate change and urban planning by
that are directly related to mitigation such as expressing the commitment to integrate climate
sustainable transport systems, green buildings change mitigation into urban and territorial
and the reduction of the environmental impact development and planning processes, including
of cities. SDG 13 on climate action also includes greenhouse gas emissions, climate-effective
a target on the integration of “climate change design of spaces, buildings and constructions,
measures into national policies, strategies and services and infrastructure, and nature-based
planning”, the latter of which arguably includes solutions (para 101). Accordingly, this chapter
urban planning.127 The SDGs commitments on is focused on the urban planning and land-
climate change mitigation are complemented by use aspects of climate change mitigation. In
the NUA, which aims to promote international, particular, it addresses the need for urban plans
national, subnational and local climate action, to consider GHG emissions; the role of climate-
and to support the efforts of the inhabitants friendly urban forms; the importance of green
of cities and human settlements and all local spaces for environmental and climate services;
stakeholders as important implementers of and energy saving in buildings. These elements
such action. are backed by a sub-section on monitoring and
enforcement.
125 See https://www.un.org/sustainabledevelopment/cities/#:~:text=Goal%2011%3A%20Make%20cities%20inclusive%2C%20

safe%2C%20resilient%20and%20sustainable&text=The%20world%20is%20becoming%20increasingly,60%20per%20cent%20
by%202030.
126 Preamble to decision 1/CP.21.
127 Target 13.2.

4.1. URBAN PLANS AND GREENHOUSE GAS EMISSIONS
The main objective of urban planning is to Urban law has an important role to play in helping
balance demands for development with the need cities to reduce such emissions: it defines urban
to protect the natural and cultural environment, forms, where land, infrastructure and basic
whilst simultaneously seeking to achieve certain services can be built; lays out rules for planning
social and economic objectives. These factors and decision making; and sets the context within
make urban planning a useful tool in reducing which urban authorities, local governments and
GHGs emissions since urban plans have the communities are expected to fulfil their mandate
potential to steer urban development towards and react to emerging challenges. This part
low carbon urban development. The way cities seeks to encourage relevant stakeholders to
and human settlements are planned, designed, integrate mitigation considerations into their
governed and managed has an impact on their urban planning processes by ensuring that
GHG emissions. urban plans have mitigation in mind as well as
putting emphasis on assessing GHG emissions
associated with implementation of approved/
final plans.
4.1.1. EMISSIONS FROM EXISTING URBAN FORM

To ensure that deliberate effort is made to These include emissions from both public
promote climate friendly urban development, it and private transport, heating and cooling of
is important to first appreciate the baseline. That buildings, and construction and operation of
is, before a city embarks on developing new infrastructure. The Norway Regulations on
urban plans, it is crucial that they are adequately Impact Assessments 2017 offer a clearer a
apprised of the current state of affairs. Such mechanism through which emissions from
an understanding would then enable a more the existing urban form can be determined by
informed and strategic decision-making process requiring an impact assessment to be done
that is intended to reduce rather than increase on urban plans, including a description of the
GHGs concentrations in the atmosphere. As such, current environmental status and an overview
the emphasis here is assessing emissions from of how the environment is assumed to evolve if
the existing urban form, i.e., the “patterns and the plan or initiative is not implemented (Section
spatial arrangements of land use, transportation 20). The Vietnam Urban Planning Law 2009
systems and urban design elements, including contains a requirement for forecasts about
the physical urban extent, layout of streets and potential environmental impacts of urban plans
buildings, as well as the internal configuration which provide a mechanism through which a
of settlements” 128
to identify the starting point of baseline can be determined. Such a baseline
the planning process. may contain information on emissions from the
existing urban form (Article 39).
128 IPCC Human Settlements (2014). Infrastructure and Spatial Planning. In: Climate Change 2014: Mitigation of Climate
Change. Contribution of Working Group III to the IPCC Fifth Assessment Report.

4.1.2. EXISTING CARBON SINKS
In addition to assessing existing urban form, it implemented under the Norway Regulations
is also useful to appreciate the extent of existing on Impact Assessments 2017, also covers
carbon sinks, such as forests and water bodies. carbon sinks. Similarly, the Iceland Planning and
The mechanisms provided by legal frameworks Building Act 1997 provides that development
for the assessment of emissions from existing plans should contain descriptions of the natural
urban forms can also be used to assess existing environment and all local conditions in the
carbon sinks. The requirement for an impact planning area at the beginning of the planning
assessment to be done on plans, including a period (Article 9). The “natural environment” in
description of the current environmental status the Act includes important carbon sinks, such
and an overview of how the environment is as water bodies, forests and other forms of
assumed to evolve if the plan or initiative is not vegetation.
4.1.3. PLANNING SCENARIOS AND EMISSION LEVELS

With the objective of reducing rather than and describe the factors that may be affected by
increasing GHG emissions, the focus should the plan and assess significant impact on the
ideally be on going for the most climate-friendly environment and society, including greenhouse
planning scenario. Such a selection can only gas emissions (Section 19). Furthermore, it
be possible if different planning scenarios ought to specify the initiative’s operational
have been considered and their associated phase, the initiative’s energy requirements,
GHGs emission levels assessed. In Norway, energy consumption, energy solutions, transport
the planning process is preceded by preparing requirements and an estimation of the type and
a description of the proposal. The Regulations volume of emissions that will be produced in the
on Impact Assessments 2017 stipulate that the construction and operation phase (Section 21).
description of the plan or initiative should identify
4.1.4. PLANNING SCENARIOS AND CARBON SINKS

In line with the previous point, planning scenarios stipulate that the plans or initiative description
need to be accompanied by associated impacts should include the nature and number of natural
on carbon sinks – so that the least destructive resources that will be used. It states that the
option or the one that enhances the quality impact assessment needs to explain the options
and quantity of sinks is selected. The Iceland for design, technology, location, scope and scale
Planning and Building Act 1997 requires the plan proposer has considered, and a study
development plans to account for the impacts of of the relevant and realistic alternatives. The
the plan on the environment, natural resources regulations then provide that the choice must be
and the community, including, among others, based on the different options and comparisons
a comparison of the possible alternatives of the impact these have on the environment
(Article 9). The Norway Regulations on Impact and society (Section 19).
Assessments 2017, highlighted above, also

4.1.5. URBAN PLAN AND CLIMATE CHANGE STRATEGIES AND TARGETS
In addition to reflecting to the most climate For countries to achieve these objectives and
friendly scenarios, it is advisable that urban plans meet their mitigation commitments under
result in “win-win” outcomes, i.e., they should the Paris Agreement, they need to anchor
not only steer urban development towards less them in supportive urban plans. In this sense,
GHGs and energy use but also have a significant the urban plans will be promoting both local
contribution to local, sub-regional and national climate action as well as compliance with
governments’ climate change strategies, targets international obligations. Norway’s Regulations
and measures. A study undertaken by UN- on Impact Assessments 2017 provides that
Habitat in 2017 showed that the majority of impact assessments of plans must identify and
NDCs, 113 out of 164, show strong or moderate describe the factors that may be affected and
urban content. While many of these are assess significant impact of the plan on the
adaptation related, there are also commitments environment and society, including nationally
to reduce emissions from buildings, electricity and internationally agreed environmental targets
generation, transport and waste.129 (Section 21).
4.1.6. URBAN PLAN EMISSION REDUCTION TARGETS

This part is concerned with finding out whether The Canada (British Columbia) Local
urban plans have targets to reduce GHGs Government (Green Communities) Statutes
emissions. It also requires plans to have Amendment Act 2008 added the requirement
measurable and verifiable benchmarks against for an official community plan to include targets
which progress can be assessed. Such an for the reduction of greenhouse gas emissions
exercise would reveal the efficacy of agreed in the area covered by the plan coupled with the
actions and provide the basis for additions, policies and actions that the local government
adjustments or cessation of certain actions proposes to achieve those targets.
based on their effects.
4.1.7. URBAN PLAN GREENHOUSE GAS EMISSIONS IMPACT ASSESSMENT

This part concerns assessing the plan, zoning plan, detailed plan and specialized
implementation of the urban plan itself – as technical infrastructure plan. It is noteworthy
opposed to the different planning scenarios – to that among the matters that should be covered
determine its impact on GHGs emissions and in the assessment are quality of water, air
carbon sinks. This information may be obtained and ecosystem: exploitation and utilization of
through environmental impact assessments natural resources; and climate change as well as
or strategic impact assessments. In Vietnam, forecasts about environmental development and
the Urban Planning Law 2009 provides for comprehensive solutions aimed at preventing,
strategic impact assessments of several types reducing and remedying environmental impacts
of urban-related plans including a general (Article 39).
129 UN-Habitat (2020). Enhancing Nationally Determined Contributions Through Urban Climate Action.

4.2. URBAN FORM AND REDUCTION OF GREENHOUSE GAS
EMISSIONS
Urban form is not only crucial in influencing Density can be measured in different ways; it
transport activity and mobility choices but could be the number of people in a given area
should also be a priority area for enhancing (population density);132 the total floor area of
climate change mitigation. Transport accounts buildings divided by the land area of the plot on
for one of the main sources of GHGs in urban which the buildings are built (floor area ratio.) or
areas. The sector is estimated to produce the number of dwelling units in any given area
around 23 per cent of global energy-related CO2 (residential density). Land-use mix refers to
emissions, a figure which is projected to grow the diversity and integration of land uses (e.g.,
to 33 per cent by 2050 under a business-as- residential, park, commercial) at a given scale.
usual scenario. 130
Approximately 75 per cent Land-use mix can be measured by considering
stems from private vehicle and truck usage. the ratio of jobs to residents; the variety and
Although transport emissions per capita in mixture of amenities and activities; and the
developing countries are relatively low on an relative proportion of retail and housing.
absolute basis compared to OECD countries,
Connectivity refers to street density and design,
around 90 per cent of the increase in global
and common measures include intersection
transport-related CO2 emissions is expected
density or proportion, block size, intersections
to occur in developing countries, mostly from
per road kilometre, minimum percentage of land
private vehicles and freight.131 Climate change
for streets, street density, etc. Accessibility can
mitigation in the urban context needs to involve
be viewed as a combination of proximity and
the promotion of urban forms that support a
travel time and is closely related to land-use
reduction in GHGs. In particular, such forms
mix. Common measures of accessibility include
should be geared towards reducing vehicular
population centrality, job accessibility by auto
trips and instead encouraging the use of public
or transit, distance to the city centre or central
transport and non-motorized means, such as
business district (CBD) and retail accessibility.133
walking and cycling.
In turn, this strategy would require consideration

for issues such as density, land-use mix,
connectivity and accessibility.
130 IPCC (2014b). Climate Change 2014: Mitigation of Climate Change - Transport. Working Group III: Mitigation of Climate
Change. Potsdam, Intergovernmental Panel on Climate Change.
131 UNCSD (2012). “Sustainable, low carbon transport in emerging and developing economies: Rio 2012 Issues Briefs, Rio+20
United Nations Conference on Sustainable Development 13.
132 UN-Habitat recommends a density of at least 15,000 people per km², that is 150 people/ha or 61 people/acre. However,
this has to be accompanied by adequate space for streets and an efficient street network, mixed land use and a social mix
in terms of housing options. This recognizes that population density without accessibility can lead to traffic congestion,
lower economic productivity, higher crime rates and other social problems. See UN-Habitat’s Five Principles of Sustainable
Neighbourhood Planning. Available at: https://unhabitat.org/sites/default/files/download-manager-files/A%20New%20
Strategy%20of%20Sustainable%20Neighbourhood%20Planning%20Five%20principles.pdf
133 IPCC (2014). “Human Settlements, Infrastructure and Spatial Planning”. In: Climate Change 2014: Mitigation of Climate

It is noteworthy that climate-friendly urban Urban areas in Europe also tend to have relatively
forms not only reduce GHGs but they have also higher levels of densification and lower levels of
been linked to benefits such as improved public sprawl in comparison to North American cities.135
health, enhanced employment opportunities, For instance, Stockholm and Pittsburgh have
greater economic productivity and reduced roughly the same population, but Pittsburgh
local pollution. 134
The role of urban form in occupies five times as much land area. This
climate change mitigation is often underscored means that people need to travel farther, at
by comparing emissions from European cities greater personal and environmental expense,
with those from North America. European urban excluding many of them from economic and
areas tend to be more compact, with lower car social opportunities. Meanwhile, Stockholm is
ownership and car usage rates and generally widely recognized as having a very high quality
smaller, more fuel-efficient cars, reducing of life and a thriving, inclusive economy thanks
emissions from private transport. They tend to in part to its compact, connected form.136
have more effective public transport networks,
which are deemed socially acceptable to a
broader range of individuals.
Figure 1. Urban extent of Pittsburgh and Stockholm, shown at the same scale
(Source: Coalition for Urban Transitions)137
134 Andy Gouldson, Andrew Sudmant, Haneen Khreis and Effie Papargyropoulou (2018). The Economic and Social Benefits of
Low-Carbon Cities: A Systematic Review of the Evidence. Coalition for Urban Transitions.
135 UN-Habitat, Cities and Climate Change (2011).
136 Coalition for Urban Transitions, Climate Emergency-Urban Opportunity (2019).
137 Ibid.

4.2.1. CONNECTIVITY AND MINIMUM STANDARDS FOR STREETS
An integral strategy for reducing GHGs in Example of cities which have met this threshold
urban areas is replacing vehicular use with in their core areas are Manhattan (New York) with
more climate- friendly mobility options such 36 per cent, Barcelona with 33 per cent, Hong
as walking and cycling. For such a strategy to Kong also with 33 per cent and Paris with 30 per
work, streets must be conducive to these modes cent.141 One of the main objectives of the Urban
of transport as they play a significant role in Design Guidelines for the Australian State of
determining urban form. Indeed, the street is not Victoria is to provide a permeable and functional
only a channel of movement but also a public urban structure of blocks and streets. It provides
space where individuals and communities for an interconnected street layout with regular
meet for social and commercial encounters block sizes, ranging from 120 m to 240 m long,
and exchange, and political space expressions and 60 m to 120 m wide, while noting that such
as well as acting as a symbolic and ceremonial dimensions provide for good pedestrian access.
space in the city. 138
The NUA captures the value It also calls for a legible urban structure of
of public spaces such as streets by defining them blocks and streets, with a preference for straight
as “multifunctional areas for social interaction streets. This requirement is meant to encourage
and inclusion, human health and well-being, walkability as the guidelines note that “areas
economic exchange, and cultural expression with straight streets and clear sightlines are
and dialogue among a wide diversity of people easier to navigate and safer for pedestrians”. The
and cultures” (Para 37). Streets need to promote guidelines also require the layout of streets and
connectivity and be adequate. Where street blocks to provide reasonable walking distances
connectivity is high - characterized by finer grain from dwellings to an activity centre and public
systems with smaller blocks that allow frequent transport services. It is recommended that the
changes in direction - there is typically a positive activity centre be located where the main streets
correlation with walking and thereby lower GHG and public transport routes converge, and states
emissions. Two main reasons for this are that that such centres should be within 400 m (or five
distances tend to be shorter and the system minute) walking distance of residential areas.
of small blocks promotes convenience and
Furthermore, blocks on the perimeter of the
walking.139 In terms of adequacy, an indicative
activity centre should be shaped and oriented to
standard is 30 per cent of total land area.140
support direct access to the activity centre core
from the surrounding neighbourhood.
138 UN-Habitat (2013). Streets as Public Spaces and Drivers of Urban Prosperity.
139 IPCC, Human Settlements (2014). Infrastructure and Spatial Planning. In: Climate Change 2014: Mitigation of Climate
140 UN-Habitat’s Five Principles of Sustainable Neighbourhood Planning. Available at https://unhabitat.org/sites/default/files/
download-manager-files/A%20New%20Strategy%20of%20Sustainable%20Neighbourhood%20Planning%20Five%20principles.
pdf
141 UN-Habitat (2013). Streets as Public Spaces and Drivers of Urban Prosperity.

4.2.2. CONNECTIVITY AND STREET DESIGN STANDARDS
Streets need to be “walkable”, i.e., traversable, all crossings should be provided with tactile
compact, physically enticing and safe. Walkability paving; surfaces used by pedestrians need to be
connotes “environments that support walking, smooth and free from trip hazards; and seating
jogging, running, biking, in-line skating and other on key pedestrian routes should be considered
non-motorized forms of travel”. 142
The quality of every 100 m to provide rest points and to
“walkability” factors in distance (a radius that encourage street activity. To encourage cycling,
can be comfortably accessed by walking or the manual also states that: cycle access should
cycling), design (attractiveness, convenience, always be considered on links between street
safety and security of the place, including roads networks which are not available to motor traffic,
and sidewalks), and land-use mix (wide range in that if an existing street is closed off, it should
of land uses within the radius, including retail, generally remain open to pedestrians and
recreational, educational and residential, so that cyclists; routes should avoid the need for cyclists
residents are provided with many destinations to dismount; junctions should be designed to
and gathering spaces). Walkable cities have promote slow motor-vehicle speeds, which
several benefits, such as lower emissions, may include short corner radii as well as vertical
through sustainable transport options, better deflections; and that if cycle lanes are installed,
health outcomes by inducing physical activities measures should be taken to prevent them from
and a more vibrant/liveable environment. being blocked by parked vehicles.143
Planning frameworks should thus require
In Colombia, the Decree for the Housing, City
street design standards that include accessible
and Territory Sector (Decree 1077 of 2015)
pavements, crosswalks, street lighting, on-
recognizes bike paths as an integral part of the
street parking, bicycle lanes, accessibility ramps,
urban fabric. This law has been supplemented
landscaping, etc.
by Law 1811 of 2016 (Law of Bicycle Usage),
Switzerland’s Spatial Planning Act 1979 requires which contains extensive provisions aimed
settlements to contain numerous open spaces at promoting cycling and walkability. Article 4
and trees in addition to calling for the creation calls for the establishment of adequate parking
and maintenance of cycle paths and foot formations for bicycles in order to allow cyclists
paths (Article 3.3). The UK Manual for Streets to seamlessly park and connect with different
(2007) offers a more detailed example, as it forms of transit, and they will also prioritize
contains various provisions on street standards pedestrian use within the systems and the use
to facilitate walkability. Examples include: of bicycles, ensuring the safety and comfort
pedestrian routes need to be direct and match of users. The law also stipulates that if there
desire lines as closely as possible; pedestrian are less than 120 parking spots for cars, there
networks need to connect with one another and needs to be at last 12 spaces for bicycles within
where these networks are separated by heavily- the same parking lot. These spots need to be
trafficked roads, appropriate surface-level created and available within two years of the
crossings should be provided where practicable; creation of the facility (Article 6).
142 Greenberg M.R. and Renne J. (2005). “Where does walkability matter the most? An environmental justice interpretation of
New Jersey data”. Journal of Urban Health: Bulletin of the New York Academy of Medicine 82 (1): pp. 90-100.
143 Department for Transport (2007). Manual for Streets. Thomas Telford Publishing. Available at: https://assets.publishing.
service.gov.uk/government/uploads/system/uploads/attachment_data/file/341513/pdfmanforstreets.pdf

Regarding pavements, the Housing, City and such as tunnels, stepped baths and bridges
Territory Sector Decree specifies that, in order to (Article 1, 1.2). If pavements are included in a
promote pedestrian-friendliness and walkability, motorized vehicle lane, then it is required that
pavements should be levelled, continuous and different textures are to be used to protect
free of obstacles. Hard, non-slip surfaces are pedestrians and delineate the pavement from
to be used as paving (Article 1, 1.1). The decree traffic (Article 1, 1.6). The decree goes into
also stipulates the requirements needed to great detail on pavement standards as well as
ensure a continuous pavement surface in the engineering standards (Section 1, 1.1-18; Article
event of a change in level roadway crossing, 2.2.3.5.2.2.2).
4.2.3. CONNECTIVITY AND PLOT DESIGN RULES FOR A WALKABLE

STREETSCAPE
Related to street design standards are plot The City of Somerville (Massachusetts)
design rules. Walkable neighbourhoods need to also reformed its zoning plan through the
cater to the needs of pedestrians and cyclists Sommerville by Design Code, which eliminates
and respond to the scale of people rather mandatory parking requirements for much
than vehicles. Examples of plot design rules of the city and sets an upper limit on how
to promote walkability are: reduced building much parking can be built in the most transit-
setbacks towards the streets, standards for accessible neighbourhoods.145 The UK Manual
private fencing, plot coverage rules that favour for Streets (2007) also offers a good example. It
buildings’ interaction with streets, restrictions provides that “the space between the front of the
of parking towards the streets, etc. Some cities building and the carriageway, footway or other
have established supportive rules such as the public space needs to be carefully managed as it
Houston Walkable Places Ordinance, which marks the transition from the public to the private
shifts parking to the back of buildings and realm. Continuous building lines are preferred as
brings buildings closer to the street instead of they provide definition to, and enclosure of, the
having parking in front, like a suburban-style public realm”.146
development. This measure is expected to
promote walkability as it enables pedestrians to
enter buildings directly from the pavement.144
4.2.4. ACCESSIBILITY AND MIXED LAND USE
Lower GHGs in urban areas may be achieved by the use of alternative (and climate-friendly)
enhancing accessibility and promoting mixed modes such as walking and cycling. Related
land uses. High accessibility of jobs, housing to accessibility is land-use mix, which refers to
and recreation minimizes the need for vehicular the diversity and integration of land uses (e.g.
transport, reduces travel times and encourages residential, park, commercial) at a given scale.
144 See https://www.houstonpublicmedia.org/articles/news/transportation/2020/08/05/379241/city-council-sets-new-rules-

aimed-at-creating-walkable-transit-friendly-streets/
145 See https://www.somervillebydesign.com/
146 Department for Transport (2007). Manual for Streets. Available at https://assets.publishing.service.gov.uk/government/
uploads/system/uploads/attachment_data/file/341513/pdfmanforstreets.pdf

In general, when there is land-use specialization require convenient access in the neighbourhood
and separation of uses, the distance between to essential goods and services (such as
origin and destination will be longer, e.g., as groceries, healthcare and pharmacies),
people have to move from residential areas to together with amenities (such as parks or
commercial areas for work or shopping. At the community gathering space), within a short
city scale, a high degree of land-use mix can walking distance. For instance, the Mayor of
thus result in significant reductions in emissions Paris made the 15-minute city the centrepiece
by increasing the proximity of housing to of her re-election campaign in 2020 as defined
offices, business districts and shopping centres. by the four inter-related principles of proximity,
These qualities are embodied in concept of diversity, density and ubiquity. Other cities,
the “20-minute neighbourhood” popularized in including Madrid, Milan, Ottawa and Seattle,
Portland, Oregon, and now adopted by many have declared plans to emulate this approach.
cities and reformulated into the “15-minute Melbourne has adopted a long-term strategic
city/neighbourhood”. The concept represents plan for 20-minute neighbourhoods and
a vision for city life in which residents live in a C40 Cities has gone as far as promoting the
sustainable and liveable neighbourhood with 15-minute city idea as a blueprint for post-
the ability to find or access most of their needs Covid-19 recovery.148 An example of a city that
by walking or cycling a short distance - within has emphasized accessibility and land use in its
15 minutes of where they live. As key services planning legislation is New York, where the State
are in close proximity and readily accessible, Smart Growth Public Infrastructure Policy
urban residents live locally and can reduce their Act 2010 makes it clear that approval of plans
dependency on private vehicles, which reduces must be done in accordance with the “state
traffic congestion and carbon emissions in smart growth public infrastructure criteria”.
addition to promoting local interaction and These include fostering mixed land uses and
vibrancy, thus improving residents’ quality of compact development, downtown revitalization
life.
147
With the advent of the Covid-19 pandemic and the diversity and affordability of housing in
and its associated movement restrictions, this proximity to places of employment, recreation
concept has received renewed focus as people and commercial development (Section 6-0107).
4.2.5. URBAN DENSITY

Urban density has an effect on GHG emissions Second, low densities make it difficult to switch
as a result of two factors. First, separated over to less energy intensive and alternative
and low densities increase the average travel modes of transport such as public transport,
distances for both work and shopping trips, walking and cycling because the transit demand
which translates into higher emissions. is both too dispersed and too low.149
147 Iris Tam, Osler (2021). “Why 15-minute neighbourhoods may be more popular now than ever”. (12 January 2021). Available
at https://www.osler.com/en/resources/regulations/2021/why-15-minute-neighbourhoods-may-be-more-popular-now-than-
ever
148 Peter Yeung (2021). “How ‘15-minute cities’ will change the way we socialize”. BBC Worklife. 4 January, 2021. Available at
https://www.bbc.com/worklife/article/20201214-how-15-minute-cities-will-change-the-way-we-socialise

As such, climate-friendly legal frameworks Tanzania’s Urban Planning Act 2007 requires
should promote optimal density that considers planning authorities to ensure that the schemes
land availability, level of existing and planned are geared towards vertical growth rather than
infrastructure, income levels, land values, horizontal growth (Section 7.5.c). It adds that
availability of building materials, cultural and the objective of every detailed planning scheme
climatic factors, for lower GHGs. Measures should be to coordinate all development
to promote density include allowing higher activities, to control the use and development
densities in land-use plans, coordinated of land, including intensive use of urban land
infrastructure and land-use planning, allowing and, in particular, vertical and compact urban
small plots, density bonus, etc. development (Section 16).
4.2.6. OPTIMAL DENSITIES

Transport infrastructure is a powerful instrument Residents of high-density neighbourhoods are
in shaping where urban development occurs not only more likely to use transit, but also higher
and in what forms. The lack of integration densities bring more origins and destinations
between density, land use and transport has within easy access of transit, especially by
contributed to urban sprawl, increased vehicular walking.152 An example of a supportive law is
use and, consequently, more congestion, greater Switzerland’s Spatial Planning Act 1979, which
air pollution and higher emissions.150 This part provides that residential and working areas
thus seeks to assess the extent to which urban should be suitably located adjacent to each
areas leverage the link between densities and other and mainly planned in locations that are
infrastructure planning to promote “transit- adequately served by public transport (Article
oriented development” (TOD). TOD holds several 3.3). The city of Curitiba in Brazil has also used
advantages including improved mobility and legislative means to link urban development to
efficiency of the transport system, equitable infrastructure. These include Law No. 4199 of
development, more conservation of land 1972 which designated high density residential
resources and open spaces and a significant and commercial zones along the north-south
reduction in vehicle trips, vehicle miles travelled and northeast-west axes; Law No. 5,234 of
and travel times, as well as greater pedestrian 1975 which limited density in the peripheral
mobility and better air quality. 151
Indeed, research residential zone and aided the city to promote
shows a clear linkage between density and residency along structural corridors;
transit use.
150 See https://www.c40.org/networks/transit-oriented-development#:~:text=Transit%20oriented%20development%20

represents%20a,congestion%20and%20air%20pollution%20while
151 Daniel Baldwin Hess and Peter A. Lombardi (2004). “Policy Support for and Barriers to Transit-Oriented Development in the
Inner City: Literature Review.” Transportation Research Record: Journal of the Transportation Research Board. Vol 1887, Issue
1.
152 Centre for Transit Oriented Development (2013). Implementing Equitable Transit Oriented Communities; Appendix A:
Literature Review of Review into Transit Supportive Densities. For Puget Sound Regional Council. Available at: http://www.psrc.
org/assets/9179/GTC_Implementation_Report_SE011116withblankpage.pdf.

and Decree 380 of 1993 which incentivized It recommends the creation of a street and block
TOD through density bonuses and transfer layout where 95 per cent of dwellings are located
development rights by enabling building no more than: 400 m street walking distance
owners in areas with lower densities to sell or (five-minute walk) from the nearest existing
transfer development rights to those in high- or proposed bus stop, or 600 m street walking
density zones. 153
The Urban Design Guidelines distance (seven-minute walk), from the nearest
for the Australian State of Victoria encourage existing or proposed tram stop or 800 m street
development that combines walkability with walking distance (ten-minute walk) from the
access to public transport. nearest existing or proposed railway station.
Figure 2. A Mapping Analysis of Portland’s 20-minute Neighbourhood

(Source: City of Portland)154
153 ICLEI (March, 2016). “Curitiba, Brazil: A model for Transit Oriented Development” ICLEI Case Studies.
154 Find out more at https://www.portlandonline.com/portlandplan/index.cfm?a=288098&c=52256

4.3. GREEN SPACES FOR ENVIRONMENTAL AND CLIMATE
SERVICES
Green urban areas include parks, public Moreover, green spaces also offer other benefits,
greenspaces, green corridors, street trees, such as increased property values, reduced air
urban forests, green roofs and private domestic pollution, increased recreational space, provision
gardens. Green spaces are important for of shade and cooling, rainwater interception and
mitigation of the urban heat island effect as infiltration, increased biodiversity support and
well decreasing the net amount of CO2 in the enhancement of well-being.157
atmosphere by acting as carbon sinks. 155
For this part, the main elements to be highlighted

These areas can play a major role in promoting
are how much space is dedicated to green
soil carbon sequestration, organic waste
areas; how are the green spaces distributed; and
recycling through composting and encouraging
how green and blue (water bodies) resources are
wastewater reuse. Green spaces dedicated
integrated.
for urban and peri-urban agriculture could
also contribute to energy savings as locally
grown food reduces the need for transport and
refrigeration requirements.156
4.3.1. STANDARDS FOR GREEN PUBLIC SPACES

Planning and land-use legal frameworks may One of the recommended ways of ensuring
promote the creation of green spaces in urban this is by establishing minimum quantitative
areas by creating a long-term vision of a green standards, such as prescribed level of provision
city within the local authority; integrating urban of open space related to the level of population
green space infrastructure needs in urban plans; – typically per 1,000 population; specified
considering green spaces within infrastructural percentage of land to be allocated for open
projects (housing, transport, business parks, green space (e.g., 15 per cent from the total
community and health facilities) and urban development area); or distances which residents
rehabilitation approaches; and considering should have to travel to gain access (e.g.
regional planning frameworks such as green quarter of a mile walking distance from users’
corridors and networks. 158
neighbourhood; which may also be expressed in
time travelled e.g., within five minutes of
walking).159
155 IPCC, Human Settlements, Infrastructure and Spatial Planning (2014).. In: Climate Change 2014: Mitigation of Climate
156 Federico M. Butera (2018). Energy and Resource Efficient Urban Neighbourhood Design Principles for Tropical Countries: A
Practitioner’s Guidebook. UN-Habitat.
158 WHO (2017). Urban green spaces: a brief for action (2017).
159 M.R. Maryanti, H. Khadijah, A. Muhammad Uzair and M.A.R. Megat Mohd Ghazali (2016). Sustainable Development and
Planning “The urban green space provision using the standards approach: issues and challenges of its implementation in
Malaysia” (WIT Press 2016).

For instance, the WHO recommends a parks, urban forests and green belts,
minimum of 9 m2 of urban green space for environmental areas, social and physical
each person160 and at least 0.5–1 hectare infrastructure, and other public facilities (Section
within 300 metres’ linear distance (around five 32.e). The St Lucia Physical Planning Act 2001
minutes’ walk) of their homes.161 The Indonesia provides that matters to be dealt with in physical
Spatial Management Law 2007 offers a good plans should include allocation of lands as
example, requiring the proportion of open green open spaces; allocation of lands for communal
space in an urban region to be at least 30 per parks; for game and bird sanctuaries; for the
cent of the urban area (Article 29). Singapore’s protection of marine life; for national parks and
Landscaping for Urban Spaces and High-Rises environmental protected areas; and preservation
(Lush) Policy requires new buildings to include or protection of forests, woods, trees, shrubs,
areas of greenery equivalent to the size of the plants and flowers (Schedule 2). Colombia’s
development site. These can be at ground level National Sustainable Building Policy (CONPES
or at height, and often include luxuriantly planted 3919 of 2018) specifies Colombia’s goal of
balconies or shaded sky gardens.162 The Uganda having 10 m2 of green space per inhabitant with
Physical Planning Act 2010 gives local physical a broader goal of increasing it to 15 m2. Currently,
planning committees the power to ensure the Colombia has an average of 2.6 m2 green space
preservation of all land planned for open spaces, per resident.
4.3.2. DISTRIBUTION OF GREEN SPACES

In addition to green spaces being an essential Often green spaces are not equitably distributed
component of climate change mitigation, and low-income neighbourhoods tend to have
their distribution across the city holds added fewer trees, leading to more vulnerability to
advantages. These are highlighted by NUA, heat waves and landslides. Indonesia’s Spatial
which notes that well-connected and well- Management Law 2007 described above also
distributed networks of green spaces improve provides that the open green space must be
physical and mental health, urban liveability and distributed according to population spread and
enhance resilience to environmental risks. the service hierarchy with respect to structure
plan and space pattern (Article 30).
4.3.3. GREEN AND BLUE INFRASTRUCTURE

Numerous ecological and social benefits Such infrastructure is essential for climate
are realized when green spaces and blue change mitigation as they act as carbon sinks,
infrastructure (lakes, rivers, canals, ponds, in addition to providing valuable ecosystem
wetlands, floodplains, water treatment facilities services such as improving air and water quality,
etc.) are integrated. enhancing flood and temperature regulation and
reducing noise.
160 WHO (2010). Environment and Health: From Evidence to Policy Action.
161 WHO (2017). Urban green spaces: a brief for action.
162 See https://www.ura.gov.sg/Corporate/Guidelines/Circulars/dc14-12-original#:~:text=for%20Strategic%20Areas-
,Landscaping%20for%20Urban%20Spaces%20and%20High%2DRises%20(LUSH)%202.0,Replacement%20Policy%20for%20
Strategic%20Areas&text=Under%20the%20landscape%20replacement%20policy,other%20areas%20within%20the%20
development.

Networks of green and blue infrastructure also Copenhagen exhibits a good case of integrating
allow the complete water cycle to occur within blue and green infrastructure through the
the city; for example green, sustainable, urban Cloudburst Management Plan 2012 designed to
drainage solutions such as swales, water increase the city’s blue and green infrastructure
gardens and green roofs increase the infiltration and prevent flooding. The green infrastructure, in
and slow the removal of rainfall into the drainage the form of parks and natural areas, will absorb
system, reducing the risk of surface water rainwater for storage and managed seepage,
flooding. 163
while water-transporting boulevards will funnel
excess water away from inundated areas. These
actions address not only cloudburst events but
also urban heat island issues.164
163 Kathryn Brown and Ana Mijic (July 2019). “Integrating green and blue spaces into our cities: Making it happen”, Grantham
Institute Briefing Paper No 30.
164 See https://www.c40.org/case_studies/cities100-copenhagen-green-infrastructure-prevents-flooding

4.4. NEIGHBOURHOOD DESIGN AND ENERGY SAVING IN
BUILDINGS
Buildings account for a significant share of It observes that while “current trends indicate
urban energy use and GHG emissions: 32 per the potential for massive increases in energy
cent of total global final energy use, 19 per cent demand and associated emissions”, buildings
of energy-related GHG emissions (including also “offer immediately available, highly cost-
electricity-related), approximately one-third of effective opportunities to reduce (growth in)
black carbon emissions and an eighth to a third energy demand, while contributing to meeting
of F-gases.165 The IPCC has underscored the other key sustainable development goals,
importance of considering buildings in climate including poverty alleviation, energy security and
change mitigation discourse by noting that improved employment”.166 Accordingly, this part
“existing and future buildings will determine a is concerned with how neighbourhood design
large proportion of global energy demand”. can be leveraged for buildings with limited
emissions and energy use.
4.4.1. URBAN FORM AND ENERGY SAVING IN BUILDINGS

Neighbourhood plans can promote less energy- According to the Planning and Building
intensive buildings by taking advantage of natural Act 2011, an undeveloped lot which is to be
conditions. Adequate orientation and layout of developed must be arranged in a way that is
streets in each local climate and geographical suitable regarding the townscape or landscape
location can minimize trapping of solar radiation and to the natural and cultural assets there (Cap
and favour wind access (ventilation). 167
One 8 Section 9.1).
example of a country which has reflected this
quality in its legislative framework is Sweden.
4.4.2. THERMAL PROPERTIES OF URBAN SURFACES

Thermal properties of urban surfaces can By reducing the amount of paved surface areas
influence the energy use and comfort of or by choosing adequate colours and permeable
buildings. For instance, an increase in albedo and porous paving materials it is possible to
(the ability of a surface to reflect solar radiation) influence both the thermal comfort at pedestrian
can significantly reduce the daytime high surface level and the energy consumption of buildings.
temperature in summer. 168
165 IPCC (2014). Buildings. In: Climate Change 2014: Mitigation of Climate Change. Contribution of Working Group III to the
Fifth Assessment Report of the Intergovernmental Panel on Climate Change.
166 Ibid.
167 UN-Habitat (2018). Energy and Resource Efficient Urban Neighbourhood Design Principles for Tropical Countries: A
Practitioner’s Guidebook. UN-Habitat.
168 H. Li1, J.T. Harvey, T.J. Holland and M. Kayhanian (2013). “The use of reflective and permeable pavements as a potential
practice for heat island mitigation and stormwater management.” Environmental Research Letters, Volume 8, Number 1.

Some legal frameworks have already recognized other mitigation-supportive measures such
the utility of regulating the thermal properties of as vegetated roofs and solar panels. California
urban surfaces. Houston’s Commercial Energy also passed the Cool Pavements Research and
Conservation Code of 2008 requires that air- Implementation Act 2012, which calls on the
conditioned government, commercial and California Environmental Protection Agency and
multifamily residential buildings that install or the California Department of Transportation to
replace low-slope roofs have a minimum initial develop a standard specification for sustainable
solar reflectance of 0.70 and a minimum thermal or cool pavements that can be used to mitigate
emittance of 0.75, but includes exemptions urban heat islands.
for buildings that have already implemented
4.4.3. PLOT DESIGN AND ENERGY SAVING IN BUILDINGS

Building orientation is a crucial aspect of Canada (British Columbia) Local Government
reducing the energy consumption of buildings. (Green Communities) Statutes Amendment Act
It refers to the practice of placing a building to 2008 provides that when granting a development
take advantage of natural conditions to regulate permit, the local authority may include
its indoor temperature and light.169 The optimal requirements with respect to landscaping, siting
orientation of the buildings depends on the local of buildings and other structures and form, and
climate and geographical location, and can be exterior design of buildings and other structures’
achieved when the building has good ventilation specific features in the development. It also
and exposure to sunlight. A plot design that allows restrictions to be placed on the type
supports optimal building orientation for climate and placement of trees and other vegetation in
change mitigation would, for instance, position proximity to the buildings and other structures in
windows by considering the direction of the order to provide for energy, water conservation
movement of the sun to ensure entry of light but and reduce greenhouse gas emissions (Section
not intense heat, and would consider prevailing 24). The Uganda National Physical Planning
winds to promote cross ventilation. Sweden’s Standards and Guidelines 2011 under part 2.6
Planning and Building Act 2010 also provides (a) also provides that orientation of residential
that buildings must be arranged such that the buildings should be carefully considered in
natural conditions are taken advantage of to the relation to the sun and prevailing winds.
greatest possible extent (Cap 8 Section 9.1).
169 UN-Habitat (2020). Promoting Energy Efficiency in Buildings in East Africa: Technical Note 7- Energy and Resource
Efficiency Checklist.

4.5. IMPLEMENTATION OF CLIMATE MITIGATION
STRATEGIES THROUGH DEVELOPMENT APPROVAL/
CONTROL
Development control is the process through Development control is a valuable tool in this
which authorities manage the nature and extent context as it ensures that planning and design
of land development. It is meant to ensure that standards for climate change mitigation are
development occurs in appropriate locations; is implemented, monitored and enforced through
consistent with the protection of the environment the development approval process. Climate
and natural resources; that buildings are change mitigation in urban development
structurally sound; and that structures are processes It can be used to prevent carbon-
equipped with the basic services and facilities intensive developments (by denying permission
necessary to support the purpose for which they to such proposals); force developers to include
are erected. Developers are typically required to mitigation infrastructure (such as systems to
seek authorization prior to undertaking activities monitor GHGs emissions); and promote the
- including land subdivision, land consolidation, conservation/preservation of carbon sinks such
rezoning applications and neighbourhood plans as forests and other forms of vegetation.
- by applying for permission from the local
authority.
4.5.1. DEVELOPMENT APPROVAL AND MITIGATION

The mitigation strategies and priorities Through this mechanism, the approving
discussed above require a mechanism to ensure authority can ascertain that laid out mitigation
implementation, monitoring and enforcement. standards are upheld. Similarly, Switzerland’s
Legal frameworks that establish standards but Spatial Planning Act 1979 contains several
do not accompany them with a development measures aimed at promoting climate change
control process risk being ineffective due to mitigation. These include the requirement that
the absence of a compliance mechanism. residential and working areas should be suitably
Sweden’s Planning and Building Act 2010, located adjacent to each other and mainly
which establishes specific requirements related planned in locations that are adequately served
to climate change mitigation - such as providing by public transport. This standard is enforced
that buildings must be arranged such that the through a development control mechanism
natural conditions are taken advantage of to the under which developers must acquire a permit
greatest possible extent - ensures this is done by prior to development. Under Article 22 of the
establishing a development approval process. Act, the basic requirement for a permit is that
Chapter 9 of the Act mandates developers to the buildings and installations conform to the
acquire a building permit from the local authority purpose of the land use zone, and that the land
before undertaking construction. is connected to infrastructure and utilities.

4.5.2. DEVELOPERS’ CONTRIBUTION FOR MITIGATION INFRASTRUCTURE
New development often leads to a heavier in the case of land for residential uses, the
burden on urban authorities with regards to approving authority should require not less
infrastructure and service provision. To avoid than five per cent of the total land area to be
overwhelming public authorities, especially developed for parkland, including a public park,
in contexts of limited resources, part of this open space and other recreational purposes.
burden may be shifted to the developers at the Dominica’s Physical Planning Act 2002 allows
development approval stage. Legal frameworks the imposition of conditions on a grant of
may allow authorities to charge developers development permission for the preservation
for infrastructure costs associated with the of trees, vegetation or other natural features
development, either in monetary or in kind, of the land where the development is to take
through conditions attached to the planning place (Section 28.1.a). Mauritius’ Planning
permission. Examples of infrastructure costs and Development Act 2004 allows conditions
related to mitigation include construction or to be attached to the granting of planning
maintenance of green areas and installation permission, including actions to prevent
of energy-saving facilities. The Bahamas’ environmental damage from the development
Planning and Subdivision Act 2010 provides and the preservation of trees and other natural
that as a condition of approval of an application resources (Section 32).
for subdivision approval or site plan approval
4.5.3. COMPLIANCE MONITORING AND MITIGATION
An effective development control system needs the right of entry to authorized personnel to
to include mechanisms to monitor compliance inspect whether developments are adhering to
with the approved development and its the conditions on which they were approved
conditions. The Malawi Physical Planning Act (Section 71). The Colombian National Climate
2016 gives authorized officers the power to Change Policy’s section 9 provides a framework
enter any land or building to inspect or survey for for measuring and evaluating the success of the
the purpose of preparing a plan or determining goals outlined in the National Climate Change
whether any unauthorized development is Policy. Information gathered during this process
being or has been undertaken on the land or is to be used to influence Colombia’s Nationally
in the building (Section 95.1). The Bahamas’ Determined Contribution report, which must be
Planning and Subdivision Act 2010 also gives updated every five years.
4.5.4. COMPLIANCE ENFORCEMENT AND MITIGATION
To ensure that development control achieves Saint Lucia’s Physical Planning Act 2002
its climate change mitigation objectives, it provides for service of an “enforcement notice”
is essential that compliance mechanisms and a “stop notice” where development is
exist. These are necessary in the event that occurring without permission or the developer
developments are not compliant with the has not complied with any condition subject to
submitted application and its conditions. which permission was granted (Section 37-39).

Similarly in Malta, “enforcement notices” may and take steps to enforce the order, including
be issued under the Development Planning Act disabling or removing equipment, machinery,
2016, where development is being carried out tools, belongings, vehicles or other objects
without permission or is taking place without that may be on site, and to carry out any works
adherence to accompanying conditions. necessary to comply with what is requested in
Authorities also have the right to enter the site the enforcement notice (Section 97-100).

Table 4. Urban Planning and Design for Mitigation
Urban plans and 4.1 Does your country have provisions of law or regulations that require assessment of the
greenhouse gas greenhouse gas emissions of different urban planning options?
emissions
i. Do these include provisions that require the assessment of the greenhouse gas
emissions associated with the existing urban form? Yes/No
ii. Do these include provisions that require the estimation of existing carbon
Yes/No
sinks?
iii. Do these include provisions that require the production of different planning
scenarios and the estimations of the greenhouse gas emissions associated Yes/No
with each scenario?
iv. Do these include provisions that require the production of different planning
scenarios and the estimation of the carbon sink potential associated with each Yes/No
scenario?
v. Do these include provisions that require the assessment of the plan’s ability
to meet the local, sub-regional and national governments’ climate change Yes/No
strategies and plans, greenhouse gas reduction targets and measures?
vi. Do these include the legal requirement for urban plans to have targets to reduce
greenhouse gases with measurable and verifiable benchmarks against which Yes/No
progress can be assessed?
vii. Do these include the legal requirement to assess the greenhouse gas emissions
associated with the urban plans? Yes/No
Urban form and 4.2 Does your country have provisions of law or regulations that promote a connected,
reduction of accessible, and dense urban form that reduces car trips, and promotes walkability and the
greenhouse gas efficient use of public infrastructure?
emissions from
transportations i. Do these include provisions of law or regulations that promote connectivity,
and establishing minimum standards for streets? Yes/No
infrastructure
ii. Do these include provisions that promote connectivity through street design
standards for walkability and cycling? Yes/No
iii. Do these include provisions that promote connectivity through plot design rules
for a walkable streetscape? Yes/No
iv. Do these include provisions to promote accessibility to jobs, housing, services

and shopping by promoting mixed land use? Yes/No
v. Do these include provisions that promote optimal urban density? Yes/No
vi. Do these include provisions that require the consideration of existing and
planned transport infrastructure in the determining allowed population densities Yes/No
near the infrastructure?
Green spaces for 4.3 Does your country have provisions of law or regulations that promote a network of green
environmental spaces for environmental and climate services?
and climate
services i. Do these include provisions of law or regulations that establish minimum
quantitative standards for green spaces? Yes/No
ii. Do these include provisions of law or regulations that require the adequate
distribution of green spaces across the city? Yes/No
iii. Do these include provisions of law or regulations that require connecting and
planning together networks of green areas and water bodies? Yes/No

Neighbourhood 4.4 Does your country have provisions of law or regulations that require neighbourhood design
design and principles to achieve energy savings in buildings?
energy saving in
buildings i. Do these include provisions of law or regulations that require neighbourhood
plans to consider wind and sun direction when deciding the orientation and the Yes/No
layout of streets?
ii. Do these include provisions of law or regulations that require the consideration
of the thermal properties of urban surfaces? Yes/No
iii. Do these include provisions of law or regulations that require plot design to
achieve optimal orientation of the buildings for the purpose of energy saving in Yes/No
buildings?
Development 4.5 Does your country have provisions of law or regulations to ensure that planning and
approval and design standards that mitigate the emissions of greenhouse gases are enforced through the
mitigation development approval process?
i. Do these include provisions that link the development approval process to
legally approved urban plans and zoning regulations? Yes/No
ii. Do these include provisions that allow local governments to charge developers,
either in cash or in kind, through conditions to be attached to the approval
Yes/No
of planning applications, for infrastructure costs associated with their
developments?
iii. Do these include mechanisms to monitor the compliance with the approved
development and its conditions? Yes/No
iv. Do these include mechanisms for enforcement in the event developments are
not compliant with the submitted application and its conditions? Yes/No

URBAN PLANNING LAW FOR CLIMATE SMART CITIES
103
Cầu Long Biên, Bo De, Hoàn Kiếm, Hanoi, Vietnam 2021 © Unsplash
5. ECONOMIC AND NON-ECONOMIC
INSTRUMENTS FOR CLIMATE FRIENDLY
URBAN PLANNING
The measures described in the previous chapters resilient development”.173 The NUA also calls
that cities need to undertake to implement for development and expansion of financial
their urban plans, reduce their GHG emissions instruments related to climate change action.
and better protect their residents from climate It specifically acknowledges that resources will
change impacts require financial resources. be needed to improve transport and mobility
These range from reconfiguring urban planning infrastructure and systems (para 118) and
systems to make them less reliant on vehicle calls for adequate investments in protective,
transport to climate proofing new and existing accessible and sustainable infrastructure (para
infrastructure to enhance resilience. Globally, 119). Similarly, finance appears prominently in
it has been estimated that USD16.8 trillion in the Paris Agreement, whereby one of the key
investments will be required by 2030 in mitigation objectives is “making finance flows consistent
and adaptation to meet the current NDC with a pathway towards low GHGs and climate-
commitments.170 Significant additional financing resilient development”.174
is required to make urban infrastructure more
Effective climate change action in urban areas
resilient, especially in the developing world. The
requires local governments to be adequately
global need for urban infrastructure investment
financed to undertake their functions. In
amounts to USD 4.5 - 5.4 trillion per year, of which
particular, the elements that have been discussed
an estimated premium of between 9 and 27 per
in the previous chapters – such as developing
cent is required to make this infrastructure low-
and implementing urban and regional plans,
emissions and climate resilient.171 A significant
including risk assessments, slum upgrading,
proportion of this demand is from cities in the
planned relocations, adapting infrastructure,
developing world.172
increase green spaces, streets and public spaces,
The role of finance in climate change action is providing water and sanitation infrastructure,
widely acknowledged in global agendas. The among others - will need resources to be
Addis Ababa Action Agenda recognizes that actualized. Municipal finance can be divided
“funding from all sources, including public into two categories: internal revenue which is
and private, bilateral and multilateral, as well collected by local governments according to their
as alternative sources of finance, will need rules and mandates, and which mostly constitute
to be stepped up for investments in many property taxes and user fees; and external
areas, including for low-carbon and climate revenue from outside sources, which includes
170 OECD and CPI (2016). Quoted in GGGI Mind the Gap: Bridging the Climate Financing Gap with Innovative Financial
Mechanisms, p.2. Current in this case means NDC commitments as of 2020, before any updates are made ahead of CoP26.
171 Cities Climate Finance Leadership Alliance (2015). State of City Climate Finance.
172 Ibid.
173 Addis Ababa Action Agenda of the third International Conference on Financing for Development, para 60.
174 Article 2.1.c

inter-governmental transfers, borrowing and As such, this chapter focuses on both public
development assistance. 175
These sources are finance and private investments. Public finance
the ones most used by local governments to has traditionally formed the bulk of climate
implement urban plans and build infrastructure. finance and requires sufficient consideration,
However, there has been concern that municipal which is addressed by an encouragement of
finance in many parts of the world is heavily inter-governmental transfers and vesting local
reliant on inter-governmental transfers, property governments with a revenue collection mandate.
taxes and user fees. 176
This situation not only Nonetheless, the chapter is cognisant that most
leaves local governments without adequate countries lack sufficient public funds to cover
resources needed to fulfil their infrastructure the mitigation and adaptation costs associated
and service delivery mandates, but it inhibits with climate change, a situation that more
their ability to undertake comprehensive local acutely affects local governments – especially
climate action. Constructive effort has thus in developing countries. Accordingly, private
been made, including by UN-Habitat, to enhance finance for climate change action in urban
municipal finance by generating a diverse areas is also highlighted through a focus on
portfolio of income streams. These include mobilization of investment capital and public-
municipal bonds, public-private partnerships, private partnerships. Moreover, behavioural
tax increment financing, betterment levies, change through incentives and disincentives
special assessments, development charges and is appreciated as they play a relevant role in
other land value capture taxes etc. 177
promoting or discouraging specific adaptation
and mitigation activities.
175 UN-Habitat (2016). Finance for City Leaders: Handbook.

176 Ibid.
177 Ibid.

5.1. RESOURCES FOR URBAN PLANNING AND CLIMATE
CHANGE
5.1.1. INTER-GOVERNMENTAL TRANSFERS

Inter-governmental fiscal transfers are transfers These criteria include the size of protected
of funds from one level of government to another. areas, the area of the municipality and the
They can consist, for example, of conditional or protected area’s management category. Some
unconditional grants, or shared taxes. As local states also impose additional environmental
governments’ mandates already cover critical criteria, such as protection of water reserves,
areas related to climate change, including quality of water, sanitation and treatment
transport, waste management, building and of solid waste and sewage.179 In India, inter-
construction and provision of basic services governmental transfers have also been used for
such as water and energy, it is important that climate change mitigation. In 2015, the Finance
functional decentralization is accompanied Commission added forest cover to the formula
by fiscal decentralization. Facilitating such that determines the amount of tax revenue the
transfers is one of the main ways of increasing government distributes annually to each of
local climate action, especially if they are linked India’s states, alongside historical population,
to climate change-related factors. Portugal, recent population, poverty and area. From fiscal
Brazil and India offer examples of countries years 2015–16 to 2019–2020, the government
where ecological considerations play a relevant distributed 7.5 per cent of inter-governmental
role in inter-governmental transfers. In Portugal, transfers taking into consideration states’ forest
the Local Finances Law of 2007 incorporates coverage as a proportion of total land area.180
an explicitly ecological dimension into the
In Colombia, Law 141 of 1994 creates the
distribution of fiscal transfers from national to
National Royalties Fund (NRF) to collect
local governments based on the amount and
royalties from non-renewable natural resource
quality of areas designated for conservation.
extraction (oil, coal, nickel, iron, copper, gold,
In Brazil, climate change action at state level is
silver, platinum, salt, limestones) as part of
funded through ecological fiscal transfers under
Colombia’s strategy for managing natural
the Imposto Sobre Circulação de Mercadorias
resources. Financial resources from the NRF
e Serviços Ecológico (ICMSE). ICMS Ecológico
are delivered to territorial entities through
began in Paraná State and became a reality in
local investment projects, and are allocated in
17 states in all regions of the country.178 Twenty-
accordance with the relative environmental,
five per cent of municipal share is distributed
social and economic impacts of the projects.
according to ecological considerations (half
to conservation units and half to watershed
protection).
178 Study of SOS Mata Atlântica Foundation. https://www.sosma.org.br/noticias/portal-proteja-divulga-legislacoes-

estaduais-sobre-icms-ecologico/
179 See http://www.undp.org/content/dam/sdfinance/doc/ecological-fiscal-transfer
180 See https://www.cgdev.org/sites/default/files/ecological-fiscal-transfers-and-sub-national-budgets-did-forest-based-
fiscal-devolution.pdf

Specific environmental designations for the Andres Providencia and Santa Catalina; the
distribution of royalty funds are given to certain recovery and conservation of watersheds;
geographic or ecological areas, such as the decontamination of the Bogota River; and the
Amazon, Choco and the archipelago of San preservation of other natural resources.
5.1.2. MANDATE FOR LOCAL REVENUE COLLECTION

Local governments often have limited revenue Iceland’s Planning and Building Act 1997
bases and are often dependent on fiscal transfers provides for several development-linked sources
from the central government. They may not of revenue, including building permit fees, road-
have the power to levy taxes, as the law gives building levy, parking space levy and connection
this mandate to national, provincial or regional fees, which must be paid at the building permit
governments. Legal frameworks, particularly application stage (Article 44). The Act also
in developing countries, also limit municipal authorizes local authorities to collect permit fees
borrowing, restrict the ability of municipalities for development projects which influence the
to reallocate funds among budget categories, environment and change its appearance, and
and place caps on certain types of expenditures. for permits to build, enlarge or alter buildings as
This is also the case in the implementation of well as fees for site measurements, monitoring,
alternative financial mechanisms, like municipal inspection and certification provided by building
bonds and green bonds, where rules and officers (Article 53). Similarly, the Bahamas’
regulations may limit the effectiveness of these Planning and Subdivision Act 2010 provides
instruments and the capacity of municipalities to that development charges may be levied to
access private capital to finance climate change cover the increased capital costs required for
mitigation and adaptation. To promote climate development-related capital growth studies;
finance at the local level, legal frameworks fire stations, including vehicles and equipment;
should enable local authorities to raise revenue transport needs, including roads, structures,
to fulfil their functions, for example by authorizing pavements, street lights, traffic signals and
municipalities to levy taxes such as land-based trails; public works operations, including works
taxes (property tax, infrastructure charges, yards, vehicles, equipment and services related
land value capture, sale of serviced land, sale thereto; parks, including parkland and trail
of development rights), non-land taxes (licence development and equipment and services
fees for businesses, taxes on households, taxes related thereto; recreation, including major
on vehicles, etc.) and user charges (services, indoor recreational facilities, furnishings and
planning applications and building permits, equipment and services related thereto; libraries,
business registration, market fees) etc. including equipment and services related thereto
and including materials acquired for circulation,
reference or information purposes (Section
32). Development charges are also required
under Tanzania’s Urban Planning Act 2007 for
every application, including amendment to the
planning consent and approval to subdivide land
or to change the use of land (Section 46).

5.1.3. AUTHORITY OVER SPENDING DECISIONS
Even with additional funds from inter- This principle is reiterated by Article 2 of the
governmental transfers and locally generated Local Authorities Act 2011, which provides
revenue, local governments may not have the basis for autonomy over expenditure by
sufficient discretion over their use to reduce local governments by explicitly stating that
emissions and energy use or undertake specific local authorities have decision-making powers
adaptation activities. These restrictions may regarding the use of income bases, borrowings
curtail effective climate change mitigation and and the allocation of assets (Chapter 2, Article 8).
adaptation in urban areas and, as such, this Consequently, local expenditure is characterized
part is concerned with the extent to which local by significant spending on areas relevant to
governments have the authority to decide how climate change action, including environmental
to spend revenues within their control. In Iceland, protection, provision of housing and community
the Constitution (Article 78) grants the legal amenities as well as social protection and
authority of self-government to local authorities. education.
5.1.4. EARMARKED RESOURCES

The rationale for having earmarked resources Earmarking of resources is also done in Canada
is to prevent climate change activities from and the United States through slightly different
being side-lined in the budgetary execution means. In Canada, it is by linking funds received
process. It is meant to ensure that particular from parking space requirements to climate
attention is paid to funding climate change change-related activities, while in the United
action and that identified resources are indeed States, it is through direct provision of state funds
spent on climate change-related activities. to municipalities engaged in adaptation actions.
Resources may be earmarked by specifying a Among the issues addressed by Canada’s
percentage in municipal budgets, introducing (British Columbia) Local Government (Green
dedicated budget lines in municipal budgets and Communities) Statutes Amendment Act 2008
establishing specific funds for climate change is a provision that money received under parking
adaptation and mitigation. Kenya and Philippines space requirements of the Local Government Act
offer examples of specially dedicated funds. The needs to be used for the purpose of providing off-
Kenya Public Financial Management (Makueni street parking spaces, or transport infrastructure
County Climate Change Fund) Regulations that supports walking, bicycling, public transit or
2015 creates the Makueni County Climate other alternative forms of transport. In the US,
Change Fund, whose specific objective is to the (New York) Community Risk and Resiliency
provide funding for climate change activities Act 2014 authorizes the provision of assistance
identified in the Makueni County Integrated payments to municipalities toward the cost
Development Plan (Section 4). In Philippines, of climate change-related projects. These
the People’s Survival Fund (PSF) was created include local waterfront revitalization and coast
by the People’s Survival Fund Law 2011 and rehabilitation programmes.
is designed to integrate adaptation activities of
resilience building, disaster risk reduction and
poverty alleviation in poor and vulnerable local
communities.

Notably, among the conditions that must be available data predicting the likelihood of future
fulfilled by municipalities when these funds extreme weather events, including hazard risk
are disbursed, is the demonstration that future analysis data if applicable, has been considered
physical climate risk due to sea level rise, and/ (Section 10 and 11).
or storm surges and/or flooding, based on
5.1.5. MOBILIZATION OF INVESTMENT CAPITAL

The number of resources required for effective Examples include municipal bonds, green bonds,
climate change mitigation and adaptation tax increment financing, project bonds and
cannot be adequately covered by public finance; concessional loans, etc. For instance, in Serbia,
many countries’ efforts are characterized amendments to the Law on Public Debt in 2011
by budget deficits, austerity measures and introduced a municipal bond market and the city
competing socio-economic priorities. Climate of Novi Sad became the first to issue municipal
change-related activities may also require high bonds to finance capital expenditures, issuing
upfront capital costs and feature long-term a EUR 35 million bond with a maturity of 12
income streams, which most governments, years.181 Municipalities and city level agencies
especially in developing countries, may not be such as utility and transport companies are also
able to commit to. Accordingly, it is essential that increasingly using green bonds to finance both
regulatory frameworks facilitate the creation of adaptation and mitigation efforts as seen in
a supportive environment for the mobilization of Gothenburg and Johannesburg.182
investment capital to boost climate finance.
5.1.6. PUBLIC CREDIT GUARANTEE

One of the main concerns for financial Finland also has a unique guarantee model for
institutions, development banks and other local government loans. The Limited Liability
private sector investors is the ability of local Companies Act 2006 provided the legal
governments to pay back loans advanced basis for setting up the Municipality Finance
to them. Such concerns can be remedied Corporation (MFC) - a credit institution owned
through a public credit guarantee, whereby the by the state and by municipalities. MFC provides
national government guarantees (by promising loans at market conditions to municipalities
to take up the payment responsibility) if the and municipally controlled organizations, and
lending local government fails to repay the loans are guaranteed by the Municipal Board
loan. The Constitution of Kenya allows county Guarantee (MBG), of which almost all Finnish
governments to acquire loans if guaranteed by municipalities are members.
the national government and approved by the
county government’s assembly (Article 212).
181 See https://portal.cor.europa.eu/divisionpowers/Pages/Serbia-Fiscal-Powers.aspx

182 WWF (2018). “Financial instruments used by governments for climate change mitigation”. Policy Brief.

5.1.7. PUBLIC-PRIVATE PARTNERSHIPS
Public-private partnerships (PPPs) involve a Second, the Act establishes a Project Facilitation
collaboration between a government agency Fund, which is intended to support contracting
and a private-sector entity that can be used to authorities in the preparation phase of a project,
finance, build and operate infrastructure. For the tendering process and project appraisal as
example, a city government with inadequate well as extending viability gap finance to projects
resources to undertake a capital-intensive that are desirable but cannot be implemented
building project may enter into a contract with in the absence of financial support from the
a private enterprise to fund the construction in government. In Zambia, the Public Private
exchange for part of operating profits once the Partnerships Act 2009 has been used to mitigate
project is complete. PPPs are typically found in the potential effects of reduced precipitation
transport, housing, water, waste management on the country’s hydropower generation
and energy infrastructure. The utility of PPPs is by enhancing solar power. The Zambian
based on economy efficiency gains and reducing Government partnered with the International
government overload. Their major advantage is Finance Corporation (IFC), the World Bank and
their ability to offer an off-budget mechanism the Multilateral Investment Guarantee Agency
for mobilizing funds that are not available in (MIGA) through the Scaling Solar project to tender
the public budgets and acting as additional two utility-scale development projects where the
income sources for local budgets.183 The Kenyan IFC supported site selection, due diligence and
Public Private Partnerships Act 2013 provides adaptation assessment, the World Bank offered
that contracting authorities (public bodies) that guarantees, and MIGA offered insurance to the
intend to finance, operate, equip or maintain an project. Accordingly, the winning bids from two
infrastructure facility or provide a service may renewable energy developers were the lowest
enter into a project agreement with any qualified priced by cents/kWh of any solar power that had
private party (Section 18). PPPs are supported been seen in Zambia prior to the project.184
in two main ways. First, under Section 27, the
government may issue a guarantee, undertaking
or binding letter where it considers it necessary
to support a project in order to reduce premiums
factored for political risks issue in relation to a
project.
183 Niña Boschmann (2009). “Fiscal Decentralization and Options for Donor Harmonization” Development Partners Working
Group on Local Governance and Decentralization. December.
184 World Bank Group (2016). “Investing in Urban Resilience: Protecting and Promoting Development in a Changing World”
Available at: https://openknowledge.worldbank.org/handle/10986/25219

5.2. INCENTIVES FOR MITIGATION AND ADAPTION IN
URBAN PLANNING
5.2.1. ECONOMIC INCENTIVES FOR MITIGATION IN URBAN PLANNING

Incentives offer an important mechanism to The Carbon Tax Law of Colombia (Law 1819
encourage behaviour and investments towards of 2016) is another example; it exempts
climate-friendly urbanization. They can be corporations that are certified as carbon
used to make urban planning more resilient neutral, in accordance with the regulations
and contribute to less GHG concentrations. issued by the Ministry of the Environment and
Examples of economic incentives are: fee or tax Sustainable Development from the National
waivers, direct grants, municipal property tax rate Carbon Tax. It also contains tax incentives for
reduction, tax abatements for infill development, companies that sell electrical energy generated
etc. In Canada, the (British Columbia) Local based on wind energy, biomass or agricultural,
Government (Green Communities) Statutes solar, geothermal or marine waste. Moreover,
Amendment Act 2008 amended Section 933 of Law 1715 of 2014 introduces incentives for
the Local Government Act to allow development investment projects in non-conventional energy
charges to be waived subject to certain eligibility sources. Article 11 provides incentives in net
requirements. These include development that income for taxpayers involved in research,
is: (a) not-for-profit rental housing, including development and investment in the field of
supportive living housing; (b) for-profit affordable electric energy production with FNCE (non-
rental housing; (c) a subdivision of small lots conventional sources of energy) and efficient
that is designed to result in low greenhouse energy management. Those who directly invest
gas emissions; and (d) a development that is are entitled to deduct up to 50 per cent of the total
designed to result in a low environmental impact investment made for a period not exceeding 15
(Section 27). Another example is the California years. Articles 12 to 14 describe other incentives
Sustainable Communities Act, which gives the for developing or maintaining non-conventional
metropolitan planning organization or county energy sources, such as VAT tax incentives,
transport agency the power to consider financial exemption from import duties and accelerated
incentives for counties that contribute towards depreciation applicable to equipment, elements,
the greenhouse gas emission reduction targets machinery and other domestic or imported
by implementing policies for growth to occur inputs.
within their cities (Section 4).
5.2.2. NON-FINANCIAL INCENTIVES FOR MITIGATION IN URBAN PLANNING

Non-economic incentives are provided by planning applications, and public investment
planning authorities to developers and private in infrastructure required by the developer, etc.
parties to compensate them for their losses or Under the Bahamas’ Planning and Subdivision
their endeavours to realize certain planning goals. Act 2010, for instance, the planning committee
These can consist of additional development may authorize increases in the height and
rights, reduced planning requirements, reduced density of development otherwise permitted
bureaucratic requirements, fast-tracking of the in a zoning bylaw in return for the provision of

facilities, services or other matters, such as the preservation of natural features, or any other
additional open space, community facilities, public benefit (Section 29.1).
preservation of heritage buildings or structures,
5.2.3. ECONOMIC INCENTIVES FOR ADAPTATION IN URBAN PLANNING

Similar to mitigation, examples of economic The US State of New Jersey passed the
incentives that can facilitate uptake of Brownfields Redevelopment Incentive
adaptation activities include tax waivers, direct Programme Act (the Brownfields Act) as part
grants, municipal property tax rate reduction, of the broader New Jersey Economic Recovery
tax abatements for infill development, etc. Act of 2020 (the Recovery Act) (A4/S3925).
Indonesia’s Spatial Planning Law 2007 defines The Brownfields Act authorizes USD 50 million
an incentive as a means or effort to reward an in annual tax credits over six years to eligible
act performed accordingly and includes tax developers of under-used, contaminated
deduction, compensation, cross subsiding, commercial properties, known as “brownfields”.
reward, spatial rent and collected stock. It then The tax credits are meant to compensate
allows both the national and local governments developers for the costs of cleaning up
to give incentives or disincentive to promote brownfields before development, thus are meant
adherence with the spatial plans (Article 38). to not only limit greenfield development but also
enhance the liveability and adaptive capacity of
urban areas.
5.2.4. NON-FINANCIAL INCENTIVES FOR ADAPTATION IN URBAN PLANNING

Incentives of a non-financial nature may also be planning committee to provide non-financial
provided for climate-change adaptation. Under incentives such as increased height and density
Papua New Guinea’s Manam Resettlement of development in return for the provision of
Authority Act 2016, non-financial incentives facilities, services or other matters such as
take the form of provision of services and additional open space, community facilities,
infrastructure for the resettlement area, preservation of heritage buildings or structures,
including building access roads, an airstrip, the preservation of natural features or any other
schools, aid posts and ensuring a safe water public benefit - also apply to adaptation (Section
supply. The provisions of the Bahamas’ Planning 29.1).
and Subdivision Act 2010 - which authorize the

5.3. INCENTIVES THAT UNDERMINE SUSTAINABLE URBAN
LAND USES
5.3.1. ECONOMIC INCENTIVES FOR UNSUSTAINABLE URBAN LAND USES

Unlike the previous sub-section where the These subsidies not only promote vehicular use
focus is on incentives that promote climate and excessive energy consumption, but also
friendly urban planning and land use, this result in loss of revenue.185 The Canadian Income
section is on incentives that undermine these Tax Act also contains provisions that incentivize
objectives. The intention of this part is to the fossil fuel industry to extract oil, gas and
highlight how governments and policymakers coal by allowing fossil fuel companies to deduct
may be deliberately or inadvertently hindering certain expenses from their income.186 Such
progress towards reduced GHG concentrations subsidies are credited with contributing to higher
and better resilience to climate change effects GHGs, more local air pollution and congestion,
through certain instruments. These include as well as crowding out investment in clean
land and property tax exemptions that favour energy.187 Another example of an incentive which
greenfield development, fossil fuel subsidies encourages unsustainable urban land uses is
that incentivize urban sprawl and private car use, provision of mortgage finance for development in
new development in thinly populated and newly geographic areas that are prone to acute climate
developing areas, mortgage finance regulation shocks. In the United States for instance, it has
and subsidies that direct jobs and industry away been shown that two of the largest purchasers of
from cities’ core areas, among others. In the securitized mortgages - Fannie Mae and Freddie
United States, there are 12 provisions in the Tax Mac - do not adequately factor in climate risks
Code that subsidize activities associated with and continue to offer finance for developments
the production of fossil fuels. in risky areas.188
5.3.2. NON-ECONOMIC INCENTIVES FOR UNSUSTAINABLE URBAN LAND

USES
Certain non-financial incentives are just as energy, sanitation, private transport, parking,
influential in encouraging unsustainable urban road pricing, etc. A prominent example of an
land uses as economic ones. Examples include unsustainable incentive is provision of free, off-
subsidized infrastructure to sprawling and low- street parking space through minimum parking
density developments, subsidies to particular requirements. Zoning Rules in Minnesota require
types of transport infrastructures, subsidized the provision of off-street parking.
costs of providing public services such as water,
185 Joseph E Aldy. Proposal 5: Eliminating Fossil Fuel Subsidies, The Hamilton Project.
186 Yanick Touchette and Philip Gas (2018). Public Cash for Oil and Gas: Mapping federal fiscal support for fossil fuels.
International Institute for Sustainable Development.
187 See https://www.unenvironment.org/explore-topics/green-economy/what-we-do/economic-and-fiscal-policy/fiscal-
policy/policy-analysis-3
188 Amine Ouazad and Matthew E. Kahn (2020). “Mortgage Finance in the Face of Rising Climate Risks.” Working Paper,
National Bureau of Economic Research.

For instance, theatres should provide one Another non-economic incentive that has been
parking space per four seats; one space per credited with encouraging unsustainable land
occupancy unit for hotels; and eight spaces per uses are zoning regulations that favour single-
1,000 square feet Gross Floor Area (GFA) for family residential homes. Such regulations
bars.189 The Land Use and Development Code prohibit higher-density housing. For instance,
of the City of Durango in Colorado also requires in the United States, up to 75 per cent of
two spaces per one bedroom unit; 1.1 spaces residential land in many cities is reserved for
per guest room for hotels; and one space per 50 detached single-family homes. This housing
square feet of Customer Access Area for bars.190 type is characterized by sprawling development
These requirements often lead to the creation that engenders car dependency and incentives
of excess, poorly distributed and under-used less energy-efficient building designs. Between
parking facilities, which is counter-productive 1960 and 2010, US urban land area grew at a
to strategies aimed at promoting walking, rate 1.7 times faster than population growth.
cycling and mass public transit. Free parking To connect all the housing and activities spread
encourages planners to allocate valuable urban across so many more square miles, the average
space to an activity that creates few marginal American’s daily travel mileage increased by 85
benefits and makes users more likely to use per cent between 1969 and 2017.192 The high
private cars than resort to other sustainable GHG emissions by the United States has been
means such as public transport.191 attributed to its reliance on car usage as the
prevalent mode of transport.
189 See https://mn.gov/caapb/assets/09-parking-loading_tcm1087-298333.pdf

190 See http://online.encodeplus.com/regs/durango-co/doc-viewer.aspx?tocid=004.005.002#secid-263
191 OECD (2017). The Governance of Land Use in OECD Countries: Policy Analysis and Recommendations.
192 Aldie Tomer, Joseph Kane, Jenny Schuetz and Caroline George (2021). “We can’t beat the climate crisis without rethinking
land use.” Brookings. 12 May, 2021. Available at https://www-brookings-edu.cdn.ampproject.org/c/s/www.brookings.edu/
research/we-cant-beat-the-climate-crisis-without-rethinking-land-use/?amp

Table 5. Economic and Non-Economic Instruments for Climate Friendly Urban Planning
Resources for 5.1 Does your country have provisions of law or regulations that create a flow of resources to
urban planning finance climate change mitigation and adaption in urban planning?
and climate
i. Do these include provisions that establish earmarked inter-governmental fiscal Yes/No
change
transfers to local governments for climate change mitigation and adaption in
urban planning?
ii. Do these include provisions that give local governments the responsibility to Yes/No
collect locally generated revenues?
iii. Do these include provisions that give local governments the authority to decide Yes/No
how to spend locally generated revenues?
iv. Do these include provisions that require local governments to earmark resources Yes/No
for urban planning and climate change?
v. Do these include provisions that create enabling environment that facilitate the Yes/No
mobilization of investment capital?
vi. Do these include provisions that allow local governments to receive a public Yes/No
credit guarantee by the national government?
vii. Do these include provisions that create frameworks for public-private Yes/No
partnerships?
Incentives for 5.2 Does your country have provisions of law or regulations that create incentives to achieve
mitigation and climate change mitigation and adaptation objectives in urban planning?
adaption in
i. Do these include economic incentives to support climate change mitigation in Yes/No
urban planning
urban planning?
ii. Do these include non-economic incentives to support climate change mitigation Yes/No
in urban planning?
iii. Do these include economic incentives to support climate change adaption in Yes/No
urban planning?
iv. Do these include non-economic incentives to support climate change adaption Yes/No
in urban planning?
Incentives 5.3 Does your country have provisions of law or regulations that create incentives to promote
that promote unsustainable urban land uses
unsustainable
i. Do these include economic incentives that promote unsustainable urban land Yes/No
urban land
uses?
uses
ii. Do these include non-economic incentives that promote unsustainable urban Yes/No
land uses?

6. Conclusion
IPCC’s Sixth Assessment Report has made it It highlights the important role played by local
clear that the current scale and nature of changes and regional governments (in addition to other
are unprecedented over hundreds of thousands stakeholders such as civil society, Indigenous
of years and that some impacts are irreversible Peoples and local communities) in contributing
for centuries to come. The risk of facing multiple to progress towards the objectives of the
hazards at the same time is rising, and the UNFCCC and the goals of the Paris Agreement.
existential threat of crossing planetary tipping
The role of urban areas in climate change action
points cannot be ruled out. Climate and weather
is also articulated by the IPCC193, which has
extremes and their adverse impacts on people
observed that the global trend of urbanization
and nature will continue to increase with every
offers a critical but time-limited opportunity
additional increment of rising temperatures,
to advance climate-resilient development,
and the increased risk will pose an even greater
and that integrated and inclusive planning of
strain on those already feeling the impacts
urban infrastructure can significantly increase
of climate change, as highlighted in chapter
the adaptive capacity of urban and rural
3. Accordingly, the United Nations Secretary
settlements. Key among the tools that can be
General, António Guterres, has described the
used to promote urban-related climate action
IPCC report as a “code red for humanity” and
are supportive regulatory and institutional
noted that the “alarm bells” for drastic climate
frameworks. These are useful for not only setting
action are “deafening”.
legally binding obligations but also creating
While the Sixth Assessment Report paints oversight bodies and coordination mechanisms
a grim picture, it also points out that with to bring together and clarify responsibilities
immediate, aggressive, rapid and widespread across levels of government. They may also lay
emissions cuts, the current trajectory can down obligations to mainstream climate change
be slowed down and most of the projected action into national and sub-national plans as
impacts avoided. This glimmer of hope has well as integrate important democratic elements,
been articulated through the Glasgow Climate such as the right to public participation, access
Pact (outcome of COP 26) which, in addition to to information and access to justice. As such,
calling for rapid, deep and sustained reductions this Urban Law and Climate Change publication
in GHGs, underscored the necessity of finance, aims to complement the online version of the
capacity-building and technology transfer, to Law and Climate Change Toolkit in facilitating
enhance adaptive capacity, strengthen resilience the establishment of legal frameworks that are
and reduce vulnerability. Notably, it gives urban crucial for effective domestic implementation of
areas an opportune entry point into enhancing the Paris Agreement by focusing on the urban
climate action and helping to avoid the projected context.
impacts by recognizing the importance of
integrating climate change adaptation into both
local and national planning.
193 IPCC (2022). Working Group II contribution to the Sixth Assessment Report: Report on Impacts, Adaptation and
Vulnerability.

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Urban areas account for two thirds of greenhouse gas emissions and energy consumption, making
them major contributors to climate change. Ironically, they also stand to be severely affected by
the negative impacts associated with climate change. Cities are already suffering from extreme
weather events, flooding, subsidence, storms, heat waves, water scarcity, droughts, and sea-level
rise, among other climate change effects. Additionally, in many countries, the laws, institutions, and
policies governing urban planning in cities have unintended effects on their capacity to adapt to the
changing climate and promote urban forms that increase GHG emissions.
To address this gap, UN-Habitat is pleased to have collaborated with the Commonwealth Secretariat,
the United Nations Environment Programme, and the UNFCCC Secretariat in developing the Urban
Law Module of the Law and Climate Change Toolkit – an innovative online tool designed to help
countries establish legal frameworks necessary for effective domestic implementation of the Paris
Agreement – to which this publication on Urban Planning Law for Climate Smart Cities is a guide on.
It is hoped that this publication, together with the online version of the Toolkit, will be instrumental in
fulfilling the potential of urban areas to lead the way and be truly transformative spaces for climate
action. The Module is comprised of the following five sections: governance framework for urban and
climate planning; urban and territorial planning; urban planning and design for adaptation; urban
planning and design for mitigation and economic and non-economic instruments for climate friendly
urban planning.
www.uhabitat.org www.urbanpolicyplatform.org
Twitter | Instagram : UNHABITAT Twitter | Instagram : @PLG_UNHABITAT
Youtube |  : UN-Habitat worldwide | UN-Habitat Youtube |  : PLG UNHABITAT
For further information, please contact:

UN-Habitat Policy, Legislation and Governance Section
Urban Practices Branch, Global Solutions Division
www.unhabitat.org

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Urban Planning Law

for Climate Smart Cities

Urban Law Module

LAW AND CLIMATE CHANGE TOOLKIT

URBAN PLANNING LAW FOR CLIMATE SMART CITIES i

First published in Nairobi in 2022 by UN-Habitat

United Nations Human Settlements Programme (UN-Habitat)

Coordinators: Gianluca Crispi and Remy Sietchiping

INTRODUCTION: THE URBAN LAW MODULE . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

1. GOVERNANCE FRAMEWORK FOR URBAN AND CLIMATE PLANNING . . . . 13

2. URBAN AND TERRITORIAL PLANNING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

3. URBAN PLANNING AND DESIGN FOR ADAPTATION . . . . . . . . . . . . . . . . . . . 42

iv URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

5. ECONOMIC AND NON-ECONOMIC INSTRUMENTS FOR CLIMATE FRIENDLY

URBAN PLANNING LAW FOR CLIMATE SMART CITIES v

Table 1 Governance Framework for Urban and Climate Planning ������������������������������������� 24

Table 2 Urban and Territorial Planning���������������������������������������������������������������������������� 40

Table 3 Urban Planning and Design for Adaptation �������������������������������������������������������� 77

Table 4 Urban Planning and Design for Mitigation �������������������������������������������������������� 101

Figure 2 A Mapping Analysis of Portland’s 20-minute Neighbourhood ����������������������������� 92

URBAN PLANNING LAW FOR CLIMATE SMART CITIES vi

URBAN PLANNING LAW FOR CLIMATE SMART CITIES 1

Maimunah Mohd Sharif

2 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

1 See more at https://www.un.org/en/global-issues/climate-change

URBAN PLANNING LAW FOR CLIMATE SMART CITIES 3

GST Information Review

*BTRs: Biennial transparency reports

4 Prepared by the UNFCCC Transparency Division.

4 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

5 Available at: https://unfccc.int/sites/default/files/resource/cma2021_08_adv_1.pdf

URBAN PLANNING LAW FOR CLIMATE SMART CITIES 5

THE LAW AND CLIMATE CHANGE TOOLKIT: AN INTRODUCTION

6 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

URBAN PLANNING LAW FOR CLIMATE SMART CITIES 7

GLOBAL EFFECTS AND REAL RESULTS

8 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

11 UNDESA (2018). 2018 Revision of World Urbanization Prospects.

URBAN PLANNING LAW FOR CLIMATE SMART CITIES 9

THE COMPANION GUIDE TO THE ONLINE VERSION OF THE TOOLKIT

13 GIZ (2020). Multi-Level Climate Governance Supporting Local Action.

10 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

1.1. MULTI-LEVEL INSTITUTIONAL COORDINATION

15 World Bank (2017). Governance and the Law.

17 GIZ (2020). Multi-Level Climate Governance Supporting Local Action.

13 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

URBAN PLANNING LAW FOR CLIMATE SMART CITIES 14

In addition to vertical coordination, multi- Coordination among national-level institutions

1.1.3. METROPOLITAN INTER-JURISDICTIONAL COORDINATION

15 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

1.1.4. URBAN-RURAL COORDINATION

1.1.5. LOCAL INTER-INSTITUTIONAL COORDINATION

20 UN-Habitat (2020). Global State of Metropolis 2020: Population Data Booklet.

URBAN PLANNING LAW FOR CLIMATE SMART CITIES 16

Stakeholder participation is a critical component (the Aarhus Convention), and a regional

1.2.1. IDENTIFICATION OF STAKEHOLDERS AND COMMUNITIES

17 URBAN LAW MODULE - LAW AND CLIMATE CHANGE TOOLKIT

1.2.2. OPPORTUNITIES FOR PARTICIPATION

24 UNEP (2015). Putting Rio Principle 10 into Action: An Implementation Guide.

Table 1 Governance Framework for Urban and Climate Planning �� 24

Table 2 Urban and Territorial Planning�� 40

Table 3 Urban Planning and Design for Adaptation �� 77

Table 4 Urban Planning and Design for Mitigation �� 101

Figure 2 A Mapping Analysis of Portland’s 20-minute Neighbourhood �� 92