TRAINING MANUAL - WordPress.com · URL-GP TRAINING MANUAL vii Box 1 The New Urban Agenda: Urban-Rural Linkages.16 Box 2 UN-Habitat Assembly earlier Urban-Rural linkages Resolutions.18

TRAINING MANUALFOR APPLYING THE URBAN-RURAL

LINKAGES-GUIDING PRINCIPLES

TRAINING MANUAL FOR APPLYING THE URBAN-RURAL LINKAGES-GUIDING PRINCIPLES

First published in Nairobi in 2019 by UN-HabitatCopyright © United Nations Human Settlements Programme, 2019

All rights reservedUnited Nations Human Settlements Programme (UN-Habitat)P. O. Box 30030, 00100 Nairobi GPO KENYATel: 254-020-7623120 (Central Office)www.unhabitat.org

HS Number: HS/000/00E

Financial Contribution and Support: xxx

Acknowledgements

Coordinators: Remy Sietchiping, Grace GITHIRIAuthors: Ramses GRANDEDesign and layout: Jean Robert Gatsinzi

Special acknowledgements go to the Governing Council Secretariat in Nairobi, Kenya for reaching out to the member States and encouraging them to take part in the Global Survey on Urban and Territorial Planning. Likewise, special acknowledgements go to UN-Habitat’s member States for actively participating in the first Global Survey on Urban and Territorial Planning carried out in 2016–2017 for the development of this report.

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 of boundaries.Views expressed in this publication do not necessarily reflect those of the United Nations Human Settlements Programme, the United Nations, or its Member States.

Excerpts may be reproduced without authorization, on condition that the source is indicated.

TRAINING MANUALFOR APPLYING THE URBAN-RURAL

LINKAGES-GUIDING PRINCIPLES

iv URL-GP TRAINING MANUAL

Foreword

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vURL-GP TRAINING MANUAL

Table of Contents

FOREWORD ........................................................................................................................................... IVTABLE OF CONTENTS ...........................................................................................................................VLIST OF FIGURES ...................................................................................................................................VILIST OF BOXES ..................................................................................................................................... VIILIST OF ACRONYMS ......................................................................................................................... VIIIOVERVIEW ..............................................................................................................................................1MODULE ONE: INTRODUCTION ........................................................................................................5MODULE TWO: UNDERSTANDING THE URL-GP ...........................................................................9MODULE THREE: WHO SHOULD APPLY THE URL-GP ................................................................29MODULE FOUR: HOW TO APPLY THE URL-GP ............................................................................52MODULE FIVE: WHERE TO APPLY THE URL-GP: THEMATIC, INSTITUTIONAL, PERSONAL APPLICATION .......................................................................................................................................64MODULE SIX: WHAT’S NEXT? HOW YOU CAN TAKE THE URL-GP FORWARD! ................77URL STRATEGY ....................................................................................................................................88APPENDIX .............................................................................................................................................93CONCEPT NOTE ..................................................................................................................................97

vi URL-GP TRAINING MANUAL

Figure 1 UN-Habitat Strategic Plan 2020-2025 . . . . . . . . . . . . . . . . . . . . . . . 19

Figure 2 Multi-stakeholder engagement . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Figure 3 NUP Phase and pillars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

Figure 4 Graphic illustrating the relation of global nutrition agendas to the URL-GP. . . . . 70

List of Figures

viiURL-GP TRAINING MANUAL

Box 1 The New Urban Agenda: Urban-Rural Linkages . . . . . . . . . . . . . . . . . . . . . 16

Box 2 UN-Habitat Assembly earlier Urban-Rural linkages Resolutions . . . . . . . . . . . . . . 18

Box 3 UN-Habitat Assembly 2019 Urban-Rural linkages in policy Resolutions . . . . . . . . . . 18

Box 4 Guiding principles of urban and rural linkages . . . . . . . . . . . . . . . . . . . . . 22

Box 5 Fields of Action for strengthening URL . . . . . . . . . . . . . . . . . . . . . . . . . 23

Box 6 Module Two - Main takeaways. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Box 7 Title here . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Box 8 Post-evaluation questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Box 9 Module Three: Pre-evaluation questions . . . . . . . . . . . . . . . . . . . . . . . . 30

Box 10 Module Three: Inclusion of rural populations in Latin America. Case Study/example from

RIMISP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Box 11 Module Three: URL Stakeholder roles . . . . . . . . . . . . . . . . . . . . . . . . . 41

Box 12 Module Three: How to work together on URL? – URL Focal Team . . . . . . . . . . . . 43

Box 13 Module Three: Example – Identification of URL Stakeholders Niger State . . . . . . . . . 44

Box 14 Module Three-Post-evaluation questions . . . . . . . . . . . . . . . . . . . . . . . . 51

Box 15 URL Strategy Proposal of the UNDA project [transform into a timeline] . . . . . . . . . . 56

Box 16 Definition of Policy: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

Box 17 Post-evaluation questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Box 18 Module Five - Post-evaluation questions . . . . . . . . . . . . . . . . . . . . . . . . 76

Box 19 Module Six - Post-evaluation questions . . . . . . . . . . . . . . . . . . . . . . . . . 91

List of Boxes

viii URL-GP TRAINING MANUAL

List of Acronyms

1URL-GP TRAINING MANUAL

Overview

PURPOSE OF TRAINING MANUAL

SUMMARY OF CONTENTS:

This Training manual contains six modules composed of interactive lectures and individual/group activities.

Module Overview

1 Introduction Provides an overview of the course structure and discusses participants expectations on the Training manual. Includes a Pre-Training Manual-Quiz to assess your general knowledge on Urban-Rural Linkages.

2 Understanding the URL-GP Introduces participants, to the topic of integrated territorial development and its relation to global sustainability agendas. Illustrates the Urban-Rural Linkages approach and history and provides an overview of the Urban-Rural Linkages: Guiding Principles and Framework for Action.

3 Who should apply the URL-GP Outlines actors and roles in applying the Guiding Principles. Discusses how different actors can work together. Introduces participants to the general capacities of stakeholders necessary to implement the Guiding Principles.

4 How to apply the URL-GP Explains how to set up a local URL Strategy and its process in order to apply the URL-GP in policies, plans, strategies, etc. Introduces participants to existing examples where the URL-GP are being implemented.

5 Where to apply the URL-GP Details how to apply the URL-GP framework in different urban or sectoral policies, plans and institutions.

2 URL-GP TRAINING MANUAL

Module Overview

6 What’s next? How you can take the URL-GP forward!

Provides guidance to review and update the participant’s exercises to initiate a local URL Strategy “outside the classroom”.

Additional materials:

In addition to the five core modules, the Training manual includes a Pre- and a Post-Training Manual-Quiz, in order to provide a rapid evaluation of the learning outcomes of the training.

The Appendix includes all templates required to fill out the assessments and the exercises.

Module components:

Each module in this Training Manual is composed of the following components:

• Module overview:

Ø Prerequisites - Pre-evaluation

Ø Learning objectives

Ø Keywords

• Content

• Example/Case Study

• Exercise (DIY and/or Group activity)

• Key tools and resources

Ø Tools:

Ø Resources:

• Lessons learnt

Ø Post-evaluation questions

Ø Post-evaluation exercises

Ø Summary of what is learnt


Every module also contains recommendations for instructors on how to prepare and moderate each session. These suggestions are purely indicative and should be adapted to the specific context of the learning event.

Alternatively, this Training Manual can be used as a self-study guide. Therefore, it also features notes for self-study.

URL-GP Learning Materials

This URL-GP Training Manual is part of the URL-GP Learning Materials. In addition to the case studies provided as part of the Case Studies component in each module, a wider range of case studies are available as part of the URL-GP Learning Materials.

An overview of all URL-GP Learning Materials includes:

• URL Assessment Toolkit

• URL Spatial Analysis Framework and Data Strategy:

Ø URL Data + Indicators

• NUP-URL Guide

• URL-GP Publication

• URL-GP Flyer

• URL Compendium of Case Studies

• URL Case Studies Database

• Thematic guides for URLs: (e.g. nutrition, biodiversity, food systems, etc.)

Educational approach

Past experiences in developing learning materials at UN-Habitat have shown the potential of developing learning materials that are more easily implementable in the user’s daily work. This TM has been conceived around the following premises:

Ø Moving away from “Learning about the URL-GP” to “Learning how to apply the URL-GP”.

Ø Moving away from “Learning through generic exercises/academic examples” to “Learning by doing”: real-life learning processes, directly contributing to localizing the URL-GP in the participant’s context.

Ø Complementing “Training of Trainers” classroom methodologies with self-taught and self-mentored, step-by-step learning processes.


Based on these premises, the Training Manual for the URL-GP presents the following innovative characteristics:

Ø “Training of Trainers” and Self-mentored learning processes;

Ø Implementation-oriented: Step-by-step, following real-life implementation processes;

Ø In line with global agendas and complementary with existing Integrated Territorial Development approaches, tools and learning materials.


MODULE OVERVIEW:

This module provides background information and materials that could be useful for trainers to introduce the learning event and provide an overview of its target audience and structure. It also includes a Pre-Training Manual-Quiz that assesses the general knowledge about the URL-GP. This survey is also recommended for self-study.

Pre-Training Manual-Quiz: (PRIOR TO EVENT)

TIME: 15 mins.

Instructors note: It is recommended that this Pre-Training Manual-Quiz be distributed to the participants at least one week prior to the event. The quiz intends to familiarize participants with the concepts of urban-rural linkages and with the Guiding Principles. You can send this assessment digitally via an online survey provider, such as Monkeysurvey or Google Forms (see Pre-Training Manual-Quiz in the Appendix).

The assessment results can be analyzed by the trainer before the learning event. They can provide valuable insight into the level of understanding of URL-GP of the participants. This can help you define training needs and prioritize the structure of your course.

Self-study: Read through the following questions and answer them on the template sheet 1 provided in the appendix. If you want to review your results before starting the training manual, you may check the results sheet on the appendix.

Welcome, introductions and pre-Training Manual-Quiz results

TIME: 15 mins.

This is the beginning of the URL-GP training event. Welcoming all participants is an important to set the mood towards a productive learning experience. You may want to introduce yourself and other instructors, as well as give each participant the opportunity to introduce him/herself and indicate his/her professional background in one sentence.

Instructors note: You may use the slides in the Appendix to present the course structure and learning objectives of your learning event. You may also want to show some of the pre-Training Manual-Quiz results to the participants at the start of the event, in order to give the audience an overview of the participants opinion.

PRIOR TO EVENT:

Pre-Training

Manual-Quiz

15 mins

Welcome,

introductions

and pre-Training

Manual-Quiz results

15 mins

LECTURE: Target

audience, outline

of course structure

and learning

objectives of the

course

15 mins

Optional

group activity:

Expectations

15 mins

TOTAL TIME

30 mins – 45 mins

Module One: Introduction


Lecture: Target audience, outline of course structure and learning objectives:

TIME: 15 mins.

Instructors note: You may use the slides to present the course structure and learning objectives of the training event.

The learning objectives of the Training Manual are:

• To understand how Urban-Rural Linkages can contribute towards sustainable urbanization and sustainable development.

• To understand which actors, roles and capacities are necessary to apply the URL-GP.

• To understand how to set up your own URL-GP Strategy and how the process of applying the URL-GP might look like.

• To understand how to apply the URL-GP in policies, plans and institutions and which tools are available

• To understand how to take the lessons learnt from this training event forward in order to apply the URL-GP in your own work

Target audience

The TM is aimed at enhancing capacities of professionals working in urban/rural/sectoral policy- and decision-making from:

• National, subnational and local governments;

• Civil society organizations and professional associations;

• Private sector and/or

• Academia and research organizations.

Instructor’s note: These are very different target audiences, for which the facilitation and adaptation of the training would be also different. It might be useful to explain why this broad scope of actors is targeted:

Urban/rural/sectoral policy- and decision-making is traditionally considered a responsibility of governments, with important differences among countries on the roles and responsibilities for different levels of government. This does not mean that only governments should be in charge of decision-making. Increasingly, governments are encouraged to act as facilitators for a broad range of stakeholders working on and influencing urban/rural/sectoral development.


These include a varied number of civil society organizations, including professional associations, private sector organizations and academia and research institutions. In fact, in some cases, non-governmental stakeholders may be leading or co-leading with government stakeholders, depending on local governance frameworks.

Overall, by targeting the main stakeholder groups responsible for the development of urban/rural/sectoral policies and enhancing their capacities to deliver decision-making that strengthens urban-rural linkages in their context, this training manual aims to contribute to the achievement of global agendas on sustainable development and urbanization, such as the New Urban Agenda and the Sustainable Development Goals. In particular, SDG 11 Target 11.3: By 2030, enhance inclusive and sustainable urbanization and capacity for participatory, integrated and sustainable human settlement planning and management in all countries; and Target 11.a: Support positive economic, social and environmental links between urban, peri-urban and rural areas by strengthening national and regional development planning.

Beyond this scope, other interested stakeholders may also find useful information in this training manual, such as:

• Students interested in urban/rural/sectoral (public) policy-making, planning and design;

• Organizations working on projects -not policies- contributing to urban/rural/sectoral development.

Optional group activity: Expectations

TIME: 15mins.

Instructors note: If time allows, you may want to open the floor to engage participants. You may want to use some of the questions below to hear about their expectations.

Self-study: Read through the following questions and answer them on the template sheet 2 provided in the appendix.


The following questions are meant to help you digest, process and apply your learning.

• Is there anything you need to do to help you focus and relax during the learning process?

• Yes O ............................................. No O...........................................................................................................................................................

• Give 2 areas out of the 4 objectives of this URL-GP Training Manual which you would like to learn the most about during this Learning event?

• Take a moment to reflect on the learning objectives. Please comment on them as you wish. Are there any other learning objectives you would like to set for yourself and/or your institution? Please feel free to add them below.

Ø Understand how Urban-Rural Linkages can contribute towards sustainable urbanization and sustainable development.

Ø Understand which actors, roles and capacities are necessary to apply the URL-GP.

Ø To understand how to set up your own URL-GP Strategy and how the process of applying the URL-GP might look like.

Ø Understand how to apply the URL-GP in policies, plans and institutions

Ø Other.............................................................................................

• Please give two aspects that will assure you if the learning event has been a success?

.....................................................................................................................

• Highlight 2 aspects of the training that will strengthen your capacity to work on Urban-Rural Linkages.

.....................................................................................................................

• Tell us two things you are looking forward to in the learning event?

.....................................................................................................................

• What 2 questions would you like to have answered by the end of the day?

.....................................................................................................................


Learning Objectives:

• Understand URL as part of Integrated Territorial Development approaches

• To understand the relation of URL to global agendas (SDGs, NUA, UN-Habitat Strategic Plan)

• Learn about the development process of URL-GP

• Learn about the URL- Guiding Principles and Framework for Action

Key reading for participants

Recommended:

• UN-Habitat (2018) Implementing the New Urban Agenda by Strengthening Urban-Rural Linkages

• UN-Habitat (2018) Urban-Rural Linkages: Guiding Principles and Framework for Action (2019), Introduction (p. 1-4)

• Berdegué J. A. and Proctor F. J. with Cazzuffi C., 2014. Inclusive Rural–Urban Linkages. Working Paper Series N° 123. Working Group: Development with Territorial Cohesion. Territorial Cohesion for Development Program. Rimisp, Santiago, Chile.

• Fostering territorial perspective for development. Towards a wider alliance https://collaboratif.cirad.fr/alfresco/s/d/workspace/SpacesStore/6daa60e1-d89e-4a59-9bfd-ff5f66a93130/TP4D_vENG.pdf

Pre-learning Quiz

TIME: 15 mins.

With this pre-evaluation exercise you can assess the level of understanding of the URL-GP of the participants and customize the learning process:

Instructors note: You may want to use the template attached in the appendix for individual assessment or use the Mentimeter presentation

Module Two: Understanding the URL-GP

MODULE OVERVIEW:

Module Two introduces participants to the topic of integrated territorial development and its relation to global sustainability agendas. It illustrates the Urban-Rural Linkages approach and history and provides an overview of the Urban-Rural Linkages: Guiding Principles and Framework for Action.

PRE-EVALUATION of learning objectives

10 mins

Group discussion: What is

Integrated Territorial

Development, what are Urban-

Rural Linkages and how are they

linked to the global agendas?

15 mins

LECTURE:

The URL-GP: Development

process, Guiding Principles and

Framework for Action

20 mins

Group activity: Exploring the

URL-GP in selected case-

studies

30 mins

Questions and feedback

5 mins

TOTAL TIME

1h 10 mins


provided, to do an interactive group-assessment. Note that you should check availability of Smartphones amongst participants and Internet/WLAN network in the event venue beforehand if you plan on using Mentimeter.

Pre-learning Quiz Mentimer: https://www.mentimeter.com/s/0b08836d6d4851cf6421ae69655d8490/c0089c0c70fb/edit

Self-study: Fill out the template attached in the appendix for individual assessment. You can review your answers in the appendix.

Group discussion: What is Integrated Territorial Development and how is it linked to the global agendas?

This group discussion is intended to answer the questions “What are Urban-Rural Linkages?” and “why are they important?”. You can start the group discussion by raising some of the following questions to the participants: “What are Urban-Rural Linkages?” “What is Integrated Territorial Development?”

Participants may refer to some of these ideas about Urban-Rural Linkages:

• Connections between urban and rural areas;

• Flows of people, goods, services and information between urban and rural areas, including the peri-urban and small and intermediate cities.

You can summarize the group discussion by explaining UN-Habitat’s definition of URLs:

Implementing the New Urban Agenda by Strengthening Urban-Rural Linkages (2017)

Urban-Rural Linkages are defined as non-linear, diverse urban-rural interactions and linkages across space within an urban-rural continuum, including flows of people, goods, capital and information but also between sectors and activities such as agriculture, services and manufacturing. In general, they can be defined as a complex web of connections between rural and urban dimensions1 . These linkages and interactions between urban and rural areas are described to include diverse aspects as: (i) population and human capital; (ii) investments and economic transactions; (iii) governance interactions; (iv) environment and amenities; (v) products and services: (vi) information and data – along with the different structures supporting (or constraining) them: infrastructures, economic structures, territorial structures and governance structures.

1 (UN-HABITAT, 2017)

https://www.mentimeter.com/s/0b08836d6d4851cf6421ae69655d8490/c0089c0c70fb/edithttps://www.mentimeter.com/s/0b08836d6d4851cf6421ae69655d8490/c0089c0c70fb/edit


Another useful definition of URLs is found in the RIMISP study Inclusive Rural–Urban Linkages2 https://www.researchgate.net/publication/270899633_Inclusive_Rural-Urban_Linkages.

This definition emphasizes on the different/distinct spaces within the urban-rural continuum, the urban – peri- urban – small and intermediate cities - and the rural. These spaces have a socially constructed identity, which is dependent on the specific context among other factors. There are ongoing discussions on defining and delimiting the urban-rural continuum into clear categories.

On the definition of rural-urban linkages and of spaces with a socially-constructed identity at the rural-urban interface:

Rural-urban linkages are reciprocal flows of people, goods, services, money and environmental services. Under certain conditions, aided by geographical proximity, they can lead to interdependence between rural and urban, and to the formation of intermediate rural-urban functional areas (territories) that very often cut across administrative boundaries and that encompass a number of rural localities, as well as a few towns and small and medium cities. Such areas cannot be treated as rural or as urban; they share elements of both, and are distinct from both. Breaking the analytical, policy, programming and investment silos between urban and rural development is essential to be able to promote the development of these distinct societies, of the 5 billion people that live therein, and of the spaces they occupy.

You can then move on to the question “why are URLs important?”:

RIMISP study Inclusive Rural–Urban Linkages

The evidence seems to show that stronger rural-urban linkages tend to be beneficial for poor people, both rural and urban. From the perspective of rural livelihoods, the potential benefits of rural-urban linkages include greater social diversity and greater access to: primary product markets and to manufactured goods and services beyond other neighboring rural villages; social services such as education and health beyond the primary levels; financial services, and; non-farm employment opportunities. Some of these benefits cannot be realized in rural areas that do not have significant linkages to an urban location. However, rural-urban linkages are not necessarily equally beneficial for rural households and locations, as they are for their urban counterparts. Relations with urban centers can be predatory. It takes more than having a link with an urban center to have inclusive rural development.

2 Berdegué J. A. and Proctor F. J. with Cazzuffi C., 2014. Inclusive Rural–Urban Linkages. Working

Paper Series N° 123. Working Group: Development with Territorial Cohesion. Territorial

Cohesion for Development Program. Rimisp, Santiago, Chile.

https://www.researchgate.net/publication/270899633_Inclusive_Rural-Urban_Linkages. https://www.researchgate.net/publication/270899633_Inclusive_Rural-Urban_Linkages.


You can stress that urban and rural areas can be at imbalance which translates into spatial inequalities. You may want to emphasize that strengthening Urban-Rural Linkages is one approach to reduce inequalities between rural and urban areas and between territories and that addressing these issues can achieve a more balanced development. You could then move on to describe the wider picture of Integrated Territorial Planning:

Urban-Rural Linkages: Guiding Principles and Framework for Action (2019)

Integrated Territorial Development (ITD) is embraced throughout the NUA with the recognition that the processes of urbanization, with supporting policy and land use planning, necessarily include a territorial dimension. A territorial dimension or territorial approach emphasizes the functional and spatial interconnection of urban, peri-urban and rural areas, forming a rural-urban-continuum.

Relation of URLs and ITD to global agendas (SDGs, NUA, UN-Habitat Strategic Plan)

It is important that you draw a connection between strengthening Urban-Rural Linkages to promote Integrated Territorial Development and global sustainability agendas. You can start by asking “What is the significance of strengthening URLs in relation to the SDGs and other global sustainability agendas?” You may hear from participants about some of the following ideas:

• Urban-Rural Linkages are an essential component of SDG goal 11 Sustainable cities and communities, and they are also mentioned in the New Urban Agenda.

Ø Urban-Rural Linkages are not only important for urban agendas, they are also important for the rural agenda as well as the achievement of other thematic agendas, such as food, nutrition, environmental protection, local economic development and poverty reduction, etc.

You should highlight that many sustainability challenges have a spatial component, meaning that they usually take place in physical space. Therefore, it is possible to address some of those challenges by working on its spatial or territorial dimension. Strengthened URLs are part of ITD approaches that aim to address those challenges by focusing on its territorial dimension. You can read the following excerpt, which explains why ITD approaches have been highlighted as a means for achieving the SDGs.

You may want to refer to the use of territorial approaches for development in the TP4D-Initiative:


Fostering territorial perspective for development. Towards a wider alliance: https://collaboratif.cirad.fr/alfresco/s/d/workspace/SpacesStore/6daa60e1-d89e-4a59-9bfd-ff5f66a93130/TP4D_vENG.pdf

For several years, territorial approaches to development are increasingly recognized as a powerful tool for improving development outcomes. Multi-sectorial and multi-stakeholder approaches - implemented at an adequate spatial level - appear as a more appropriate conceptual, analytical and operational framework for understanding and addressing the complexity of the structural economic, social and spatial transformations taking place in a globalized and rapidly changing world. Furthermore, “spatially blind” policies and interventions are starting to raise concerns since they tend to leave behind those places that require the most support to achieve the SDGs.

Territorial approaches are a viable option to address the integrated nature of the SDGs. They can complement and improve cross-sectorial effectiveness, as well as increase coordination and true participation. Territorial approaches can contribute to moving towards the implementation of the 2030 development agenda.

Optional exercise: Matching known local and national priorities with SDGs

TIME: 15 min.

Instructor’s note: Given some actors at subnational and national levels may not have internalized the SDGs and yet most priorities at any level of governance do fit the SDG goals and targets, it may be useful to plan an interactive exercise to “match” known local or national priorities with SDGs first, before looking at the even more complex overlay of FfA entry points to SDGs in the next step.

The Guiding Principles and the Sustainable Development Goals:

The 11 sections of the Framework for Action of the Guiding Principles have multiple linkages with the 17 Sustainable Development Goals and can therefore provide support towards their achievement. Beyond the direct relation with SDG 11 Sustainable Cities and Communities, the Guiding Principles can also play a substantive role in poverty, hunger and inequality reduction across the urban-rural continuum, through the provision of livelihoods, improved city-region food systems, access to basic services and infrastructure and employment opportunities.

The following graphic illustrates how the different Sustainable Development Goals are linked with the Framework for Action of the Urban-Rural Linkages: Guiding Principles. The inner circle contains the 17 Sustainable Development Goals.

GPGP&

https://collaboratif.cirad.fr/alfresco/s/d/workspace/SpacesStore/6daa60e1-d89e-4a59-9bfd-ff5f66a9313https://collaboratif.cirad.fr/alfresco/s/d/workspace/SpacesStore/6daa60e1-d89e-4a59-9bfd-ff5f66a9313


Optional exercise: URL-GP and the SDGs

TIME: 15 min.

Choose a SDG and analyze the link to the URL-GP Framework for Action (FfA). Read the description of the SDG and its targets first. Move on to each of the FfA sections next and read the descriptions.

The outer circle includes each Framework for Action Section that is related to each goal. The diagram shows the interconnectedness of the URL-GP with the SDGs: Every Goal is linked to at least one section of the Framework for Action.


Explain how the Goal and the URL-GP section are related. Present your results to the other participants in the training event.

Optional module: URL in the Global Agendas

After learning why URLs and ITD are important for addressing some of the SDGs, you may want to go over some of the global frameworks which refer to urban-rural linkages:

Global Normative frameworks: Urban-Rural Linkages

Provisions in major new global frameworks that were established in 2015 that are relevant to or supportive of national urban policy include the following:

• The Sustainable Development Goals adopted by Member States in 2015 have clearly identified the need to renew work on Urban-Rural Linkages as one of the transformative interventions. Goal 11 seeks to (Make cities and human settlements inclusive, safe, resilient and sustainable), particularly Target 11.3 (By 2030, enhance inclusive and sustainable urbanization and capacity for participatory, integrated and sustainable human settlement planning and management in all countries), Goal 11.a (Support positive economic, social and environmental links between urban, peri-urban and rural areas by strengthening national and regional development planning); the indicator for 11.a.1 emphasizes interdependency, interconnection and complementary of the urban and rural areas.

• Rio+20 Outcome Document “The Future We Want”, member states recognized that, if well planned and developed including through integrated planning and management approaches, cities can promote sustainable societies

• Habitat Agenda states that cities, towns and rural settlements are linked through the movements of goods, resources and people, social and cultural connections, geography and infrastructure. The Agenda places emphasis on urban-rural linkages and importantly, treats villages and cities as ‘two ends’ of a human settlements continuum in a ‘common ecosystem

The New Urban Agenda includes key actions addressing integrated urban and territorial development and URLs:


Box 1. The New Urban Agenda: Urban-Rural Linkages

Paragraph 95 states that; the Member States will support implementing integrated, polycentric and balanced territorial development policies and plans, encouraging cooperation and mutual support among different scales of cities and human settlements, strengthening the role of small and intermediate cities and towns in enhancing food security and nutrition systems…….

Paragraph 75 states the commitment to long-term urban and territorial planning processes and spatial development practices that incorporate integrated water resources planning and management, considering the urban-rural continuum at the local and territorial level

Paragraph 49 is a commitment to support territorial systems that integrate urban and rural functions into the national and sub-national spatial frameworks

Paragraph 96 encourages “implementing sustainable urban and territorial planning, including city-region and metropolitan plans, to encourage synergies and interactions among urban areas of all sizes, and their peri-urban, and rural surroundings, including those that are cross border, and support the development of sustainable regional infrastructure projects that stimulate sustainable economic productivity, promoting equitable growth of regions across the urban-rural continuum.


Optional module: URL in the UN-Habitat Agenda

UN-Habitat has also previously addressed urban-rural linkages in their resolutions since the first Habitat conference at Vancouver in 1976 that stressed the importance of the rural dimension. This has further been elaborated in the subsequent resolutions (see box 5) in 1999, 2003, 2013 and finally in 2015 where this was re-emphasized and taken up towards the development of the International Guidelines of Urban and Territorial Planning (IGUTP)3 published in 2015 and Urban-Rural Linkages Guiding Principles (URL-GP)4 published in 2019. In preparation of Habitat III an issue paper5 addressing urban-rural linkages in partnership with partners was submitted; this necessitated the result that the urban-rural dimensions appear in many paragraphs in the New Urban Agenda. In 2019 however, was an advancement of this work, since it was during the first UN-Habitat Assembly that a resolution6 specific on urban-rural linkages was adopted with reference to the Urban-Rural Linkages: Guiding principles and Framework for Action publication. The operative clauses that specifically make reference to this Training Manual on mainstreaming urban-rural linkages are highlighted in box 6.

The UN-Habitat strategic plan 2020-23 (see figure 1) on the other hand aims to address the challenges in the urban-rural nexus through two domains of change/goals. The first domain of change is “Reduced spatial inequality and poverty in communities across the urban-rural continuum” and secondly “Enhanced shared prosperity for cities and regions”. This Training manual aims to ensure that this issues are addressed through policies and other relevant frameworks.

3 https://unhabitat.org/books/international-guidelines-on-urban-and-territorial-planning/

4 https://urbanrurallinkages.files.wordpress.com/2019/04/url-gp.pdf

5 http://habitat3.org/wp-content/uploads/Habitat-III-Issue-Paper-10_Urban-Rural-Linkages-

2.0.pdf

6 https://papersmart.unon.org/sites/default/files/Draft%20Urban-Rural%20Linkages%20

Resolution%2026052019_0.docx


Box 2. UN-Habitat Assembly earlier Urban-Rural linkages Resolutions

• Vancouver Action Plan (Habitat I) 1976, stressed the importance of the rural dimension of human settlements

• Resolution HS/GC/17/10 of 14 May 1999 of the Commission on Human Settlements requested that urban-rural interdependence be taken into consideration in the execution of the work programme of United Nations Human Settlements Programme (UN-Habitat), given the strong synergy between urban and rural areas;

• UN-Habitat Resolution HSP/GC/19/6 of 9 May 2003 on Urban-Rural Linkages and sustainable urbanization laid the ground for the 2005 publication entitled “Urban-Rural Linkages Approach to Sustainable Development”

• UN-Habitat Resolution HSP/GC/25/1 and 25/4 of 2015 proposed the need to reduce the disparities between the urban and rural areas through infrastructure development and strengthening of small and intermediate cities

• UN-Habitat Resolution HSP/GC/24/3 promoted inclusive and sustainable urban planning and elaboration of international guidelines on urban and territorial planning; it reinforced the importance of regional planning which addresses the need of urban and rural spaces.

Box 3. UN-Habitat Assembly 2019 Urban-Rural linkages in policy Resolutions

• OP 2; Strongly encourages Member States to institutionalize and integrate urban-rural linkages into their respective national and sub-national development planning policies and processes in order to strengthen the reciprocal economic relationship between urban and rural areas, including provision of incentives for increased agricultural production and increased production of goods and services in urban areas;

• OP 5; Also, requests the Executive Director, in cooperation with Members States and relevant stakeholders to disseminate good practices and policies on positive interconnectivity of urban facilities which could be replicated in other countries, and to help develop the capacity of national, sub-national and local authorities in that area within available resources;

• OP 6; request the Executive Director, in consultation with appropriate partners to assist Member States where needed to develop policies and programmes to address the economic migration of youths from Rural to Urban areas;


Lecture: Multi-stakeholder development process of the URL-GP

Instructor’s note: You may want to use the slides provided in the Appendix

• You can start by mentioning that we have now heard the “Why” and the “What” about URLs. Now is the time to hear how UN-Habitat and its partners are promoting URLs. You can mention that the URL-GP were conceived as a framework to support countries implement actions to strengthen URLs. Developing the URL-GP took over 1 year but built on previous discussions since the Montería Expert Group Meeting in Colombia in 2015. It included face to face meetings at WUF9 (Febr 2018), one virtual EGM (May 2018), one EGM in Bolivia (June 2018) and in Kenya (Sept 2018) and three online consultation phases. You can read this excerpt from the Urban-Rural Linkages: Guiding Principles and Framework for Action (2019), (p.)

Figure 1 UN-Habitat Strategic Plan 2020-2025


Over 130 individuals, including experts from 40+ institutions participated in development of the Guiding Principles and Framework for Action - representing national, regional and local governments, United Nations agencies, international development organizations, academic and research organizations, nongovernmental, civil society and private sector organizations, and international development experts.

Figure 2 Multi-stakeholder engagement

The multi-stakeholder approach of developing the Guiding Principles was included in Guiding Principle 9 PARTICIPATORY ENGAGEMENT, which calls for the creation of spaces and mechanisms to ensure meaningful participation of people, local institutions and communities.

One of the benefits of multis-stakeholder engagement is the richness and variety of ideas and approaches that different stakeholders provide to the discussions. Urban-Rural linkages are a cross-disciplinary approach that combines multiple disciplines, from urban and territorial planning, to health and nutrition and biodiversity.

During the development of the Guiding principles, several organizations working on different mandates brought in their thematic perspectives, each contributing to enrich and broaden the scope of the Guiding Principles.

Watch through the following videos to understand the multidisciplinary perspective of the Guiding Principles:

Lina Mahy, from the Department of Nutrition for Health and Development at the World Health Organization (WHO), shows how URLs can contribute to strengthen food and nutrition systems, thus promoting better health and well-being: https://youtu.be/9Cg5svXmMHI

Oliver Hillel, from the Convention on Biological Diversity (CBD) explains why URLs are important for protecting environmental ecosystems and its biodiversity: https://youtu.be/-6Baftypo0M

https://youtu.be/9Cg5svXmMHI https://youtu.be/-6Baftypo0M


Lecture: The URL- Guiding Principles and Framework for Action

At this stage, participants should be introduced to the URL-GP and FfA. You can start by highlighting some of the core elements of the URL-GP:

• The GP are universal set of 10 principles to guide multi-level implementation of urban-rural linkages to advance integrated territorial development.

• The goal of the Guiding Principles is to inform pragmatic strategies and propose a Framework for Action to build an enabling environment for more inclusive and functional urban-rural linkages.

• The FfA provides 11 fields for action depending on priority challenges and policy opportunities. The thematic entry points and fields of action are context specific, spatially and functionally, and define roles for different actors at all levels.

You may want to emphasize on the universality and flexibility of the Guiding Principles by reading this excerpt:

Urban-Rural Linkages: Guiding Principles and Framework for Action (2019)

The principles are flexible and can be applied by all levels of stakeholders at all scales. While the principles are designed for universal application, there are distinct roles and actions appropriate for national or local governments, civil society, the private sector and international organizations. In addition, they can be applied in varying national contexts.

The Guiding Principles are to help address the complexity of aligning different levels of governance (national, territorial and local) while recognizing unique local contexts and multiple possibilities for implementation. Urban-rural linkages that advance integrated territorial development are not only about a collection of separate subnational regions, but are also about systems of cities at national and even across national to regional levels.

You can then go through each of the Guiding Principles and through the Framework for Action. Materials: You can use the URL-GP Flyer and/or Key Message Flyer to introduce the Guiding Principles and Framework for Action (see Appendix).


Box 4. Guiding principles of urban and rural linkages

1. Locally grounded interventions

2. Integrated governance

3. Spatial and functional systems-based approaches

4. Financially inclusive

5. Balanced partnership

6. Human rights-based

7. Do no harm and provide social protection

8. Environmentally sensitive

9. Participatory engagement

10. Data driven and evidence based

Source: https://urbanrurallinkages.files.wordpress.com/2019/04/url-gp.pdf

7DO NOT HARM

AND PROVIDE SO-CIAL PROTECTION

9PARTICIPATORY ENGAGEMENT

8ENVIRONMENTALLY

SENSITIVE

10DATA DRIVEN

AND EVIDENCE-BA-SED

1 LOCALLY GROUNDED

INTERVENTIONS

3FUNCTIONAL AND

SPATIAL SYSTEMS-BASED

APPROACHES

5 BALANCED

PARTNERSHIP

2INTEGRATED

GOVERNANCE

4FINANCIALLY INCLUSIVE

6HUMAN

RIGHTS-BASED

https://urbanrurallinkages.files.wordpress.com/2019/04/url-gp.pdf


The URL-GP Framework for Action identifies eleven fields of action in the following thematic areas:

Box 5. Fields of Action for strengthening URL

• Governance, legislation and capacity development

• Integrated planning across the urban-rural continuum

• Investment and finance for inclusive urban and rural development

• Empower people and communities

• Knowledge and data management for dynamic spatial flows of people, products, services, resources and information

• Territorial economic development and employment

• Coherent approaches to social service provision

• Infrastructure, technology and communication systems

• Integrated approaches for food security, nutrition and public health

• Environmental impact and natural resource and land management

• Conflicts and disaster

Source: https://urbanrurallinkages.files.wordpress.com/2019/04/url-gp.pdf

https://urbanrurallinkages.files.wordpress.com/2019/04/url-gp.pdf


Exercise (DIY and/or Group activity): Exploring the URL-GP in selected case-studies:

After reading through the Guiding Principles and the Framework for Action, it is important to assess the participants understanding of the URL-GP by identifying the Principles and FfA Sections in selected case studies. The following exercise is also an important step in localizing the Guiding Principles in concrete examples.

Instructor’s note: Each Participant or participant group will select a case study from the URL Compendium of Case Studies. After reading it and discussing among their group, participants are asked to identify the Guiding Principles/Framework for Action behind each case study.

In the next step, participants will be asked to identify two/thee local/national goals for their own context and link them to the relevant sections of the Framework for Action of the Guiding Principles.

Afterwards, each group will present their case study and findings to the other groups.

Materials: Template with case studies and GP/FfA.

Self-study: Select two case studies provided in the Appendix. Read through them carefully and try to identify the Guiding Principles/Framework for Action Sections that apply most behind each case study. You can then review your results in the Appendix. In the next step, identify two/thee local/national goals for your own context and link them to the relevant sections of the Framework for Action of the Guiding Principles.

Materials: Template with case studies and GP/FfA.

Questions and feedback

TIME: 5min

It is important that you allow questions and comments from participants throughout the learning activity. You may also use this time to highlight any issues that might be unclear from the previous discussions.

Lessons learnt

TIME: 10—15 min

At the end of each module, it is recommended that you dedicate some time to recap the main lessons learnt. You may want to go through the Post-Evaluation Survey first to assess your/their learning process.


Instructor’s note: If you are using an interactive methodology like Mentimeter, you may also want to engage participants directly by asking them to share their main takeaway from this module.

You can then summarize their comments by reading/sharing the Summary box below.

Self-study: What did you take away from this module? Write down your lessons learned in the box below. You can also add questions which might not be clear yet or thoughts. Read through the Summary box then and compare with your answers.

Summary of Module Two:

Box 7. Title here

Box 6. Module Two - Main takeaways


Post-Learning Quiz:

TIME: 10 min

Instructor’s note: You may want to pick out three or four questions from the list below.

Post-Learning Quiz Mentimer: https://www.mentimeter.com/s/193d671a69970c53c0439ff207e0946f/c47931218868/edit

Self-study: Read through the questions and answer them on the template provided in the Appendix. You can then review your results in the Appendix.

Box 8. Post-evaluation questions

1. What are URLs?

2. Into which spaces (with a socially-constructed identity) is the urban-rural continuum usually divided?

Answer: Urban – peri- urban – small and intermediate cities - rural

3. How can territorial approaches support development?

4. Can you name two Guiding Principles and explain their concept?

5. Can you indicate the relation/complementarity of the Guiding Principles to the Framework for Action?

6. Can you name one section/action of the Framework for Action and illustrate its application with an example/case study?

Post-evaluation exercises:

1 Can you identify the following spaces with a socially-constructed identity that are part of the urban-rural continuum within your own context? Select a territory between an urban and a rural area and define spaces in between them according to their characteristics, following these categories:

• rural area or small town/village

• intermediate city (less than 200,000 inhabitants)

• planned peri-urban area7 (e.g. residential estate)

7 Definition of peri-urban by Merriam-Webster: “relating to an area immediately surrounding a

city or town”. This could include, for instance, low-density residential estates. “The term ‘peri-

urban area’, cannot be easily defined or delimited through unambiguous criteria. It is a name

https://www.mentimeter.com/s/193d671a69970c53c0439ff207e0946f/c47931218868/edithttps://www.mentimeter.com/s/193d671a69970c53c0439ff207e0946f/c47931218868/edit


• informal settlement or “slum”

• large/major urban area (e.g. Nairobi Central Business District)

• Not applicable or Don’t know

Which “linkage” between two areas are you assessing?

Definition: A “linkage” between two geographic areas, for instance between Limuru Town and Nairobi, refers to the physical connection between them (for instance roads) but also to the amount of people, goods, services and information that are exchanged between them (for instance through population commuting to work and back from there area of residence on a daily basis). This connection or ”linkage” can be a powerful instrument to provide access to different services to populations living in the different settlements (e.g. towns or villages) along the linked territory.

Example: Linkage between: Linkage between Limuru Town and Nairobi, Kenya.

Sequence of places in between: Limuru – Riara Ridge – Banana Hill – Ruaka – Nairobi,

distance by road: 35km

Linkage between: ___________________________and________________Sequence of places (List all places in between in geographical order): ____________________________________________________________ Distance by road from one end to the other: _____km.

given to the grey area which is neither entirely urban nor purely rural in the traditional sense; it is

at most the partly urbanised rural area. “ - OECD (1979), Organisation for Economic Co-operation

and Development, “Agriculture in the Planning and Management of Peri-urban Areas, Volume

1: Synthesis”, Paris, 94 p.


Places along the

“linkage” (add

more lines if

necessary)

Rural Area or

small town/

village

Intermediate

city (less

than 200,000

inhabitants)

Planned

peri-urban

area (e.g.

residential

estate)

Informal

settlement or

“slum”

Large/major

urban area

(E.g. Nairobi

Central

Business

District)

Not

applicable or

Don’t know

E.g. Limuru

E.g. Riara Ridge

E.g.Banana Hill

E.g.Ruaka

E.g.Nairobi

Characteristics of the places along the “linkage” (mark with an X):

2. Can you select one sustainability challenge in your local context and explain how this challenge/goal has a spatial component? How does the challenge affect the different spaces within the urban-rural continuum differently? You can use the spaces identified in the previous exercise as a reference to localize the challenge to your context.

Challenge:

.....................................................................................................................

Spatial dimension of the challenge:

.....................................................................................................................

.....................................................................................................................

How does this challenge affect the spaces of the urban-rural continuum differently?

.....................................................................................................................

.....................................................................................................................

List of tools and resources recommended for Module Two:

Tools:

• URL-GP Publication

Resources:

• Implementing the New Urban Agenda by Strengthening URLs Publication

• URL Compendium of Case Studies


MODULE OVERVIEW:

Module Three outlines the actors and roles involved in applying the Guiding Principles. It emphasizes on how different actors can work together to strengthen Urban-Rural Linkages.

Furthermore, the module introduces the general capacities of stakeholders necessary to implement the Guiding Principles.

Learning Objectives:

• Understand which actors should apply the URL-GP

• Understand how different actors should work together to apply the URL-GP

• Learn how to conduct a Stakeholder Participation Assessment

• Learn how to conduct a URL capacity assessment

Key reading for participants

Recommended:

• UN-Habitat (2018) Implementing the New Urban Agenda by Strengthening Urban-Rural Linkages

• UN-Habitat (2018) Urban-Rural Linkages: Guiding Principles and Framework for Action (2019), Introduction (p. 1-4)

• Report: Regional Awareness Workshop on Integrating Urban-Rural Linkages in Policies and Strategies (2018), https://urbanrurallinkages.files.wordpress.com/2018/10/report-raw_final_101012018.pdf

• Report: Expert Group Meeting on the Guiding Principles for Urban-Rural Linkages in La Paz, Bolivia (2018), https://urbanrurallinkages.files.wordpress.com/2018/07/report-egm_06072018_low-resolution.pdf

Pre-Learning Quiz

TIME: 15 mins.

With this pre-evaluation exercise you can assess the level of understanding of the URL-GP of the participants and customize the learning process:

Instructors note: You may want to use the template attached in the appendix for individual assessment or use the Mentimeter presentation

Module Three: Who should apply the URL-GP

PRE-EVALUATION of

learning objectives

10 mins

Group discussion:

URL actors and roles

15 mins

URL Stakeholder

identification

15 mins

Lecture: Working

together on URL

20 mins

Exercise: Setting

up your own “URL

Team”

30min

General capacities

relevant for URL

stakeholders

URL capacity

assessment

Questions and

feedback

5 mins

TOTAL TIME

1h 40 mins

– 3h 50 mins

https://urbanrurallinkages.files.wordpress.com/2018/10/report-raw_final_101012018.pdfhttps://urbanrurallinkages.files.wordpress.com/2018/10/report-raw_final_101012018.pdfhttps://urbanrurallinkages.files.wordpress.com/2018/07/report-egm_06072018_low-resolution.pdfhttps://urbanrurallinkages.files.wordpress.com/2018/07/report-egm_06072018_low-resolution.pdf


provided, to do an interactive group-assessment. Note that you should check availability of Smartphones amongst participants and Internet/WLAN network in the event venue beforehand if you plan on using Mentimeter.

Pre-Learning Quiz Mentimeter:

https://www.mentimeter.com/s/0519c53893d257fe4ea8f927f475e975/16537555b47b/edit

Self-study: Fill out the template attached in the appendix for individual assessment. You can review your answers in the appendix.

Box 9. Module Three: Pre-evaluation questions

Lecture: Identifying URL stakeholders, understanding participatory engagement and URL roles

TIME: 20-30 min

You can start the group discussion by mentioning some of the learning objectives of this module:

• Understand which actors should apply the URL-GP

• Understand how different actors should work together to apply the URL-GP

URL Stakeholders

You can start the conversation by indicating that the URL-GP are conceived around the idea that a variety of stakeholders can act as “implementers” and “enablers” of the Guiding Principles in their own areas of work. Furthermore, the URL-GP indicate that institutional partners and stakeholders from different areas of expertise are essential to validate and rapidly advance implementation of the URL-GP.

You can ask participants: Who all should be involved in strengthening URLs?

Instructor’s note: The facilitator should be prepared for a long and possibly distracting discussion at this point or in any other participatory questions. The facilitator’s role is to keep time and ensure that discussions are productive and support the learning experience.

https://www.mentimeter.com/s/0519c53893d257fe4ea8f927f475e975/16537555b47b/edithttps://www.mentimeter.com/s/0519c53893d257fe4ea8f927f475e975/16537555b47b/edit


At this point, you may want to stress the importance of including stakeholders of the rural domain as part of the conversation around urban-rural linkages. Traditionally, the debate over urbanization has excluded actors from rural areas from the discussion table. In decision-making concerning urban-rural linkages, rural stakeholders and process conveners which are closely linked to and/or come from rural and peri-urban areas and Small and Intermediate Cities (CIS) must be equally represented. More information on this issue can be found in this module under “Move beyond an exclusive urban focus.”

You might want to summarize their ideas by indicating that:

Urban-Rural Linkages: Guiding Principles and Framework for Action (2019), back cover

All stakeholders involved in sustainable development, urbanization, rural development, policy development, planning and integrated approaches to these issues will find important and useful information in the URL-GP.

You should note, however, that the term stakeholder is used in the broadest sense, meaning: “a person with an interest or concern in something”. In other words: someone who has something at stake.

This includes a wide range of actors across sectors, levels of governance and the urban-rural continuum, including citizens.

Instructor’s note: You may want to be aware and mention that, among civil society stakeholders, the preferred term is often “actors” instead of “stakeholders”. According to some CSOs, the term “stakeholder” has been influenced/dominated by private sector and denotes a sometimes superficial form of participation. For that reason, we suggest replacing “stakeholder” with “actor” if esteemed necessary to keep all participants satisfied.

The following is an example of a checklist used for mapping relevant stakeholders in including Urban-Rural Linkages in National Urban Policies. You may want to note that this example is non-exhaustive and has a stronger focus on national-level government authorities. The selection of relevant stakeholders largely depends on the specific challenge and on the instrument chosen. In this example, the instrument proposed to strengthen urban-rural linkages is a National Urban Policy.

Instructor’s note: You should note, however, that the Urban-Rural Linkages: Guiding Principles can guide and inform not only National Urban policies but National Rural policies as well as overall national, subnational and local policy, addressing regional inequalities and inequalities between rural and urban areas; and building sustainable economic and social transformation.


Detailed information on where the URL-GP can be applied can be found in Module 4.

For subnational, metropolitan or local level implementation of urban-rural linkages you should expect to include more actors working on those levels of governance.

[Use materials in development for Mozambique workshop, National level list and Subnational level list. And provide Stakeholder Assessment Checklists (Level of engagement and roles, P-I-M, Stakeholder Gap Matrix]

Stakeholders to consider during the process of developing a national urban policy that includes urban-rural linkages and an integrated territorial development approach (non-exhaustive list):

*Please note that ministries or departments may have different names in different

country contexts

National level ministries and other national level bodies and agencies

Office of President or leading ministry as chairman

Parliament (including key members or task forces focused on urban-rural linkages issues and urban development)

Ministry of Urban Development

Ministry of Rural Development

Ministry of Statistics or Central Statistics Office

Ministry for Land Use

Ministry of Agriculture, Irrigation and Livestock

Ministry of Territorial Planning/Development

Ministry of Local Government Authorities

Ministry of National Development Planning

Ministry of Finance

Ministry of Trade

Ministry of Investments

Ministry of Interior Affairs

Ministry of Transport

Ministry of Energy

Ministry of Water

Ministry of Environmental Affairs / Environmental Protection

Ministry of Economy

Ministry of Health


Ministry of Exploitation of Natural Resources, e.g. Mines and Petroleum

Ministry of Telecommunications

Ministry of Information and Culture

Ministry/Office for “National Standards”

Ministry responsible for women and youth

Ministry for indigenous people

Ministry for migration and IDP

National level service provision authorities

Regional and local level government authorities

Regional authorities such as county authorities, governorates, regions, provinces etc.

State agencies or other local level or regional public entities

Mayors or representatives of the capital city, metropolitan areas, regional hubs, trading and transit hubs, provincial centers and urban villages or other strategic human settlements

Associations of municipalities

Representatives of mayors’ associations

Local government authorities from peri-urban areas and small and intermediate cities

Rural government authorities

Traditional leaders and chiefs

Non-governmental stakeholders

Chambers of Commerce

Associations of planners, engineers and architects, or planning institutes or organizations

Universities and academia (all related disciplines e.g. agricultural development, urban and regional planning, governance and legislation, trade, economic development...)

Think tanks

Civil society organizations

Women and youth organizations

Farmers organizations

Small-holder farmers and persons working on food systems

Small-scale rural entrepreneurs

Labor organizations and unions

Trade organizations

Transport organizations


Environmental protection organizations

Associations for rural/urban development

Faith based groups

Human rights organizations

Indigenous Peoples

Private sector organizations

Private sector organizations representing main sectors of the economy in the local context including construction, agriculture, trade, investment, and tourism (e.g. banks and financial institutions, processing, real estate, production, mining, training, advisory services etc) and including micro-small and medium-sized enterprises

Development partners

• UN agencies (e.g. FAO, UN-Habitat, UNCRD, UNDP, UNEP, IFAD, WHO, WFP, UNIDO, UNISDR)

• World Bank

• African Development Bank

• European Union

• USAID, Department for International Cooperation (DFID United Kingdom), German Development Cooperation (GIZ), among others

• Cities Alliance

• ....

Participatory engagement:

After introducing the different actors that can be involved in the implementation of the urban-rural linkages-Guiding Principles, it is advisable to emphasize how those actors can and should work together. You can start by mentioning that three Guiding Principles make explicit reference on the relations between actors. These are:

Integrated Governance: “Strengthen governance mechanisms by incorporating urban-rural linkages into multi-sectoral, multi-level and multi-stakeholder governance.”

This principle emphasizes that effective governance across the urban-rural continuum must integrate sectors, levels of government, and include


stakeholders outside government. The key word defining stakeholder collaboration in this principle is “coherent”, meaning that the integration of governance mechanisms should be aligned with and build upon each other.

Balanced Partnership: “Foster partnerships, alliances and networks that link urban and rural actors and different sectors. Develop and harness capacities and skills across a wide range of stakeholders such as civil society, the private sector and academic institutions through inclusive and participatory processes, especially within the most marginalized groups and communities.”

This principle highlights two elements of stakeholder collaboration: the goal to establish and promote partnerships across a wide range of stakeholders as a way of operating, and the requirement that partnerships be balanced. The first step must be to clarify roles and responsibilities (sectors; level of government, etc.) to make the most of the opportunities URLs offer and ensure the coherence of policies and interventions which are agreed and can be acted upon. Furthermore, the relations between different actors should be based on and strive to achieve mutual equality. Capacity building and participatory and inclusive processes therefore should be intrinsic elements of any collaboration aimed at strengthening urban-rural linkages.

Participatory Engagement: “Ensure meaningful participation by people, local institutions and communities across the urban-rural continuum. Create spaces and mechanisms as needed to engage in political dialogue and planning processes”

This principle highlights that inclusion of different actors in the decision-making process should be done in a meaningful way. This implies, that, if not existing, the creation of spaces and mechanisms to ensure meaningful participation of people, local institutions and communities is a requirement.

Furthermore, in order to better understand how the URL-GP define participatory engagement, we recommend reading through and discussing the following definitions:

Whole of government approach (horizontal integration):

Government departments across a broad range of disciplines should be engaged simultaneously and in an integrated manner in issues concerning urban-rural linkages. This type of horizontal integration across departments is referred to as “whole of government approach”:

„The Whole of government approach is one in which public service agencies work across portfolio boundaries, formally and informally, to achieve a shared goal and an integrated government response to particular issues. It aims to achieve policy coherence in order to improve effectiveness and efficiency. This


approach is a response to departmentalism that focuses not only on policies but also on programme and project management.” (Source: WHA A68/17, footnote 28 , based on a definition of the Management Advisory Committee (Australian Government), 20049 ).

You can note that both the definition and the term “whole of government approach” vary among countries and communities of practice, as noted in Colgan, A., Kennedy, L.A. and Doherty, N. (2014) A Primer on implementing whole of government approaches. Dublin: Centre for Effective Services10. , which indicates:

[“whole of government approach”] terminology differs across countries. Terms used include ‘joined-up government’ (in Britain), ‘horizontal management/government’ (in Canada), ‘integrated government’ (in New Zealand) and ‘whole of government’ (in Australia). These terms have been described as ‘fashionable slogans’ rather than precise scientific concepts and they are often used interchangeably (Lægreid et al, 2013).

Vertical integration (across levels of governance):

Vertical integration refers to the integration of public service agencies working across different levels of government. This usually means collaboration across two or multiple levels, including national level, subnational level, metropolitan and/or local level government authorities.

Include stakeholders outside government (Multi-stakeholder engagement):

From civil society, nongovernmental and community-based organizations, private sector, international development organizations, etc.

Move beyond an exclusive urban focus:

At this point, you may want to stress the importance of including stakeholders of the rural domain as part of the conversation around urban-rural linkages. Traditionally, the debate over urbanization has excluded actors from rural areas from the discussion table. This might have been due to their limited political power (compared to larger cities) and to the belief that rural stakeholders might not be as relevant in addressing urbanization issues.

A territorial perspective on urbanization disqualifies these arguments. In decision-making concerning urban-rural linkages, rural stakeholders and process conveners which are closely linked to and/or come from rural and

8 http://apps.who.int/gb/ebwha/pdf_files/WHA68/A68_17-en.pdf

9 https://www.apsc.gov.au/sites/default/files/connectinggovernment.pdf

10 https://www.effectiveservices.org/assets/CES_Whole_of_Government_Approaches.pdf


Emphasis on vulnerable populations:

You should mention that the URL-GP have a strong focus on social inclusiveness, in order to make sure that no one across the urban-rural continuum is left behind. This means that stakeholders working on URL should have a strong emphasis on including vulnerable population groups in the decision-making process.

Urban-Rural Linkages: Guiding Principles and Framework for Action (2019), Glossary P. 44

Vulnerable populations also referred to as including at-risk or marginalized groups are population groups with a high vulnerability. Vulnerability is defined as “the degree to which a population, individual or organization is unable to anticipate, cope with, resist and recover from the impacts of disasters”. (Environmental health in emergencies and disasters: a practical guide. WHO, 200211 ).

11 https://www.who.int/water_sanitation_health/hygiene/emergencies/em2002intro.pdf Read

more at: https://www.who. int/environmental_health_emergencies/ vulnerable_groups/en/.

peri-urban areas and Small and Intermediate Cities (CIS) must be equally represented.

These actors can be:

• Local government authorities from peri-urban areas and small and intermediate cities

• Rural government authorities

• Traditional leaders and chiefs

• Indigenous Peoples

• Small-holder farmers and persons working on food systems

• Small-scale rural entrepreneurs

• Other

Box 10. Module Three: Inclusion of rural populations in Latin America. Case

Study/example from RIMISP

https://www.who.int/water_sanitation_health/hygiene/emergencies/em2002intro.pdfhttps://www.who. int/environmental_health_emergencies/ vulnerable_groups/en/.


Contributors to the Guiding Principles named women, Indigenous Peoples, children, youth, elders, slum dwellers, smallholders and the forcibly displaced, among others, as being at risk of being left behind. The degree of vulnerability or marginalization of these and other actors depends on historically and politically different contexts. Assessment of actors and sectors historically excluded and who need to be included is one of the first steps to realize in any truly participatory process.

These actors can be:

• Informal dwellers

• Urban-Rural migrants, IDPs, refugees

• Minorities

• Disabled

• Women, children, elderly

Instructor’s note: Where the urban-rural history is contentious, predatory or in either open or hidden conflict, there is no less need for social inclusion but the methods and means of doing this are different, requiring very careful selection of trusted conveners or facilitators who bring their constituencies along. This might mean that certain vulnerable populations may be better represented by Civil Society facilitators who can speak on their behalf.

Optional Exercise (Group activity): How inclusive are we?

• TIME: 10 min

• Instructors note: Participants are given a template/a Mentimeter with questions is presented which will help participants review their own level of inclusiveness in the training event. Afterwards, participants are encouraged to propose underrepresented stakeholders for future events. Categories: Vertical and horizontal integration, stakeholders outside government, overcoming the urban bias, inclusion of vulnerable populations.

Exercise: Stakeholder Analysis – URL Stakeholder Participation Assessment:

TIME: 45 minutes – 1 hour

After learning about which stakeholders are generally important for promoting urban-rural linkages, you may want to dive deeper into how a stakeholder analysis can be carried out to identify relevant stakeholders for a specific challenge.


Stakeholder identification is one component of a broader and deeper stakeholder analysis, sometimes also referred to as stakeholder mapping. You can read the following definition provided in the Stakeholder Mapping Guide by Conservation International:

Stakeholder analysis is a process of systematically listing and analyzing information to determine which groups have an interest in a project, which groups are typically included or excluded, whether each group is relevant to include, whether the groups support or oppose the project, or will the groups benefit or be harmed by it. The analysis also includes information on the concerns from various groups. (https://iwlearn.net/resolveuid/d20fc335-aa29-440b-ae14-f94f37321427)

At this point, you may want to go over a stakeholder mapping methodology. You can note that there are multiple methodologies available for stakeholder mapping, including this one by BSR™ (Business for Social Responsibility™)12 . Overall, the objectives/phases of the stakeholder analysis should cover:

1. Identifying: listing relevant groups, organizations, and people

2. Analyzing: understanding stakeholder perspectives and interests

3. Mapping: visualizing relationships to objectives and other stakeholders

4. Prioritizing: ranking stakeholder relevance and identifying issues

For this exercise you may want to use the methodology provided in the URL Stakeholder Participation Assessment:

You should note that this stakeholder participation assessment should be done considering a specific context (a place, meaning a country, state or metropolitan area) and its particular Urban-Rural Linkages Challenge. The Assessment is composed of five steps:

1. Stakeholder identification: What actors are involved in decision-making?

2. Roles: How are actors involved in decision-making?

3. Power-interest matrix: How should actors be involved?

4. Stakeholder matrix: Identify Stakeholder gaps.

5. Stakeholder Action Template: This template will help you synthesize actions needed to address the stakeholder participation gaps identified in the previous step.

12 https://www.bsr.org/reports/BSR_Stakeholder_Engagement_Stakeholder_Mapping.final.pdf

https://iwlearn.net/resolveuid/d20fc335-aa29-440b-ae14-f94f37321427)https://iwlearn.net/resolveuid/d20fc335-aa29-440b-ae14-f94f37321427)


Instructor’s note: For a large number of participants, we recommend breaking the group into pairs or small groups to ask questions about how stakeholders are present or not and complete each step indicated above. You can find all templates in the Appendix. After some time, you can bring the small groups back together and ask them to present their considerations to the group. If time allows it, you can discuss the results in the group and update the templates with a collective answer.

Group discussion: Setting up a URL Team – URL Stakeholder roles

TIME: X min

You can start by mentioning how the URL-GP and the FfA provide a mechanism to enable collaboration across levels of governance:

UN-Habitat (2018) Urban-Rural Linkages: Guiding Principles and Framework for Action (2019), Introduction (p. 1-4)

The Guiding Principles are to help address the complexity of aligning different levels of governance (national, territorial and local) while recognizing unique local contexts and multiple possibilities for implementation.

Addressing complex problems:

At this point, you may want to take a few minutes to delve into the issue of addressing complex problems. You can start by mentioning that there are three types of problems according to Glouberman and Zimmerman13 :

• Simple problems, that can be solved by using a linear problem-solving approach. E.g. Following a recipe.

• Complicated problems e.g. Sending a rocket to the moon

• Complex problems or wicked problems “Wicked issues can be defined as problems in which there is little or no…

Ø Agreement on the definition of the problem (owing to multiple values, perception, and perspectives)

Ø Clear solutions to the problem owing to the wide array of possible solutions and trade-offs associated with each

Ø Easily identified causes or authority due to the problem having multiple

13 Glouberman, S., & Zimmerman, B. (2002). Complicated and complex systems: What would

successful reform of medicare look like? Ottawa: Commission on the Future of Health Care in

Canada. Available from http://publications.gc.ca/collections/Collection/CP32-79-8-2002E.pdf


potential causes, jurisdictions, stakeholders and regulator or implications

Source: (Rittel & Webber 1973)

Two examples include tackling Climate Change or Raising a child (examples by Glouberman, S., & Zimmerman, B. . These problems require a different approach to problem-solving:

“Conklin (2007) goes on to state that Rittel and Webber’s (1973) conceptualization of [wicked] problems is one that cannot be arrived at using the traditional linear modes of problem solving and, in particular, arrived at in a way of re-incorporating the human dimension of problems back into problem solving approaches.14”

You can add that the challenges affecting the urban-rural continuum are complex problems. The Guiding Principles and Framework for Action are a framework to help stakeholders develop solutions for some of those complex problems.

In order to allow stakeholders to implement the Guiding Principles, the Framework for Action provides recommended actions. Derived from those actions are a series of roles for actors. These roles are intended to help different stakeholders work together:

Box 11. Module Three: URL Stakeholder roles

At this point, it is important to clarify which roles different stakeholder groups can play in the implementation of policies that foster URLs:

Governments:

Governments are one of the stakeholder groups with the largest potential to strengthen urban-rural linkages. This is due to their role in developing and executing policies on urban and rural development, among many other issues and capacities. Governments can and should act as conveners or initiators of decision-making processes on urban-rural linkages.

Each level of government is mandated with a different governance function. This might defer from country to country. In general terms, one could say that:

• National governments should provide the overall frameworks and coordination mechanism to ensure balanced territorial development across a country.

14 Glouberman, S., & Zimmerman, B. (2002). Complicated and complex systems: What would

successful reform of medicare look like? Ottawa: Commission on the Future of Health Care in

Canada. Available from http://publications.gc.ca/collections/Collection/CP32-79-8-2002E.pdf


• Subnational governments

• Local governments should play a key role in implementing policies and projects at a local level. They

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