Handbook of SUD strategies Chapter 6 - Monitoring

Introduction

Monitoring constitutes a fundamental pillar in the design and implementation of Sustainable Urban Development (SUD) stratiegies. This corresponds to the increased results-orientation of the European Structural and Investment Funds (ESIF), which advocates clear articulation of the specific objectives of programmes. A stronger focus on results should not be seen as a mere obligation, but rather as a main outcome of mounting evidence that results-oriented frameworks and proper monitoring have important advantages. More specifically, SUD strategy monitoring produces the following three benefits:

• It provides managing authorities (MAs) and urban authorities with timely information on progress, which allows for a quick identification of issues, and refocusing on strategic priorities when needed. In this sense, monitoring systems are crucial ‘early warning systems’.
• It supports the data needs of SUD strategy evaluation. In order to carry out SUD strategy evaluation, policy-makers, stakeholders and beneficiaries need information about the effectiveness of the strategy. Monitoring supplies evidence for this purpose.
• It strengthens transparency and legitimacy. On the one hand, monitoring systems can clarify and communicate the rationale of SUD and its results to policy practitioners, stakeholders and citizens. On the other, broad engagement with different organisations, groups and citizens in the design and implementation of monitoring processes raises awareness and strengthens the commitment of local communities to SUDs.

The long history of EU regional and urban policies suggests that MAs are already familiar with the design and implementation of monitoring systems and processes. However, SUD strategies are relatively new instruments and there are specific issues related to the development of their monitoring frameworks. SUD strategies take an integrated approach to urban development, and many, if not all strategies entail that different components of the strategy interact and reinforce each other in their working.

Fig 1 : SUD monitoring rationale. Source : Polivari 2015

 Thus, SUD strategy monitoring often requires multi-sector monitoring, while also taking into account the overall effect of the integrated approach. Furthermore, many strategies are intended to generate less tangible effects (e.g. increase social cohesion, strengthen community trust) that require special measurement methods. Moreover, SUD strategies are always part of a broader context, which may mean taking account of sustainability objectives that have been set at regional, national or supranational levels.

This chapter supports SUD strategy monitoring by reviewing its key concepts and methodologies, and by providing links to additional material and sources of support when relevant. It includes several practical examples that can serve as cases of good practice. The chapter is structured around three main sections that each focus on a specific component of SUD strategy monitoring and discuss one or two related challenges:

• monitoring framework; seeing how to put the key concepts of monitoring into practice, discussing ways to measure the effect of an integrated approach;
• data collection and management; discussing how to collect and manage data for interventions that are expected to have tangible effects, as well as for those that are expected to generate intangible effects;
• parallel objectives; discussing how monitoring of local objectives can be aligned to regional, national, or global sustainability agendas.

All sections conclude with recommendations regarding the design and operation of SUD strategy monitoring, based on lessons learned from the 2014-2020 programming period, and with a view to the 2021-2027 programming period.

Part 1 : Monitoring framework

There is a substantial range of support available to authorities involved in monitoring sustainable development, either specifically focused on SUD strategies under cohesion policy, or sustainable urban development in general.

The Directorate-General for Regional and Urban Policy (DG REGIO) of the European Commission (EC) provides methodological guidance on integrated sustainable urban development, specifically referring to the implementation of SUD strategies. As regards monitoring, the guidance summarises the requirements for the composition of the Monitoring Committee (MC), as well as the requirements for setting up a monitoring system (EC, 2016).

In addition, there is a specific EC guidance document available on monitoring and evaluation under the Cohesion Fund (CF) and European Regional and Development Fund (ERDF) for the 2014-2020 programming period. This document explains the key concepts surrounding monitoring and evaluation, and offers some practical points for implementation (EC, 2014).

Building on these documents, the key concepts around monitoring will be discussed in the following paragraphs, providing links to additional material when relevant. A shared understanding of the main concepts should form the basis of their practical application.

Part 2 : Data on tangible and intangible effects

Part 3 : Different levels of objectives