Professional Documents
Culture Documents
www.worldbank.org/pdt
2
Eco Cities
Ecological Cities as Economic Cities
Hiroaki Suzuki
Arish Dastur
Sebastian Moffatt
Nanae Yabuki
Hinako Maruyama
Eco2 Cities
2
Eco Cities
Ecological Cities as Economic Cities
Hiroaki Suzuki
Arish Dastur
Sebastian Moffatt
Nanae Yabuki
Hinako Maruyama
Washington, DC
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ISBN 978-0-8213-8046-8
eISBN 978-0-8213-8144-1
DOI 10.1596/978-0-8213-8046-8
Cataloging-in-Publication data for this title is available from the Library of Congress.
Foreword xv
Preface xvii
Acknowledgments xxiii
The Structure of This Book xxv
Abbreviations xxvii
Executive Summary 1
v
Chapter 5: A One-System Approach 61
The Core Elements of a One-System Approach
Stepping Stones for the One-System Approach
vi | CONTENTS
World Bank Group’s Financial Instruments and Multidonor Funds 329
Index 339
BOXES
Box 1.1 The City-Based Approach Is Bottom-Up 45
Box 1.2 Combining Forecasts and Backcasts to Achieve Resiliency 56
and Sustainability
Box 1.3 Combining Flows and Forms to Create a Transdisciplinary Platform 63
Box 1.4 Form and Flows 73
Box.1.5 Urban Land Pooling and Land Readjustment 84
Box 3.1 The Development Strategies of Stockholm 185
Box 3.2 The Measures in the CitySmart Program in Brisbane 214
Box 3.3 Examples of Grants and Rebates for Environmentally Sustainable 214
Home Projects in Brisbane
Box 3.4 Eight Goals Direct the Auckland Sustainability Framework 222
Box 3.5 Energy Planning in Mannheim 235
Box 3.6 Public Agencies with Significant Influence on Electricity 237
Production, Distribution, and Use, California
Box 3.7 An Extensive Solar Water Heating Program in Rizhao, China 241
Box 3.8 Improving Energy Efficiency, Reducing Energy Costs, and 246
Releasing Municipal Budgets
Box 3.9 The Effect of Distribution System Configuration on Energy 257
Consumption
Box 3.10 Conservation and Domestic Water Consumption, Canada 260
Box 3.11 Combined Water and Energy Activities in Water Supply 262
Management
Box 3.12 The Watergy Case Study in Fortaleza, Brazil 263
Box 3.13 The Four Pillars of Sustainable Urban Transportation Institutions 273
Box 3.14 Transit-Oriented Development 278
Box 3.15 Emission-Based Road Pricing in Milan, Italy 280
Box 3.16 Beijing: Travel Demand Management and the Legacy of 280
the Olympic Games
Box 3.17 Bus Rapid Transit 288
Box 3.18 Performance Metrics 301
Box 3.19 An Innovative Waste Collection Approach 303
Box 3.20 A Recycling Program Involving Citizens 303
Box 3.21 Waste Reduction through Stakeholder Engagement, Yokohama 305
Box 3.22 The Clean Development Mechanism and Waste Management 307
Box 3.23 Landfill Gas Capture and Use in Tianjin, China 308
Box 3.24 Using Various Climate Change Funds Simultaneously or 337
Sequentially
Box 3.25 Citywide Greenhouse Gas Emission Reduction and Carbon Finance 337
CONTENTS | vii
FIGURES
Figure 1.1 The Hammarby Model, Stockholm: An Example of Integrated 20
Planning and Management
Figure 1.2 Initial First-Phase Results of Hammarby Sjöstad according to 21
the Environmental Load Profile Life-Cycle Analysis Tool
Figure 1.3 The Integrated Transportation Network, 1974–95 and 2009 22
Figure 1.4 A Possible Government Role: Administering a National Eco2 Fund 48
to Support Participating Cities
Figure 1.5 The City’s Collaborative Working Group at Three Tiers: Corporate, 53
Municipal, and Regional
Figure 1.6 Aalborg Charter 58
Figure 1.7 The Load Curve of a District Heating System 65
Figure 1.8 Cascading Water Use 66
Figure 1.9 Cascading and Looping Water in Singapore 67
Figure 1.10 Looping Resources 67
Figure 1.11 The Cluster Management of Waste 68
Figure 1.12 Distributed Systems 70
Figure 1.13 Uses of a Pedestrian Pathway 71
Figure 1.14 A Distributed System for Wastewater Treatment 71
Figure 1.15 Integrated Materials and Waste Management 72
Figure 1.16 Innovative Energy Infrastructure 72
Figure 1.17 Integrated Storm Water Management 72
Figure 1.18 Traditional Dwelling Supply Systems 72
Figure 1.19 Combined Trenching for Infrastructure Systems 73
Figure 1.20 A Broad View of the City Center of Houston 74
Figure 1.21 Urban Density and Transport-Related Energy Consumption 75
Figure 1.22 A Different Paradigm for Urban Design 76
Figure 1.23 Integrating the Benefits of Natural Systems in Communities 77
Figure 1.24 The Multiple Uses of a Public School 77
Figure 1.25 Time Rings 79
Figure 1.26 Shantigram Township before the Land Readjustment Scheme, 85
Gujarat, India
Figure 1.27 Shantigram Township: Final Serviced Land Parcels for Sale, 86
Gujarat, India
Figure 1.28 Summary of Resource Flows through London, 2000 93
Figure 1.29 Targeted Indicator Type, by Level of City Personnel 97
Figure 1.30 An Inflexible Energy System 99
Figure 1.31 An Adaptable Energy System 99
Figure 1.32 Financial Instruments 105
Figure 2.1 The Collaborative Model 112
Figure 2.2 The Collaborative Working Group 113
Figure 2.3 The Core Team and Sector Advisers 114
Figure 2.4 A Long-Term Planning Framework 115
Figure 2.5 Catalyst Projects 118
Figure 2.6 Design Workshop: Systems Design Charrette 119
Figure 2.7 A Regional Design Charrette 121
viii | CONTENTS
Figure 2.8 A Sankey Diagram 124
Figure 2.9 An Example of a Meta Diagram 125
Figure 2.10 Baseline Water Flows for Irvine, California 126
Figure 2.11 An Example of a Countrywide Meta Diagram 127
Figure 2.12 Meta Diagram Patterns: Physical Flows 127
Figure 2.13 Meta Diagram for Jinze, Shanghai: The Current Energy System 128
Figure 2.14 Meta Diagram for Jinze, Shanghai: An Advanced System 128
Figure 2.15 A Schematic for a Downtown Neighborhood 129
Figure 2.16 Meta Diagrams on Energy for a Proposed New Town 130
Figure 2.17 Annual Energy Use as an Indicator in Squamish, Canada 131
Figure 2.18 Approaches to the Development of Meta Diagrams 131
Figure 2.19 Auditing Reference Buildings to Create a Meta Diagram 132
Figure 2.20 Sample Universal Flow Matrix for Water 135
Figure 2.21 Layering Data 136
Figure 2.22 Overlay Mapping 137
Figure 2.23 An Example of an Overlay Map Used for Risk Assessment 138
Figure 2.24 An Example of an Overlay Map of Renewable Energy Sources 139
Figure 2.25 Community Viz 140
Figure 2.26 The Life Cycle of a Building 144
Figure 2.27 Baseline Low-Density Scenario Developed Using a Mask 147
Figure 2.28 Baseline Scenario: Initial Capital Costs 148
Figure 2.29 Baseline Scenario: Annual Operating Costs per Unit 149
Figure 2.30 Baseline Scenario: Graphic Representation of Initial Capital Costs 149
and Annual Operating Costs per Unit
Figure 2.31 Baseline Scenario: Representation of True Life-Cycle Costs, 149
Including Replacement
Figure 2.32 Baseline Scenario: Graphic Representation of True Life-Cycle Costs 150
Figure 2.33 Baseline Scenario: Estimate of Taxes, User Fees, and Initial 150
Development Cost Charges
Figure 2.34 Sustainable Neighborhood Scenario: Initial Capital Costs per Unit 151
Figure 2.35 Sustainable Neighborhood Scenario: Annual Operating Costs per Unit 151
Figure 2.36 Sustainable Neighborhood Scenario: Graphic Representation of 151
Initial Capital Costs and Annual Operating Costs per Unit
Figure 2.37 Sustainable Neighborhood Scenario: Representation of 152
True Life-Cycle Costs, Including Replacement
Figure 2.38 Sustainable Neighborhood Scenario: Graphic Representation of 152
True Life-Cycle Costs
Figure 2.39 Sustainable Neighborhood Scenario: Estimate of Taxes, User Fees, 152
and Initial Development Cost Charges
Figure 2.40 Comparison of Baseline and Sustainable Neighborhood Scenarios: 153
Initial Capital Costs
Figure 2.41 Comparison of Baseline and Sustainable Neighborhood Scenarios: 153
Annual Operating Costs
Figure 2.42 Comparison of Baseline and Sustainable Neighborhood Scenarios: 153
Annual Municipal Costs and Necessary Revenues over 75 Years
CONTENTS | ix
Figure 2.43 Comparison of Baseline and Sustainable Neighborhood Scenarios: 154
Annual Life-Cycle Costs per Household
Figure 2.44 RETScreen Software 155
Figure 2.45 An Example of a RETScreen Financial Summary 156
Figure 2.46 An Example of a RETScreen Financial Summary Visual 157
Figure 2.47 The Environmental Load Profile 158
Figure 2.48 ELP-Related Achievements in Hammarby Sjöstad 159
Figure 2.49 Opportunities to Reduce Environmental Impacts 160
Figure 2.50 Template for an Influence Diagram 163
Figure 3.1 Curitiba Cityscape 169
Figure 3.2 Policy Integration in Curitiba 170
Figure 3.3 Urban Growth Axes in Curitiba 171
Figure 3.4 Density of Curitiba, 2004 171
Figure 3.5 Zoning in Curitiba, 2000 171
Figure 3.6 Evolution of the Integrated Bus Network in Curitiba, 172
1974–95 and 2009
Figure 3.7 The Trinary Road System in Curitiba 172
Figure 3.8 Bi-articulated BRT Bus and Bus Station in Curitiba 174
Figure 3.9 Color-Coded Buses in Curitiba 174
Figure 3.10 Barigüi Park, Curitiba 175
Figure 3.11 Slums in Flood-Prone Areas in Curitiba 175
Figure 3.12 The Transfer of Development Rights for Environmental 176
Preservation in Curitiba
Figure 3.13 Curitiba’s Waste Program 177
Figure 3.14 Illegal Occupancy in Curitiba 178
Figure 3.15 Social Housing in Curitiba 179
Figure 3.16 The Transfer of Development Rights for Social Housing in Curitiba 179
Figure 3.17 Pedestrian Streets in the Center of Curitiba 179
Figure 3.18 The Transfer of Development Rights for Heritage Preservation 180
in Curitiba
Figure 3.19 The Green Line 180
Figure 3.20 Stockholm Cityscape 183
Figure 3.21 The Hammarby Model for Stockholm 189
Figure 3.22 Monitoring Major Reductions in Environmental Loads, 190
Hammarby Sjöstad Stockholm
Figure 3.23 Local Investment Subsidy Program Funding across Types of 191
Projects in Sweden
Figure 3.24 Stockholm Royal Seaport: Vision of a New City District 192
Figure 3.25 Singapore Cityscape 195
Figure 3.26 A Green Area in Singapore 197
Figure 3.27 A Closed Water Loop in Singapore 199
Figure 3.28 The Yokohama Waterfront 205
Figure 3.29 Public Awareness Campaigns for Waste Reduction and Separation 207
in Yokohama
Figure 3.30 Waste Reduction in Yokohama, Fiscal Years 2001–07 208
Figure 3.31 The Waste Flow in Yokohama, Fiscal Year 2007 208
Figure 3.32 Auckland Harbor Viewed from the East 208
x | CONTENTS
Figure 3.33 The START Logo 220
Figure 3.34 Strategic Planning among Many Stakeholders at a Three-Day 221
Regional Charrette, New Zealand
Figure 3.35 The Auckland Sustainability Framework 223
Figure 3.36 A Stylized Framework for Urban Energy Planning and Management 230
Figure 3.37 Urban Energy Supply Sources and Systems: A Stylized Sketch 234
Figure 3.38 New York City: Key Stakeholders in Electricity Supply 238
and Consumption
Figure 3.39 Urban Density and Transportation-Related Energy Consumption 247
Figure 3.40 The Input-Output Framework in the Water Sector 252
Figure 3.41 The Institutional Setup in the Water Sector 255
Figure 3.42 Schematic Diagram of a Water System 256
Figure 3.43 Area at Risk If There Were a 0.5-Meter Rise in Sea Level in Asia 258
Figure 3.44 Changes in the Annual Mean Daily Precipitation Expected by 2100 258
Figure 3.45 The Stakeholder Dynamics and Accountability Triangle 264
Figure 3.46 Savings in the Supply of Water 264
Figure 3.47 The Input-Output Framework of Transportation Interventions 268
Figure 3.48 Average New Vehicle Fuel Economy Standards 271
Figure 3.49 The Structure of the Integrated Public Transportation Network 276
in Curitiba, Brazil
Figure 3.50 A Locality in the State of Colorado 277
Figure 3.51 A Pedestrian-Friendly Street in Curitiba, Brazil 279
Figure 3.52 An Example of Microdesign and Walking Isochrones 279
Figure 3.53 The Benefits under Speed Conditions of Select Highway 284
Applications of Intelligent Transportation Systems
Figure 3.54 Classification of Intelligent Transportation System Market Packages 284
Figure 3.55 Elements of Utility in Models for Choosing a Transportation Mode 289
Figure 3.56 Curitiba: Terminal Carmo, Adjacent Shops, and Citizenship Street 289
Figure 3.57 The Amount of Roadway Used by the Same Passengers 291
Traveling by Car, Bicycle, or Bus
Figure 3.58 The Input-Output Framework of a Waste Management System 296
Figure 3.59 Waste Hierarchy 298
Figure 3.60 Waste Sorting Plant and Windrow Composting Operation, Cairo 304
Figure 3.61 A Compactor Operating on a Landfill 304
Figure 3.62 Central Electricity Generation Facility and Flare for Landfill Gas, 304
Tianjin, China
Figure 3.63 Spatial Structures and Trip Patterns 313
Figure 3.64 Parking Space as Real Estate at Marina Towers, Chicago 315
Figure 3.65 Car Space Requirements and Available Space Densities 315
Figure 3.66 A Three-Dimensional Representation of the Spatial Distribution of 317
Population, Gauteng and Metropolitan Jakarta, Indonesia, 2001
Figure 3.67 The Profile of Built-Up Areas in 12 Large Metropolises 320
Figure 3.68 The Affordability of the Minimum Plot Size in Suburban Areas, 323
Addis Ababa
Figure 3.69 Sharing Larger Plots among Lower-Income Households, 325
in Sebokeng, Gauteng, South Africa
CONTENTS | xi
MAPS
Map 3.1 Location of Curitiba 170
Map 3.2 Location of Stockholm 184
Map 3.3 The Inner City of Stockholm and Adjacent Development Areas 186
Map 3.4 Master Plan of Hammarby Sjöstad, Stockholm 187
Map 3.5 Location of Singapore 196
Map 3.6 Location of Yokohama 206
Map 3.7 Location of Brisbane 214
Map 3.8 Location of Auckland 219
Map 3.9 Singapore Metro Network: Centered on Expansion in the Central 321
Business District
TABLES
Table 1.1 The Eco2 Cities: Principles and Pathways 39
Table 1.2 Impacts of Government Actions on Land Markets, the Size of 82
the Informal Sector, and the Spatial Structure of Cities
Table 1.3 A Design Assessment Matrix 94
Table 1.4 Sample Indicators in the Four Capitals Approach 96
Table 2.1 A Policy Matrix 120
Table 2.2 Sample Forms for the Collection of Standardized Data on 134
Water Flows
Table 2.3 City of Fort St. John: Comparative Statistics for Two Scenarios 147
Table 3.1 The Time and Fuel Losses Caused by Congestion 173
Table 3.2 Water Tariffs in Singapore 200
Table 3.3 Water Consumption and Water Bills per Household, 1995, 201
2000, and 2004
Table 3.4 The Power of Stakeholder Engagement in Yokohama, Fiscal Years 206
2001–07
Table 3.5 Waste in Yokohama, Fiscal Years 2001–07 207
Table 3.6 CO2 Reduction through Waste Reduction, Fiscal Years 2001–07 209
Table 3.7 Greenhouse Gas Emissions and Electricity Use by the Brisbane 215
City Council, Fiscal Years 2005–08
Table 3.8 Energy Consumption in Cities: Main Sectors and Clusters 231
Table 3.9 Energy Consumption in Cities: Key End Use Activities and 232
Energy Types
Table 3.10 Energy Policies and Regulations and Links to Cities 236
Table 3.11 The Indicative Economics of Sustainable Energy Options 240
Table 3.12 Sustainable Urban Energy Indicators and Benchmarks: 242
Preliminary Proposal
Table 3.13 Typical Barriers to Public Sector Sustainable Energy Investments 243
Table 3.14 A Comparative Economic Analysis of Selected Streetlighting Systems 245
Table 3.15 Water Sector Management Systems 253
Table 3.16 The Policy, Legislative, and Regulatory Framework Affecting 254
the Water Sector
Table 3.17 The Typical Objectives or Desired Outputs of Transport Interventions 269
xii | CONTENTS
Table 3.18 Urban Transportation Outcomes in Selected Cities 269
Table 3.19 Policies, Legislation, and Regulations Affecting the 270
Transportation Sector
Table 3.20 Institutional Functions and Jurisdictions in Transportation 272
Table 3.21 The Framework of Transportation Interventions 274
Table 3.22 Basic and Advanced Transportation Interventions 274
Table 3.23 Type of Development and the Implications for Transportation 282
Table 3.24 Mobility Infrastructure Hierarchy 282
Table 3.25 Elements of a Public Transportation Network 283
Table 3.26 Summary of Select Vehicle and Fuel Interventions 285
Table 3.27 CO2 Emissions from a Range of Vehicle Types 286
Table 3.28 Basic and Advanced Stakeholder Interests 286
Table 3.29 Economic and Financial Aspects 287
Table 3.30 Summary of Cross-Sector Integration Opportunities 292
Table 3.31 Waste Generation Rates 297
Table 3.32 The Composition of Waste by the Waste Producer’s Income 297
Table 3.33 The Impact of Government on Land Markets, the Informal Sector, 318
and the Spatial Structure of Cities
Table 3.34 World Bank IBRD Loans/IDA Credits: Specific Investment 330
Loans
Table 3.35 World Bank IBRD Loans/IDA Credits: Subnational Development 330
Policy Lending (DPL)
Table 3.36 World Bank Group Financing: Joint World Bank–IFC 331
Subnational Finance
Table 3.37 World Bank Group Financing: IFC Financing and Services 332
Table 3.38 World Bank Group Financing: MIGA Guarantees 332
Table 3.39 Multidonor Funds—Climate Investment: 333
Clean Technology Fund (CTF)
Table 3.40 Multidonor Funds—Climate Investment: 334
Strategic Climate Fund (SCF)
Table 3.41 Multidonor Funds—Global Environment Facility (GEF) 335
Table 3.42 Market-Based Instruments: Carbon Finance Carbon 336
Partnership Facility (CPF)
CONTENTS | xiii
Foreword
U
rbanization in developing countries is The Eco2 Cities Initiative appears at a criti-
a defining feature of the 21st century. cal historic juncture in relation to this chal-
About 90 percent of global urban lenge and opportunity. This book, which
growth now takes place in developing coun- marks the launch of the Eco2 Cities Initiative,
tries, and, between 2000 and 2030, the entire sends a positive message. The knowledge and
built-up urban area in developing countries is expertise to resolve these challenges exist,
projected to triple. Urbanization has enabled and forward-thinking cities in developed and
economic growth and innovation across all re- developing countries have already applied
gions, currently accounting for three-quarters this knowledge to make the most of the op-
of global economic production. At the same portunities. Many cities have shown that cost
time, urbanization has also contributed to en- is not a major barrier to accomplishing urban
vironmental and socioeconomic challenges, sustainability.
including climate change, pollution, conges- The Eco2 Cities Initiative is an integral part
tion, and the rapid growth of slums. of the new World Bank Urban Strategy that
Global urban expansion poses a fundamen- was launched in Singapore in November 2009.
tal challenge and opportunity for cities, na- The Eco2 Cities Initiative is also complemen-
tions, and the international development tary to the ongoing efforts the World Bank and
community. It sets forth before us a once-in-a- its development partners have undertaken in
lifetime opportunity to plan, develop, build, sustainable development and climate change.
and manage cities that are simultaneously Cities are now on the front line of the man-
more ecologically and economically sustain- agement of change and are playing a leading
able. We have a short time horizon within role in the global development agenda. It is
which to affect the trajectory of urbanization only through cities that the challenges of pov-
in a lasting and powerful way. The decisions erty reduction, economic growth, environ-
we make together today can lock in systemic mental sustainability, and climate change may
benefits for current and future generations. be addressed together. Sustainable city plan-
xv
ning, development, and management can unite able cities to make the most of their opportuni-
these objectives and link them to activities at ties in effective, creative, and holistic ways,
the local, regional, national, and global levels. thereby ensuring a more meaningful and sus-
We believe the Eco2 Cities Initiative will en- tainable future.
xvi | FOREWORD
Preface
T
his book provides an overview of the environment, while improving the overall
World Bank’s Eco2 Cities: Ecological well-being of their citizens and the local econ-
Cities as Economic Cities Initiative. omy. Ecological cities also learn from and in-
The objective of the Eco2 Cities Initiative is corporate management and design solutions
to help cities in developing countries achieve that arise from the efficient and self-organizing
a greater degree of ecological and economic strategies used by ecosystems.
sustainability.
What Do We Mean by
What Do We Mean by Economic Cities?
Ecological Cities?
Economic cities create value and opportuni-
Ecological cities enhance the well-being of ties for citizens, businesses, and society by ef-
citizens and society through integrated urban ficiently using the tangible and intangible
planning and management that harness the assets of cities and enabling productive, inclu-
benefits of ecological systems and protect and sive, and sustainable economic activity.
nurture these assets for future generations. Often, when people talk about economic
Ecological cities strive to function harmo- cities, they are referring to a narrower defini-
niously with natural systems and value their tion of productive cities that is driven by a sin-
own ecological assets, as well as the regional gular emphasis placed on the indicator of GDP.
and global ecosystems on which we all depend. While productivity is certainly an attribute of
Through their leadership, planning, policies, economic cities, it is not the only attribute, and
regulations, institutional measures, strategic the short-term and excessive pursuit of pro-
collaborations, urban design, and holistic long- ductivity often displaces fundamental social
term investment strategies, they drastically and cultural considerations and may under-
reduce the net damage to the local and global mine longer-term economic resilience. In
xvii
some cases, an overemphasis on productivity How Does the Eco² Cities
overshadows our basic value systems and ex- Initiative Work?
poses us to substantial and systemic risk, as
evidenced in the causes and consequences of The World Bank’s Eco2 Cities Initiative is a
the current global economic crisis. We propose broad platform that provides practical, scal-
a more balanced notion of economic cities able, analytical, and operational support to
whereby the emphasis falls on sustainable, in- cities in developing countries so they may har-
novative, inclusive, and resilient economic ac- ness the benefits of ecological and economic
tivity within the context of a larger cultural sustainability.
and value system. The publication of this book marks the com-
pletion of the first phase of the initiative: the
development of the analytical and operational
So What Do We Mean by framework. This framework may be applied by
an Eco² City? cities in developing countries to work system-
atically toward the positive results we have
As the name implies, an Eco2 city builds on the outlined earlier and throughout the book. As a
synergy and interdependence of ecological sus- framework, it provides a point of departure and
tainability and economic sustainability and the needs to be customized to the particular con-
fundamental ability of these to reinforce and text of each city.
strengthen each other in the urban context. Following careful assessments of cities that
Innovative cities have demonstrated that, have benefited tremendously by undertaking
supported by the appropriate strategic approach, this sort of approach and also following de-
they are able greatly to enhance their resource tailed examinations of the major challenges
efficiency by realizing the same value from a that have prevented most other cities from ac-
much smaller and renewable resource base, complishing similar achievements, the frame-
while decreasing harmful pollution and unnec- work has been structured around four key
essary waste. By achieving this, they improve the principles that have been found to be integral
quality of the lives of their citizens, enhance to lasting success. These principles are the
their economic competitiveness and resilience, foundation upon which the initiative is built.
strengthen their fiscal capacity, provide signifi- They are (1) a city-based approach enabling lo-
cant benefits to the poor, and create an enduring cal governments to lead a development process
culture of sustainability. Urban sustainability of that takes into account their specific circum-
this kind is a powerful and enduring investment stances, including their local ecology; (2) an ex-
that will pay compounding dividends. In a rap- panded platform for collaborative design and
idly paced and uncertain global economy, such decision making that accomplishes sustained
cities are most likely to survive shocks, attract synergy by coordinating and aligning the ac-
businesses, manage costs, and prosper. tions of key stakeholders; (3) a one-system ap-
It is for the purpose of enabling cities in de- proach that enables cities to realize the benefits
veloping countries to realize this value and of integration by planning, designing, and man-
take on a more rewarding and sustainable aging the whole urban system; and (4) an in-
growth trajectory that the Eco2 Cities Initia- vestment framework that values sustainability
tive has been developed. and resiliency by incorporating and accounting
xviii | PREFACE
for life-cycle analysis, the value of all capital term and narrow accounting frameworks for
assets (manufactured, natural, human, and so- decision making; the challenges of political
cial), and a broader scope for risk assessment economy, governance, and individual political
in decision making. agendas; locked-in relations among networks
A set of core elements has been derived of public and private institutions and subopti-
through these principles. Each city may trans- mal technological systems and operating sys-
form the core elements into a series of concrete tems; misconceptions and misinformation
action items or stepping stones that should about the true, complete, and long-term costs
take into account local conditions and follow a and benefits; and a general human inertia that
logical sequence. Together, these stepping is resistant to change.
stones enable a city to develop its own unique The list is daunting, but these challenges are
action plan and sustainability pathway. precisely why a more systematic approach such
In this context, the ideal situation arises as Eco2 is needed. Clearly, taking on all the chal-
when a city adopts the four key principles, ap- lenges at the same time will not be possible for
plies the analytical and operational framework most cities, and they will need to adopt an in-
to its particular context, and, by doing so, de- cremental, phased approach. Often, a multisec-
velops and begins to implement its own sus- toral approach will need to be crafted in stages
tainability pathway. by building upon a sectoral intervention. Cities
Cities may begin incrementally by engaging will need to be creative in how they navigate
in capacity building and data management and their transformations.
by initially targeting their most critical priori- It is reassuring to note that many cities, in-
ties through the development and implemen- cluding those in developing countries, have
tation of a catalyst project. Unlike stand-alone grappled with similar issues and managed to
projects in resource efficiency, a catalyst proj- overcome them over time through strategic, in-
ect is distinguished by an explicit objective and cremental, and purposefully chosen interven-
ability—beyond the immediate project scope tions. It is only by considering these challenges,
and objectives—to drive the city forward on its together with the valuable ground-level lessons
sustainability pathway by catalyzing the pro- from best practice cities, that we have framed
cess of change. our strategic response.
It is important to understand the many chal- The Eco2 Cities Initiative builds on a rich and
lenges that cities will face in trying to adopt a diverse legacy and seeks to reinforce successful
more well integrated, long-term approach. concepts of city building and urban manage-
They include technical, administrative, and fi- ment found in every region of the world. In
nancial capacity constraints, coupled with the many instances, ancient cities and settlements
chronic problems faced by city management; in Africa, Asia, Europe, the Middle East, and
institutional barriers ranging from the frag- South America were characterized by a strong
mentation of responsibilities and incentives understanding of and respect for nature. The
across a wide a range of stakeholders to short- industrial revolution of the 19th century made
PREFACE | xix
possible a great expansion in urban areas and a the complex, multipurpose features of natural
fabulous increase in material wealth, but there ecologies. Eco2 refers not only to a fusion of
were many negative consequences for the en- economic and ecological strategies, but to a
vironment and the quality of life. It triggered step forward in the long path toward a com-
the birth of modern urban planning. The ideas plete and lasting approach to sustainable de-
of Ebenezer Howard and Patrick Geddes in the velopment. It is an evolving concept, and we
1890s represented attempts to define how rap- hope to collaborate with cities around the
idly growing cities might achieve greater har- world for ideas and perspectives on ways to
mony with surrounding regional ecologies and improve and deepen this concept.
improve social conditions at the same time.
Howard’s Garden City solution is perhaps the
most enduring planning concept of the 20th How Will the Eco2 Cities Initiative
century. Since then, there have been many pio- Evolve?
neers across the world responsible for various
movements pertaining to this theme: regional The implementation phase of the Eco2 Cities
planning; new towns; greenbelt cities; design Initiative has begun with the release of this
with nature; ecological planning; the new ur- book. The Initiative will focus on the applica-
banism; green infrastructure; and, most recent- tion of the framework in specific pilot cities and
ly, the shift toward Local Agenda 21, triple the creation of a community of practice en-
bottom-line full-cost accounting, and low car- abling practitioners at the city, country, region-
bon cities. ICLEI–Local Governments for Sus- al, and global levels to learn from one another.
tainability, founded in 1990, has emerged as a It will also include scaling up and mainstream-
major international force in this area. ing the approach through national programs
The specific term eco city, in use since the and capacity building.
early 1970s, has been loosely used to refer to Application in the real world will initially re-
cities that adopt any combination of environ- quire effort and commitment. It will require
mentally progressive measures, such as achiev- political will, leadership, capacity building, col-
ing a greater percentage of green space for laboration, institutional reform, and even a new
residents, constructing a pedestrian- and tran- process for creative design and decision mak-
sit-friendly transportation system, or requiring ing. Ideally, reform-minded city leaders will
buildings to become more energy efficient. In strive to undertake a comprehensive approach.
an attempt to define more clearly what eco city Other cities may seek to start a change process
means, some countries, including China, have through strategic and catalytic actions. The
now codified standards for green buildings and deeper and more comprehensive the approach,
for ecological cities. the more profound the changes. The successful
The many waves of interest in ecological cit- application of such an initiative may prove to be
ies have helped the concept mature and evolve. transformative in a city. Such transformations
From this perspective, Eco2 city is a useful term have already occurred in the inspiring cases the
for recognizing a new generation of eco cities reader encounters through this book. The Eco2
that move beyond individual, stand-alone initiative is intended to provide the support
green measures to a systems perspective sup- that cities need to make their own transitions.
ported by long-term, full-cost accounting. It As we begin to apply the framework, diver-
requires that a city be understood as a whole sity among the conditions and contexts of the
and that design solutions incorporate some of first set of pilot cities (city size, national con-
xx | PREFACE
text, geographical conditions, socioeconomic Projects are not the only opportunity for
conditions, institutional frameworks, fiscal ca- mainstreaming. A critical step forward in
pacity, and so on) will provide a broad and rich mainstreaming will involve deepening and
platform for assessing the value of the frame- customizing the ownership of the agenda in
work in different circumstances, and we will each country through supportive national pol-
continue improving our approach based on the icy and sustained capacity building. This may
feedback and the experience. include arrangements with a range of stake-
It is evident that a city-by-city approach is holders, including local planning institutes
important as we test Eco2 and learn from the around the world, such as the Institute for Re-
ground-level experiences of each case. How- search and Urban Planning of Curitiba, Brazil.
ever, given the magnitude and rate of urbaniza- As we continue to work toward our com-
tion, we will not be able to achieve the desired mon objectives, the Eco2 Cities Initiative will
global impact within the window of opportu- evolve and grow as new knowledge, methods,
nity currently open to us if we limit ourselves tools, and resources become available. As we
to a city-by-city approach. Accordingly, we will forge new partnerships and work with more
aim at mainstreaming and scaling up the Eco2 cities, new possibilities and innovative ideas
Cities Initiative through programmatic nation- will emerge. The Eco2 Cities Initiative will
al approaches. constantly work to incorporate these in an in-
clusive, iterative, and purposeful way.
PREFACE | xxi
Acknowledgments
T
he World Bank’s Eco2 Cities Initiative Altaf, Rama Chandra Reddy, Monali Ranade,
has been conceived and developed and Axel Baeumler, Nat Pinnoi, Masato Sawaki,
is managed by Hiroaki Suzuki (Team and Johannes Heister of the World Bank. Geof-
Leader) and Arish Dastur (Co–Team Leader), frey Payne, Örjan Svane, and Richard Stren
who authored, compiled, and edited this book, provided valuable suggestions at the early stag-
together with Sebastian Moffatt, Nanae Yabuki, es of Eco2, and Yuko Otsuki supplied strong
and Hinako Maruyama. support to the team.
The other contributing authors are Feng The book has benefited from the guidance
Liu, Jas Singh, Georges Darido, Khairy Al Ja- of Keshav Varma, Sector Director of Urban De-
mal, Charles W. Peterson, Alain Bertaud, No- velopment for the East Asia and Pacific Region
bue Amanuma, Malin Olsson, Karolina Brick, of the World Bank. Strong support has also
Maria Lennartsson, Claire Mortimer, and been provided by John Roome, Christian Del-
Bernd Kalkum. The peer reviewers are Ste- voie, Abha Joshi-Ghani, Eleoterio Codato, Ede
phen Karam, Robert Taylor, Neeraj Prasad, Jo- Jorge Ijjasz-Vaquez, and Amarquaye Armar.
sef Leitmann, and Sam Zimmerman. Important Elisabeth Mealey advised us on our com-
comments and suggestions have been received munications strategy. Claudia Gabarain con-
from Alan Coulthart, Tim Suljada, Brian Daw- tributed to the Web design and online strategy.
son, Carly Price of AusAID (formerly the Aus- Inneke Herawati, Iris David, Bobbie Brown,
tralian Agency for International Development), Vellet Fernandes, and Sandra Walston sup-
Thomas Melin of the Swedish International plied important logistical support. Dean
Development Cooperation Agency (SIDA), Thompson provided editorial support on an
and Sumter Lee Travers and Fang Chen of the earlier version of this book. Patricia Katayama
International Finance Corporation, as well as and Mark Ingebretsen of the Office of the
Jas Singh, Victor Vergara, Shomik Mehndirat- Publisher gave guidance to the team on pub-
ta, William Kingdom, Jan Bojo, Paul Kriss, Ro- lishing and handled the final editing process.
hit Khanna, Peter Ellis, Habiba Gitay, Mir Naylor Design, Inc., provided the cover de-
xxiii
sign and layout. Many of the graphics in the eign Affairs Advisor, Institute for Research and
book were produced by Sebastian Moffatt and Urban Planning of Curitiba; (2) the City of
the Sheltair Group. Stockholm, especially Malin Olsson, Head of
The team acknowledges the valuable contri- Section, City Planning; and Klas Groth, City
butions of the Sheltair Group, the Energy Sector Planning; (3) the City of Vancouver, especially
Management Assistance Program (ESMAP, Brent Toderian, Director of Planning; (4) the
jointly sponsored by the World Bank and the City of Yokohama, especially Toru Hashimoto,
United Nations Development Programme), and Senior Project Manager, Co-Governance and
the World Bank’s Finance, Economics, and Ur- Creation Taskforce, and Yoshihiro Kodama, Co-
ban Development Department. The team also Governance and Creation Taskforce; and (5) the
acknowledges the guidance received from key City of Brisbane, especially David Jackson,
decision makers in the following cities: (1) the Manager, Economic Development; John Cowie,
City of Curitiba, Brazil, especially Carlos Alber- Senior Project Officer, Economic Development;
to Richa, Mayor, Curitiba; Eduardo Pereira Gui- and Lex Drennan, CitySmart Project Director.
marães, Secretary of International Relations, This publication has been made possible
Curitiba; Cléver Ubiratan Teixeira de Almeida, through scaled-up funding by the World Bank’s
President, Institute for Research and Urban East Asia and Pacific Region and generous co-
Planning of Curitiba, and Priscila Tiboni, For- funding from AusAID.
xxiv | ACKNOWLEDGMENTS
The Structure of This Book
The book is divided into three parts. decision making and methods to create an
effective long-term framework able to help
Part 1 describes the Eco2 Cities Initiative align policies and the actions of stakeholders.
framework. It describes the approach, begin- Part 2 also examines material flow analysis
ning with the background and rationale. Key and the use of layered maps to facilitate an
challenges are described, and lessons are integrated approach to urban infrastructure
drawn from cities that have managed to turn and spatial planning. Techniques for life-
these challenges into opportunities. A set of cycle costing are described, and specific tools
four key principles is introduced. The descrip- are referenced. Finally, part 2 introduces
tion of the program is then developed around methods that may be useful in conducting
those four principles. Each of the principles is forecasting workshops and resiliency plan-
addressed in separate chapters that present ning. It is expected that, as the Eco2 initiative
the core elements of the program and the step- grows, a greater depth of information will be
ping stones each city may follow as it develops generated to enrich the city-based decision
its own unique Eco2 pathway. Part 1 concludes support system.
with an overview of some of the ways in which
cities may draw on the resources of various de- Part 3 consists of the Field Reference Guide.
velopment partners as they embark on their The guide contains background literature de-
unique pathways. signed to support cities in developing more
in-depth insight and fluency with the issues
Part 2 presents a city-based decision support at two levels. It provides a city-by-city and
system that introduces core methods and sector-by-sector lens on urban infrastructure.
tools to help cities as they work toward It begins with a section on a series of case
applying some of the core elements and step- studies from best practice cities around the
ping stones outlined in part 1. Part 2 looks world. Each city offers a separate example of
into methods for collaborative design and how various elements of the Eco2 approach
xxv
may be applied. The next section comprises a While part 1 and part 2 address the Eco2
series of sector notes, each of which explores Cities Initiative directly, the Field Reference
sector-specific issues in urban development. Guide provides the background on current
The sectors include energy, water, transporta- best practices and a full scope of policies, spe-
tion, and solid waste. This section includes a cific measures, and institutional measures
note on the management of the spatial struc- that need to be considered. Together, these
ture of cities. Together, these sector notes three parts provide cities with an up-to-date
provide insights on the functioning of each survey of the terrain and guidance on how to
sector and on the current interrelationships move forward on their own pathways. This
among the sectors. As we view these issues book lays out the scope of Eco2 and should be
through a city-by-city and sector-by-sector viewed as an evolving document, particularly
lens, we start to see a bigger picture. Part 3 parts 2 and 3. The Eco2 Cities Initiative Web
also includes a final section on relevant spe- site, at http://www.worldbank.org/eco2, pro-
cific financial instruments of the World Bank. vides detailed, updated information.
xxvii
LIBOR London interbank offered rate
MDB Multilateral Development Bank
MIGA Multilateral Investment Guarantee Agency (World Bank)
O2 oxygen
OECD Organisation for Economic Co-operation and Development
PUB Public Utilities Board (Singapore)
RGS regional growth strategy
SCF Strategic Climate Fund
SIP Small Investment Program
SO2 sulfur dioxide
UNDP United Nations Development Programme
UNFCCC United Nations Framework Convention on Climate Change
Note: All dollar amounts are U.S. dollars (US$) unless otherwise indicated.
xxviii | ABBREVIATIONS
Executive Summary
1
fundamental questions must be addressed: take advantage of such opportunities. Best
How can cities continue to effectively harness practices exist for long-term planning and re-
the opportunities for economic growth and gional growth management, and the emergence
poverty reduction offered by urbanization, of new tools for systems analysis and mapping
while also mitigating the negative impacts? offers potential for more well integrated, prac-
How can cities accomplish this given the speed tical, and rigorous analysis and planning.
and the scale at which this urbanization is pro- Methods for collaborative design and decision
gressing and given their own capacity con- making among key stakeholders have also
straints? How can ecological and economic proven effective. Realizing that successful cities
considerations be dovetailed so that they result are often fundamental to successful nations, the
in cumulative and lasting advantages for cities? higher levels of government are becoming key
How do we transition from Eco versus Eco to partners in helping cities take the initiative.
Eco2 cities? There is also growing commitment at the
Innovative cities have demonstrated that, international level to support cities and help
supported by the appropriate strategic ap- finance longer-term investments within cities.
proach, they may greatly enhance resource New funding opportunities have emerged for
efficiency by realizing the same value from a cities in developing countries that are willing
much smaller and renewable resource base, to implement actions to achieve sustainable
while decreasing harmful pollution and un- urban development, particularly measures
necessary waste. By achieving this, they have promoting energy and resource efficiency that
improved the quality of the lives of their citi- lead to reductions in greenhouse gas emissions.
zens, enhanced their economic competitive- New accounting methods for estimating the
ness and resilience, strengthened their fiscal full costs and benefits of various policy, plan-
capacity, provided significant capacity to the ning, and investment options are also being
poor, and created an enduring culture of sus- used (for example, life-cycle costing). At the
tainability. Urban sustainability of this kind is a same time, accounting for all capital assets
powerful and enduring investment that will (manufactured, natural, social, and human)
pay compounding dividends. In a rapidly paced and the services they provide offers a more ho-
and uncertain global economy, such cities are listic and complete incentive framework to cit-
the most likely to survive shocks, attract busi- ies. Channeling these opportunities toward the
nesses, manage costs, and prosper. massive scale and accelerating the pace of ur-
Most encouraging about the efforts made by ban development are creating the potential for
these innovative cities is the fact that many of a tremendously positive impact.
the solutions are affordable even if budgets are The Eco2 Cities Initiative has been devel-
limited, and they generate returns, including oped for the purpose of enabling cities in de-
direct and indirect benefits for the poor. At the veloping countries to benefit from the promise
same time, much of the success may be achieved of a more rewarding and sustainable growth
by using existing, well-tested methods and trajectory while the window of opportunity is
technologies and by focusing on local, home- still open to them.
grown solutions.
The challenge that lies ahead is to take full
advantage of the many opportunities created by The Analytical and Operational
the rapid rates of change and by successful in- Framework
novations. Inappropriate institutional struc-
tures and mind-sets are commonly cited as the The Eco2 analytical and operational framework
single greatest challenge whenever cities try to is rooted in four key principles. Cities face chal-
EXECUTIVE SUMMARY | 3
into the topography of the area so that water is ees, or energy and transportation peak load
provided by gravity and drainage is provided management through adjustments in working
by natural systems (reducing the need for hours). At the second tier, projects will involve
expensive infrastructure investments and the the city in its capacity as a provider of services
related operating costs)? How might a city and include its formal planning, regulatory,
protect its water recharge areas and wetlands and decision-making powers. This may include
so that water capacity and quality are sus- water provision, land use planning, or transit
tained? How do we distribute populations and development. At this level, greater collabora-
design cities so that local or regional renewable tion is warranted with other stakeholders (in-
energy—windy sites, forests, solar access— cluding the private sector and consumers) who
is sufficient to meet basic needs? These types may influence and may be affected by the out-
of questions may ultimately provide urban comes. The third tier of the expanded platform
professionals with their most exciting design will entail collaboration at the scale of the
challenge: how to fit cities into the landscape entire urban area or region. This may pertain
in ways that respect and complement the natu- to issues such as the development of new land
ral capital and that ensure the availability or metropolitan management and may neces-
of ecological services for present and future sarily involve senior government officials, key
generations. private sector partners, and civil society.
A city-based approach is thus place specific A core element of the three-tier platform for
and focuses on enabling local leadership, local collaboration is a shared long-term planning
ecologies, and the broader local context. In framework for aligning and strengthening the
fact, one of the first stepping stones of a city policies of city administrations and key stake-
will involve reviewing and adapting the Eco2 holders and for guiding work on future projects.
framework to the local context. In this way, three-tier collaboration may en-
courage everyone to row in the same direction.
EXECUTIVE SUMMARY | 5
time horizons are needed, and life-cycle cost- viability of an investment or even the city as
benefit analysis must be applied to understand a whole.
the full implications of policies and investment The principles described above underlie the
options. All four categories of capital assets Eco2 approach. Using the analytical and opera-
(manufactured, natural, human, and social) tional framework, a city may apply the princi-
and the services they provide must be appro- ples through a set of core elements and use
priately valued or priced and monitored these elements to create a phased, incremental
through indicators. The combination of indica- Eco2 pathway (see the diagram). The sustain-
tors should be viewed as a whole so that the ability pathway of each city will be designed in
qualitative dimensions of city life (cultural, consideration of the city’s own needs, priorities,
historic, and aesthetic) are not ignored in and capacities. While the analytical and opera-
assessing costs and benefits. tional framework enables a city to chart out its
At the same time, investing in sustainability sustainability pathway, the city-based decision
and resiliency will entail broadening our scope support system introduces the methods and
of risk assessment and management to include tools that provide cities with the capacity to
managing the many indirect, difficult-to- undertake more well integrated development
measure risks that nonetheless threaten the and navigate this pathway more effectively.
pproach g
Program with national
government
ased A a kin
Identify Outline a
process for A City-B nM
Champions
o
building Develop for cisi
capacity m e
for D
Eco 2
lat ign &
lA development Seek fluency
program that supports
P
y
partnership
ed es
ilienc
and empowers cities. with
nd ve D
ch
l
p i
Ex orat
harnesses and nurtures ecological Community Prepare a
t
oa
long term
taina amework
assets.
n b
pr
lAn action-oriented network that
planning A lla Ap
builds on partnerships.
Select
framework
Co
tem
bility
l
catalyst
System (DSS), with methods and
ys
project
r
tools that provide cities with Prepare a
eS
value estment F
enhanced capacity in technical, mandate
On
s Sus
collaborative Align
decision policy
v
EXECUTIVE SUMMARY | 7
Combining Flows and Forms to Create a Transdisciplinary Platform
Customers
Streets
Parcels
Elevation
Land Use
This flow diagram
summarizes all the
water flow through
Real World
Hong Kong (China),
and is one of the
first illustrations of Source:
an urban metabolism. Copyright © ESRI,
Source: Boyden, Millar, used by permission,
and Newcombe (1981). http://www.esri.com/.
Flows: Material Flow Analysis and Sankey Diagrams Forms: Layering Information on Maps
Material flow analysis and Sankey diagrams are a method for calculat- Maps are especially useful in collaboration because they speak so
ing and illustrating the flow of resources through an urban area of any well to so many. (A picture is worth a thousand words.) The layers
size. Inputs and outputs are determined as resources are extracted of information make it possible immediately to interrelate the
from nature; processed by infrastructure; consumed by homes and various features and qualities of the landscape and also easily to
businesses; treated by infrastructure; and, finally, returned for reuse or quantify important spatial relationships. Layering is an old tech-
delivered back to nature as waste. Colorful, but simple diagrams are nique that has become more powerful as a result of computer
used to educate everyone on the resource flows and the effective- technology and satellite imagery.
ness of their use, all on a single page.
EXECUTIVE SUMMARY | 9
PART 1
The Framework
Opportunities and Challenges, Principles and Pathways
Ecological Cities
as Economic Cities
This chapter outlines key issues driving the urgent need for a new approach to urban planning, devel-
opment, and management. While all the transformations that are now occurring may be seen as
threats, they may also be perceived as opportunities for the rapid and widespread adoption of a new
approach to design, decision making, and investment. In its review of selected case studies, the chapter
demonstrates the tangible benefits of cost-effective approaches that have led to greater ecological and
economic sustainability in cities. It also clarifies commonly held misconceptions about urban sustain-
ability and concludes that cities should invest in and capitalize on opportunities. If acted on correctly,
the changes now under way offer fresh opportunities to achieve sustainability and resiliency in urban
areas for generations to come.
THE FRAMEWORK | 13
world’s population living in cities is expected tries, the urban share of GDP already surpasses
to grow to almost 5 billion by 2030 (UN- 60 percent (World Bank 2009).
Habitat 2008). Over 90 percent of the urban The competitiveness of cities is determined
growth is taking place in developing coun- by a variety of factors, including geography, na-
tries. By the middle of the century, Asia alone tional policies, local leadership, market forces,
will host 63 percent of the global urban popula- and capital inflows. Historically, nature and ge-
tion, or 3.3 billion people (UN-Habitat 2008). ography (altitude, topography, and climate, as
Cities in East Asia housed about 739 million well as proximity to coasts, rivers, borders, and
people in 2005 (Gill and Kharas 2007). They natural resources) have often been the trigger in
will need to accommodate another 500 million the development of cities. National policies play
by 2030 (Gill and Kharas 2007). an important role in inducing and facilitating
The growth of the world’s urban population the growth of cities by determining the location,
is being accompanied by an increase in the quality, and connectivity of key infrastructure
number and size of cities. There were about 120 investments, which, in turn, influence the in-
cities with populations over 1 million each in vestment and location decisions of private capi-
2000. The number is projected to rise to more tal. Together, these generate and enable eco-
than 160 by 2015 (World Urbanization Pros- nomic diversification and a range of economic
pects Database). The world will have 26 mega- activities that lead to population increases
cities—cities with populations of more than through rural-urban migration and productivity
10 million—by 2025. Developing countries in gains. In the context of expanding globalization,
Asia will host 12 of these cities (UN-Habitat the role of trade and foreign investment is being
2008). An important element in this growth is recognized as an additional factor driving the
the fact that 50 percent of the overall urban growth of cities. It has also been observed that,
increase is occurring in medium and smaller as they transition swiftly to a high-value, knowl-
cities of less than 500,000 people. Over the next edge-based economy, cities benefit from their
decade, half of the expansion in the urban popu- critical competitive advantage in their ability to
lation in East Asia is projected to be absorbed by attract, retain, and invest in human capital (Flor-
such cities (Gill and Kharas 2007). ida 2002). Under these circumstances, a critical
These population statistics imply a massive determinant of the growth of cities has been a
investment in manufactured capital, including city’s capacity to provide a business-enabling
the building stock and urban infrastructure. environment (such as good infrastructure, poli-
The urban strategies that frame decision mak- cies favorable to reductions in the cost of doing
ing and shape policies and investments within business, and connectivity to external markets);
the next few years will no doubt have conse- a good quality of life; and an environment that
quences for generations to come. attracts and retains human capital by providing
strong social infrastructure and a clean, afford-
Cities are engines of economic growth able, and livable environment.
What is driving the massive rates of urbaniza- As organizational systems, urban agglomera-
tion described above? Historically and across tions provide unique opportunities because of
most regions, urbanization has propelled the economic and spatial scale. The supply of criti-
growth of national economies. On average, cal infrastructural services (physical and social),
about 75 percent of global economic produc- as well as the institutional and administrative
tion takes place in cities, and in developing organization on which much economic devel-
countries, this share is now rapidly rising opment and social welfare are predicated, be-
(World Bank 2009). In many developing coun- comes financially viable and reaches economies
THE FRAMEWORK | 15
unable to gain access to land and housing cal assets and increasing the risks of waterborne
through legal channels. The poor are thereby and infectious diseases.
forced to live in ramshackle and flimsy settle- Migration to urban areas is increasing, driv-
ments on environmentally sensitive areas en by the promise of a better future. While cities
(slopes and low-lying areas), along roads and have had a significant impact on economic pro-
railway lines, close to hazardous industrial fa- ductivity, they need to do more to address the
cilities, and often near the ecological resources crucial issue of urban poverty, particularly the
of cities. Moreover, because basic urban services problem of slums.
are not provided in slums, slum dwellers often The flip side of urban migration is the loss in
live in the worst conditions and have no choice populations in many rural areas and hinterland
but to pollute surrounding land and water re- communities. While people are being pulled
sources. Industries frequently pollute freely from the countryside by the promise of wealth,
and unchecked in slum areas because the dis- they are being pushed from their traditional
enfranchised residents have little legal, finan- communities because of uncontained urban
cial, or political recourse. In many cases, the growth and an almost complete absence of ef-
conditions in slums are life threatening; slums fective, complementary rural planning. Indeed,
are significantly more susceptible to floods, the problems of slums and the excessive pace
landslides, diseases, exposure to toxic industrial of urban growth are also symptoms of poor ru-
waste, indoor air pollution, fires, and so on. ral planning and inadequate investment in ru-
Slums expanded substantially in the 1990s, ral development. The solution is to adopt a
when the urban populations in developing more well integrated approach spatially, engag-
countries were growing more rapidly than the ing rural areas in a long-term collaborative ex-
capacity of cities to support them. More than ercise to create rural-urban links and promote
810 million people, or more than one-third of the management of urban growth.
the urban population in developing countries,
were living in slums in these countries in 2005 Continued urbanization is impossible if it is
(UN-Habitat 2008). About 64 percent of these based on standard practices
slum dwellers, or 516 million people, live in Asia Urbanization at the rate and scale described
(UN-Habitat 2008). The United Nations Human above is certain to be accompanied by an un-
Settlements Programme (UN-Habitat), has pro- precedented consumption and loss of natural
jected that if no firm and concrete actions are resources. Calculations already show that, if
taken, the number of slum dwellers will increase developing countries urbanize and consume
to about 2 billion people in the next 25 years resources at the same degree and scope as de-
(UN-Habitat 2003). veloped countries, a resource base equivalent
Slum areas are a visible symbol of social ex- to four planet earths will be needed to support
clusion, and they also threaten the well-being the growth (Rees 2001). Even more surface
of the city by compromising collective ecologi- area will be necessary if farmers are required
THE FRAMEWORK | 17
environmental externalities of business-as- and enforcing building codes and standards.
usual urbanization are not sustainable. Redevelopment projects on a larger scale in cer-
tain city neighborhoods and districts have also
The existing and the new are been successful in enhancing the sustainability
a twin challenge of existing urban areas. Retrofitting measures
It is clear that if we are to absorb and sustain and redevelopment projects require holistic
the powerful wave of urbanization in devel- planning and coordination across sectors.
oping countries, while managing the existing Meanwhile, cities are facing unprecedented
built stock, a paradigm shift will have to occur. rates of expansion and are in danger of becom-
The fundamental questions to be addressed ing locked in to inefficient and unsustainable
are the following: How can cities continue to patterns of urban growth from which there is
harness effectively the opportunities for eco- no easy escape. Initial conditions are the bed-
nomic growth and poverty reduction offered rock for urban development at every scale;
by urbanization, while also mitigating the they impose powerful constraints on what
negative impacts? How can cities accomplish may be accomplished as a city matures. These
this goal given the speed and the scale at initial conditions include the pattern of spatial
which urbanization is progressing and given development; the built urban form; and most
their own capacity constraints? How can of the related trunk infrastructure invest-
ecological and economic considerations be ments, which, because of their size and per-
dovetailed, so that they result in a cumula- manence, are powerful constraints on future
tive and lasting advantage for cities? How do options. This situation is typically referred to
we go from ecological cities versus economic as path dependency. Such path dependency is
cities (Eco versus Eco) to ecological cities as also evident in the institutional architecture
economic cities (Eco2 cities)? that evolves to support large complex infra-
In general, cities are confronting two chal- structure systems; this institutional architec-
lenges: the challenge posed by existing urban ture may then reinforce and perpetuate growth
areas and the challenge posed by rapid, new of a particular kind. The prospect of being able
urban expansion. to influence new urbanization and the growth
In dealing with existing urban areas, cities of cities is tremendous: beginning correctly is
may rely on a range of measures to enable the much more cost-effective than dealing with
existing built stock to perform more effective- problems later on. Being proactive can provide
ly. Examples of retrofitting measures include compounded economic, social, and ecological
implementing efficiency in the energy and wa- returns. Action taken at this critical phase in
ter sectors; reducing, reusing, and recycling the growth of cities can represent a defining
waste; and adapting the existing transporta- opportunity to leapfrog into built-in systemic
tion infrastructure (roads) to make it more advantages in efficiency and sustainability.
efficient (for instance, by designating routes Timing and sequencing are crucial to ensuring
for bus rapid transit and lanes for bicycles). At the lasting impact of coordinated interven-
the same time, cities can explore cost-effective tions, maximizing benefits, and reducing long-
ways of remodeling the distribution, density, term externalities. There is an enormous op-
and use of the existing built form by increasing portunity cost involved in not acting at the
floor area ratios; allowing the transfer of devel- correct time, and the correct time is now.
opment rights; implementing land readjust- It is in the urgent interest of helping cities
ment programs; rezoning and changing land systematically capture this value, while the
use patterns; and, more important, revising window of opportunity is still open to them,
THE FRAMEWORK | 19
Stockholm: Integrated planning and reduction and reuse, emissions reduction,
management through systematic reduced use of hazardous materials in construc-
stakeholder collaboration tion, use of renewable sources of energy, and in-
In an ongoing redevelopment project in Ham- tegrated transportation solutions. Stockholm is
marby Sjöstad, a district in the southern part of already a sustainable city, and the city council in-
Stockholm, the Stockholm city council set out tended for this project to be a pathbreaking dem-
to improve on Swedish best practice in sustain- onstration of sustainable methods of urban rede-
ability in 1995—the year the environmental velopment. Hammarby Sjöstad is one of three
program was adopted—by a factor of two on designated ecocycle districts in Stockholm.
a range of indicators, most notably energy To accomplish the objectives set by the city
efficiency per square meter. In Sweden, the council, the three city departments of waste,
average annual rate of energy use in some reg- energy, and water and sewage collaboratively
ular new development projects is 200 kilowatt- designed a model, the Hammarby Model. The
hours per square meter; cutting-edge practice Hammarby Model represents an attempt to
produces an efficiency of 120 kilowatt-hours turn a linear urban metabolism—consume re-
per square meter (Bylund 2003). The current sources on inflow and discard waste through
project is aiming for a rate of 100 kilowatt- outflow—into a cyclic urban metabolism by op-
hours per square meter. Other targets set for timizing the use of resources and minimizing
the project include water conservation, waste waste (figure 1.1). The model streamlines vari-
Energy
Wa
ste
er
at
W
Figure 1.1 The Hammarby Model, Stockholm: An Example of Integrated Planning and Management
Source: City of Stockholm, Fortum, Stockholm Water Company.
Figure 1.2 Initial First-Phase Results of Hammarby Sjöstad according to the Environmental Load Profile Life-Cycle Analysis Tool
Source: Brick (2008).
Note: The tool is described more fully in chapter 10.
THE FRAMEWORK | 21
Curitiba, the capital of the state of Paraná, higher-density commercial and residential de-
Brazil. Since the 1960s, through its innovative velopment along each structural axis, thereby
approaches in urban planning, city manage- providing the economic density and user base
ment, and transportation planning, Curitiba has to make the system financially sustainable. The
been able sustainably to absorb a population color-coded bus system is designed to provide
increase from 361,000 (in 1960) to 1,797,000 (in various levels of service (interdistrict, feeder,
2007) on what was initially a limited budget. It intermunicipal, and so on) and is integrated as a
has provided critical urban services with a wid- single unified system within the land use plan.
er coverage and smaller ecological footprint As a consequence, Curitiba has the highest
than many cities with much greater fiscal re- rate of public transportation ridership in Brazil
sources at their disposal. Moreover, while doing (45 percent). This means that Curitiba has one
this, Curitiba has expanded its own fiscal capac- of the lowest rates of urban air pollution in the
ity and economic base and has gained a reputa- country. Fuel loss caused by traffic congestion
tion as one of the best examples in the world of was valued at US$930,000 in 2002, compared
ecological and economic urban development. with US$13.4 million in Rio de Janeiro (CNT
The most significant planning decision 2002, Vassoler 2007). In contrast, in 2000, con-
made by Curitiba was to grow from the city gestion in 75 metropolitan areas in the United
core outward in a radial linear branching pat- States caused fuel and time losses valued at
tern, thereby opening up the city, while pre- US$67.5 billion (Downs 2004). If these areas in
serving urban density and protecting green ar- the United States were planned and developed
eas. This approach contrasts with the typical more efficiently, a major portion of the annual
concentric, ad hoc development. To encourage recurring loss and the harmful emissions could
effective linear urban growth along major be avoided.
structural axes (rather than extensive sprawl), In the 1950s and 1960s, Curitiba suffered
Curitiba pursued the incremental development from persistent flooding while construction
of an integrated bus system (figure 1.3). Land and development were proceeding at a rapid
use and zoning simultaneously encouraged pace. Additional drainage canals would have
2009
THE FRAMEWORK | 23
An additional case helps underscore this ning are not significant. However, as shown by
lesson. The municipality of Emfuleni, South Curitiba, sustained commitment and invest-
Africa initiated an energy and water conserva- ment in maintaining strong technical, adminis-
tion project that achieved savings of 7 billion trative, and institutional capacity are necessary.
liters of water and 14 million kilowatt-hours If they are designed and implemented ap-
per year. At a cost of only US$1.8 million, the propriately, policy and regulatory measures
project saved over US$4 million each year, can also generate environmental, fiscal, and
meaning that the project paid for itself in less economic gains. Households and businesses
than six months. Because the project contract represent major components in energy and re-
was financed and implemented by an energy source consumption and waste generation, and
service company, the municipality not only their savings in these areas may be translated
saved large sums of money because of reduced into economic and fiscal gains for a city. Thus,
water losses and pumping costs, but also did since the mid-1970s, California’s utility improve-
not have to pay for the investment up front. ment programs and energy efficiency policies,
Meanwhile, the energy service company re- which consist of standards and research and
couped its investment quickly by sharing in the development, have held per capita electricity
cost savings (USAID 2005). use constant, while per capita electricity use
Ample evidence similar to Emfuleni’s expe- has risen by nearly 80 percent elsewhere in the
rience indicates that steps to improve energy United States. This has generated substantial
and resource efficiencies can bring about strong savings among consumers, households, and
fiscal and economic gains. Thus, while solid businesses in California (California Air Resourc-
waste management in many medium-size cities es Board 2008). Over the past three decades,
can account for 40 to 50 percent of the total mu- consumers in California have saved more than
nicipal budget, programs such as the one in Yo- US$50 billion through policies promoting
kohama offer a powerful illustration of the sig- appliance efficiency and building efficiency.
nificant returns that may be achieved and the Educational programs and awareness cam-
capital costs that may be avoided (Pagiola and paigns may also influence consumption pat-
others 2002). For cities and utilities seeking terns without significant resource expenditures.
ways to meet budget shortfalls or save munici-
pal expenditures so as to spend more on worthy Success is achievable through existing
social pursuits (such as extending tap water ser- proven technologies and appropriate
vices, waste collection and treatment, or street- new technologies
lighting coverage to slums), there is no better Best practices suggest that success depends
place to look for new funds than the cost savings less on new technologies and more on appro-
achieved through resource use efficiency. priate technologies. In most cities, expensive
Effective and well-coordinated urban plan- hydrogen-fueled cars are less relevant to trans-
ning and land policies and appropriate spatial portation efficiency than expanding the net-
layouts can provide strong and sustained long- work of bicycle- and pedestrian-friendly path-
term development and compound the econom- ways. Simple technology solutions such as the
ic, social, and environmental returns. Effective installation of insulation in homes or water-
urban planning and land policies can help inte- efficient faucets often generate more cost
grate the urban poor into the economic, social, savings than do many new technologies (EIU
and physical fabric of a city, thereby proving to 2008). Many of the new technology options are
be economically beneficial to cities, national often mistakenly considered commercially un-
governments, and the urban poor themselves. viable because an accurate and full cost-benefit
The financial outlays required for good plan- analysis from a life-cycle point of view has not
THE FRAMEWORK | 25
poor by reducing the prices for land and housing. practices exist in strategic long-term planning
The poor may also benefit directly from more and regional growth management, and the ap-
public transportation, pedestrian access, and bi- pearance of new tools for systems analysis and
cycle paths; improved water access, sanitation, mapping offer potential for more well integrat-
and electricity connections; the provision of safe ed, practical, and rigorous analysis. Because
cooking fuels; and energy-efficient light-emit- successful cities are often fundamental to suc-
ting diode lights in slums. Better environmental cessful nations, the higher levels of government
standards to address industrial pollution will should be key partners in helping cities take the
strongly enhance living conditions among the initiative. There is also a growing commitment
poor. Innovative programs such as the Orangi at the international level to support cities and to
Pilot Program in Karachi, Pakistan have in- finance investments that enable ecological and
volved the poor directly in community-based economic sustainability in cities. New funding
sanitation construction projects, offered jobs opportunities have emerged for city authorities
to families, and achieved the extremely cost- in developing countries who are willing to take
effective construction of local sanitation net- steps to achieve sustainable urban development,
works that link to the trunk lines of cities. The particularly measures promoting energy and re-
money and the services contribute to local eco- source efficiency that lead to reductions in
nomic development by generating employment greenhouse gas emissions. New accounting
and income, improving environmental condi- methods for estimating the full costs and bene-
tions, increasing home values, and creating fits of various policy, planning, and investment
local ownership in neighborhoods. options are also being used (for example, life-
cycle costing). Channeling these opportunities
toward a massive scale and accelerating the pace
Opportunities to Capitalize of urban development create the potential for
tremendous impact.
The challenge that lies ahead is to take full ad- An increasing number of cities have initiated
vantage of the many opportunities created by actions to achieve greater ecological and eco-
rapid change and successful innovation. Best nomic sustainability according to their own
visions, needs, and capacities. Their limited
resources or capacities do not discourage these
A case study from Dhaka, Bangladesh, illustrates the potential for im- cities. Some cities demonstrate strong leader-
proving conditions among the urban poor through interventions in the ship in pioneering new approaches; some use
urban environment. Waste Concern, a nonprofit organization that works well-established approaches and excel in the
with the city government, succeeded in reducing emissions in Dhaka by implementation of these approaches; and some
composting solid waste instead of burning or flaring and then selling the work with the international community to
waste to fertilizer companies. The initiative is helping to reduce 52 per- learn from best practices and invest in techni-
cent of the generated solid waste that remains uncollected in Dhaka. cal, institutional, and administrative capacity.
The city provides public land for community composting. Waste Concern
The Eco2 Cities Initiative has been devel-
coordinates with the city to undertake the house-to-house collection
oped to enable cities in developing countries to
of solid waste in rickshaw bicycles and bring the waste to processing
benefit from the promise of a more rewarding
plants. Organic waste is separated from other rubbish. Waste is compos-
and sustainable growth trajectory while the
ted into enriched biofertilizers. Waste Concern arranges for fertilizer
companies to purchase and nationally market the compost-based fertil- window of opportunity is still open. The chap-
izer. This approach has the potential to create 16,000 new jobs for the ters hereafter provide a detailed framework
poor of Dhaka and 90,000 new jobs for the poor across Bangladesh. that may be adapted by cities in developing
countries to work systematically toward ac-
Source: C40 Cities (2007), Enayetulla and Hashimi (2006).
complishing many more positive results.
THE FRAMEWORK | 27
Rabinovitch, Jonas and Josef Leitman. 1996. “Urban Vassoler, Ivani. 2007. Urban Brazil: Visions, Afflictions,
Planning in Curitiba.” In Sustainable Urban and Governance Lessons. New York: Cambria
Development Reader, eds. Stephen Wheeler and Press.
Timothy Beatley. 2008. New York: Routledge. Wheeler, Stephen M., and Timothy Beatley, eds. 2007.
Rees, William E. 2001. “Global Change, Ecological The Sustainable Urban Development Reader.
Footprints and Urban Sustainability.” In How Routledge Urban Reader Series. New York:
Green Is the City? Sustainability Assessments and Routledge.
the Management of Urban Environments, ed. World Bank. 1997. “Expanding the Measures of
Dimitri Divuyst, 37–42. New York: Columbia Wealth: Indicators of Environmentally Sustain-
University Press. able Development.” Environmentally Sustainable
Stern, Nicholas. 2007. The Economics of Climate Development Studies and Monographs Series 17,
Change: The Stern Review. New York: World Bank, Washington, DC.
Cambridge University Press. ————. 2003. “Looking Beyond Short-Term Shocks.”
Swedish Environmental Protection Agency. 2004. East Asia Update, April, East Asia and Pacific
“Local Investment Programmes: The Way Region, World Bank, Washington, DC.
to a Sustainable Society.” http://www. ————. 2007. Cost of Pollution in China: Economic
naturvardsverket.se/Documents/ Estimates of Physical Damages. Washington, DC:
publikationer/91-620-8174-8.pdf. World Bank. http://siteresources.worldbank.org/
UNFPA (United Nations Population Fund). 2007. INTEAPREGTOPENVIRONMENT/Resources/
State of World Population 2007: Unleashing the China_Cost_of_Pollution.pdf.
Potential of Urban Growth. New York: UNFPA. ————. 2008. World Development Report 2009:
UN-Habitat (United Nations Human Settlements Reshaping Economic Geography. Washington, DC:
Programme). 2003. The Challenge of Slums: World Bank.
Global Report on Human Settlements 2003. ————. 2009. “The World Bank Urban and Local
London: Earthscan Publications. Government Strategy: Concept and Issues Note.”
————. 2008. The State of the World’s Cities 2008/2009: World Bank, Washington, DC.
Harmonious Cities. London: Earthscan Publica- World Urbanization Prospects Database. Population
tions. Division, Department of Economic and Social
USAID (U.S. Agency for International Development). Affairs, United Nations. http://esa.un.org/unup/
2005. “Watergy Program Pioneers Performance index.asp (accessed May 2009).
Contract to Save Water, Energy in S. Africa.”
Energy Update 2 (April/May): 6–7.
Chapter 1 explores the many opportunities offered to cities as a consequence of change. It also uses
examples of best practice drawn from cities worldwide to illustrate the potential environmental and
economic benefits associated with innovative approaches. If the knowledge and means exist to de-
sign and implement such measures and if practical and powerful solutions have been demonstrated
even among cities with limited budgets, then why are other cities not taking advantage of these op-
portunities? Why are these examples so rare?
Chapter 2 begins with a brief overview of the many challenges cities face in trying to adopt more
well integrated approaches. Most readers are familiar with these challenges (unfortunately, they
are common), and a detailed accounting is unnecessary. However, the challenges are worth high-
lighting because, together with the valuable ground-level lessons derived from the experience of
best practice cities, they help to frame our strategic response: the key strategies and principles that
define the Eco2 Cities Initiative.
After reviewing challenges, the chapter describes a set of four overarching principles that provide
the scope and direction for all elements of the Eco2 initiative. Adopting these principles represents the
first step toward the Eco2 approach. Basically, the principles are proven strategies that can help cities
seize new opportunities, overcome challenges, and transfer best practices to every new project.
At the end of the chapter, a summary table is provided of the Eco2 approach. The principles are
translated into a number of core program elements, and an example is provided for how any city
might implement the program in a step-by-step fashion and create its own unique Eco2 pathway.
THE FRAMEWORK | 29
The Many Challenges That Cities Face • Fragmentation of responsibilities; separate
budgets, timelines, and goals; and piecemeal
Limited resources solutions that serve individual interests
In general, cities in developing countries face well, but that, in combination, are precisely
significant administrative, technical, and finan- wrong
cial capacity constraints. These cities are also
• Excessive specialization and overwhelming
challenged by the rapid pace of urbanization.
complexity; silos of expertise; and incomplete
For these reasons, city staff tend to focus their
perspectives on urban resource use and the
attention on chronic problems and on the day-
associated costs
to-day and sector-to-sector problems that are
piled at the front of the counter. Ask any city • Single-purpose funding mechanisms that
administrator, and you will hear the same story: fail to address cities directly, that fail to
no time exists to take on long-term plans address the urban system as a whole, or
or cross-cutting agendas like the Eco2 Cities that fail to link program objectives to the
Initiative. priority issues in a city
recover sunk costs and realize returns. If some- sort to have, the process of preliminary engi-
one proposes to invest in demand-side man- neering or concept design requires a much
agement (DSM) or meet the need for services more open and innovative mind-set, which is
in other ways, the effect is to reduce the flow of difficult to find without engaging specialty
revenues below projections; as a consequence, firms at added expense and risk.
the existing facilities remain oversized and
may become economically unviable. This issue The continuing dominance of
may occur whenever cities or their financial 19th century models
partners invest in new energy plants, water Part of the difficulty with adopting a program
factories, wastewater treatment plants, solid such as Eco2 is that current design and plan-
waste transfer stations, and incinerators. ning practices among cities are rooted in pat-
Under such circumstances, cities commonly terns established in the 19th century, when an
use policy to prevent innovative approaches. If abundance of coal, combined with new manu-
they are not developed properly, public-private facturing technologies, brought unprecedented
partnerships may offer another example of increases in wealth and improvements in the
how cities become locked in to technologies by quality of life. By the beginning of the last cen-
entering into contracts that guarantee a long- tury, millions of families in Europe and North
term demand for services of a single type. America suddenly had access to clean water,
sewage treatment, space heating, lighting,
Human inertia clean streets, and public transit. This wave of
A new planning process that involves many societal progress and modernism was achieved
planners and designers will certainly challenge through single-purpose, centralized, supply-
the natural tendency of people, particularly oriented utilities that operated in silos (that is,
professionals, to resist change of any kind. entirely independently), and capitalized on
Without a focused effort to manage change, economies of scale, abundant resources, and
human inertia will invariably reproduce the open access to public goods such as water and
same patterns of land development and exactly the atmosphere.
the same infrastructure in city after city, all in Hugely successful in their time, the 19th
accordance with standard practice. It is diffi- century models are no longer the best solution
cult to change the mold. If conservative engi- and, in fact, have become part of the problem.
neers are hired to consider a type of system The world is more crowded and complex and
they have never previously designed, they will requires much more efficient, longer-term so-
invariably condemn the idea. While conserva- lutions for servicing urban areas. Nonetheless,
tive engineers are, in most respects, the best the 19th century models are integral to our pro-
THE FRAMEWORK | 31
fessional training and institutional structures. platform for collaborative design and decision
A program that encourages a more well inte- making. And, without this expanded platform,
grated approach must overcome the inertia of it is difficult to explore creative new approach-
past practice and the natural resistance to es to the design and management of integrated
change within established institutions and systems and to coordinate policies for imple-
groups of practicing professionals. menting the one-system approach. Prioritiza-
tion, sequencing, and the effectiveness of
investments in promoting sustainability and
A Principled Approach That Can resiliency will be greatly enhanced if one is
Overcome the Challenges able to appreciate the city as a single system
and if one may rely on an expanded platform of
The Eco2 initiative is designed on the premise collaboration.
that many of the opportunities and challenges The synergy among the principles is more
described above may be addressed most effec- apparent in other chapters. The Eco2 princi-
tively by adopting new principles. These prin- ples are explored below.
ciples may be used to guide the process of de-
signing, implementing, and financing urban
PRINCIPLE 1: A city-based approach
development. The principles function as super
strategies for cities in transition. The four Eco2 A city-based approach is the first principle, and
principles are (1) a city-based approach en- it carries two complementary messages. First,
abling local governments to lead a develop- it recognizes that cities are now on the front
ment process that takes into account specific lines in managing change and leading an inte-
circumstances, including the local ecology; grated approach. Only at the city level is it pos-
(2) an expanded platform for collaborative de- sible to integrate the many layers of site-specific
sign and decision making that accomplishes information and to work closely and rapidly
sustained synergy by coordinating and aligning with the many stakeholders who need input on
the actions of key stakeholders; (3) a one-system an integrated solution. In addition, fiscal and
approach enabling cities to realize the benefits administrative decentralization has brought
of integration by planning, designing, and man- important decision-making and management
aging the whole urban system; and (4) an invest- responsibilities to local governments. Second,
ment framework that values sustainability and the city-based approach serves to emphasize
resiliency by incorporating and accounting for the importance of incorporating within any de-
life-cycle analysis, the value of all capital assets velopment program the unique aspects of
(manufactured, natural, human, and social), place, especially ecological assets. Increasingly,
and a broader scope of risk assessments in cities depend on their natural landscapes to
decision making. provide food and recreation, capture and store
Each of these strategies has been elevated to water and energy, absorb wastes, and satisfy
the status of super strategy or principle be- many other needs. Protecting and enhancing
cause it is universally applicable, crucial to suc- ecological assets—the natural capital—are a
cess (based on the experience of best practice priority in directing (and constraining) urban
cities), and frequently ignored or underappre- growth. A city-based approach is thus place
ciated. specific and focuses on enabling local leader-
The four principles are interrelated and ship and local ecologies.
mutually supportive. For example, without a We look now at each of these in turn.
strong city-based approach, it is difficult to en- Depending on their size, cities are the most
gage key stakeholders fully through an expanded influential institutions within the modern
THE FRAMEWORK | 33
approach and an alignment of policies are not ride-share program for employees, or energy
likely to emerge by default. The process requires and transportation peak-load management
a platform that is suitable for the expanded through the adjustment of working hours).
scope of activity. At the second tier, projects will involve the
Cities are dynamic phenomena. They city in its capacity as a provider of services and
emerge from the overlapping actions of many include its formal planning, regulatory, and
stakeholders (the public sector, the private sec- decision-making powers; this may include water
tor, civil society groups, and citizens), each of provision, land use planning, or transit develop-
which has influence over the design and man- ment. At this level, greater collaboration is
agement of the elements composing the city. warranted with other stakeholders who may
Although none of these groups of stakeholders influence and may be affected by the outcomes.
has the mandate or capacity to address the per- The third tier of the expanded platform will
formance of the city as a system, they all stand entail collaboration at the scale of the entire
to benefit if the elements are well integrated. urban area or region. This may pertain to issues
However, without a proactive effort to bring such as the development of new land or metro-
these stakeholders together and to integrate politan management and may necessarily
plans and policies, the likelihood exists that involve senior government officials, key private
some policies and actions will conflict and that sector partners, and civil society. In collaborat-
the costs of conflict will be borne by the economy ing at the scale of the entire urban area, the city
and the environment. Even without direct con- may lack the authority to coordinate the actions
flict, the tendency for all stakeholders to act in of many stakeholders. Senior government offi-
their own immediate interests represents a cials, utilities, landowners, and private sector
barrier to the potential for positive synergies groups all have their own plans and agendas.
and optimum solutions. At this level, it is often appropriate to develop
Cities are increasingly experiencing a splin- an overarching planning framework, including
tering of the responsibility for infrastructure, a growth management strategy, which sets the
an overlapping in jurisdictions, and an in- context for all other plans in the urban area
crease in the private sector ownership of key by all other stakeholders. At each of these
assets. An additional constraint is the political scales, different levels of collaboration are
election cycle, which may limit the capacity of necessary and different working groups are
cities to execute policies over the long term. required, all participating in a city-led collab-
The typical four-year election cycle in local orative process.
government undermines sustainable decision As a city embarks on its Eco2 pathway, many
making because the change in leadership fre- projects might be launched over a single year
quently means a loss in continuity. If cities are in which different players in the private sector,
to lead in the process of urban development, the public sector, the civil sector, and other
especially in the context of rapid urbanization, sectors may wish to participate or may have
it is important that plans compensate for this valuable information or assistance to offer at
disadvantage. various stages. For this reason, it is important
A city may lead a collaborative process on at for a city to initiate a process through which
least three tiers of an expanded platform. At participants may develop a shared long-term
the first tier, projects may be completely within planning framework that guides all projects
the realm of control of the city administration and efforts and creates the opportunity for
and will require that a city get its own house in groups to align their policies and programs
order (for example, an energy efficiency up- around a common set of long-term goals and
grade for all municipally owned buildings, or a strategies. The framework might also set the
THE FRAMEWORK | 35
the synchronization of policy, investment plan-
ning, and regulations.
Systems thinking can be defined as the art of simplifying complexity,
Integration is a powerful concept for cities
managing interdependency, and understanding choices. Once we un-
(see chapter 5). So, where does the concept
derstand something, once we see it as one system, we no longer see
it as chaotic or complex. originate? And where might it take us in the
Contrary to widely held belief, the popular notion of a multidisci- long run?
plinary approach is not a systems approach. The ability to synthesize Integration is used here as it relates to the
separate findings into a coherent whole seems far more critical than application of systems theory: seeing the full
the ability to generate information from different perspectives. scope of elements that make up the city, how
Source: Gharajedaghi (2006). these different elements are connected, and
how changes in one element may affect the oth-
ers. This systems perspective is a way of seeing
the world that has emerged from studying eco-
The one-system approach aims at taking logical systems, and in the end, it may help us
full advantage of all the opportunities for inte- design and manage cities so that they become
gration. Integration may apply to hard infra- efficient and adaptable in the same way that
structure systems and land use planning. One natural ecologies are efficient and adaptable.
may integrate elements within a sector or Ecological systems are characterized by mul-
across sectors. Integration may be applied to tifunctionality among elements and the looping
policies, stakeholders, plans, the sequencing of and cascading of resources through linked,
financing mechanisms, and all of these in com- nested subsystems that greatly enhance pro-
bination. In each case, the opportunities aris- ductive utility. They also embody powerful
ing from integration tend to provide greater strategies for managing change—strategies such
efficiency and increased utility for a given invest- as succession and evolution, self-organization,
ment and improve ecological and economic and adaptive management. All these strategies
performance. By applying the one-system are part of what we mean by the integrated or
approach to every project, entire cities and one-system approach. The strategies serve two
their surrounding natural and rural areas are purposes: they improve the efficiency of the sys-
able to coalesce into a functional system that tem as a whole, maximizing assets and informa-
works well as a new whole. tion quality over time, and they help the system
The benefits of integration are especially at- adapt to change at the least cost and recover
tractive because the efficiency gains tend to be quickly and fully from shocks. Many of these
substantial and because the opportunities tend ideas are being applied by innovative cities that
otherwise to be missed. The greatest success in have grasped the potential of these opportuni-
best practice cities has been achieved (1) in joint ties for systemwide sustainability and resilience.
land use, spatial and transportation planning, A one-system approach has many dimen-
and coordinated policies; (2) through positive sions, but it is not complicated. The aim of sys-
synergies across infrastructure sectors (such as tems thinking is to reduce complexity by un-
the positive effect of increased water system derstanding how parts fit into a whole. The
efficiency on energy efficiency because of the challenging aspect is overcoming the institu-
reduction in the need for electricity to pump tional structures and inherited attitudes that
water); (3) in integrated utility management prevent city leaders, investors, designers, us-
systems (for instance, the reuse of sludge and ers, suppliers, and managers from working as a
organic waste as biogas [methane] and fertilizer); team. Adopting the one-system approach as a
(4) through technology solutions (such as com- principle for all projects is a good way to bring
bined heat and power plants); and (5) through the team together.
THE FRAMEWORK | 37
should be appropriately valued or priced and principles. Because the principles are at the
then monitored through indicators. The com- core of the program, we may always fall back
bination of indicators should be viewed as a on the principles if complications arise.
whole so that the qualitative dimensions of city The analytical and operational framework
life (cultural, historic, and aesthetic) are not ig- emerges from the principles. To begin, we de-
nored in the assessment of costs and benefits. rive a set of core elements from each principle.
The basis and implications of policy decisions, The core elements serve to implement the
regulatory actions, and legislation will need to principles. They provide specific information
be assessed within a much broader context and on new concepts and on the roles and respon-
understanding of value. sibilities of Eco2 cities and their partners. Each
At the same time, investing in sustainability core element is an arena of activity and learn-
and resiliency will entail broadening the scope ing. (This is addressed in detail in subsequent
of risk assessment and risk management to in- chapters.)
clude managing the many indirect, difficult-to- Each city may translate the core elements
measure risks that threaten the viability of an into a series of action items or stepping stones
investment or even the city as a whole. In real- that adapt the elements to local conditions in a
ity, cities today face multiple hazards that are logical, step-by-step sequence. The framework
largely external to financial calculations. These summarizes how each principle leads to a set
include sudden disruptions to systems, such as of core elements and stepping stones.
epidemics, natural disasters, and socioeco- Together, the stepping stones for a particu-
nomic changes. By proactively adopting the lar city constitute a unique pathway. The
concepts of resiliency and adaptive capacity, pathway should include all the essential ac-
cities will become more well positioned to ab- tions needed to take leadership, collaborate,
sorb and respond to shocks and protect their design catalyst projects, and invest in pre-
investments. ferred solutions.
Implementing new methodologies and a Table 1.1 provides a summary of the core
broader scope of accounting in many countries elements and stepping stones. Each item is
will be difficult at the beginning. But the prin- described in more detail in subsequent chap-
ciple behind such methods should be clearly ters. However, it is clear from the summary
understood and considered by decision makers. that developing an Eco2 pathway is not a
Curitiba did not undertake a detailed account- simple exercise, nor is it likely to be quick
ing and valuation exercise before following and easy. For this reason, this book also in-
its development agenda. But by appreciating troduces a number of methods and tools that
the broader and longer-term perspective, it are designed to save time and guide deci-
managed to focus on critical interventions sions. The methods and tools provide practi-
that continue to pay lasting and compounded cal ways for cities to take leadership, collabo-
benefits. rate, and analyze and assess ideas for Eco2
projects. The methods also address all as-
pects of project implementation, including
The Move from Principles to Core the use of an expanded accounting process
Elements and a Unique Eco2 Pathway and a strategic approach to financing.2 It is
up to city leaders to determine whether the
The four principles define the scope of each Eco2 initiative is the kind of pathway they
city’s unique pathway. Every aspect of a city’s are seeking. The following chapters describe
pathway is linked directly to one or more of the the step-by-step processes.
An expanded platform for A three-tier platform that enables a city to Initiate a process for collaborative decision
collaborative design and collaborate (1) as a model corporation, engaging making and integrated design to develop the
decision making all city departments; (2) as a provider of services, Eco2 approach as a corporation, as a provider
engaging residents, businesses, and contractors; of services, and as a leader within the larger
and (3) as a leader and partner within the urban urban area.
region, engaging senior government officials, Prepare a mandate and budget for a secretariat
utilities, rural settlements, private sector that can support collaborative committees
stakeholders, nongovernmental organizations, through background research on cross-cutting
and academia issues and the facilitation of regular meetings,
A shared long-term planning framework for communications products, and event planning.
aligning and strengthening the policies of the city Prepare a long-term planning framework, in
administration and key stakeholders and for collaboration with others, and seek consensus on
guiding future work on Eco2 projects common goals and indicators of performance, an
overarching growth management strategy, and
an adaptive management approach.
Select a catalyst project suitable for demonstrat-
ing the Eco2 principles, aligned with the goals and
strategies identified in the long-term planning
framework.
THE FRAMEWORK | 39
Table 1.1, continued
An investment framework Incorporation of life-cycle costing in all financial Use a life-cycle costing method or tool to
that values sustainability decision making understand the life-cycle costs and cash flows.
and resiliency Equal attention to protecting and enhancing all Develop and adopt indicators for assessing the
capital assets: manufactured capital, natural four types of capital and for benchmarking
capital, social capital, and human capital performance.
Proactive attention to managing all kinds of risk: Forecast the impacts of plausible changes in
financial risk, sudden disruptions to systems, and climate, markets, resource availability, demo-
rapid socioeconomic environmental change graphics, and technology by hosting a forecast
workshop.
Implement a catalyst project in ways that protect
and enhance capital assets and reduce vulner-
abilities: the best way to learn the accounting
methods is in practice in a catalyst project, and
a base case scenario may be developed as a
benchmark for comparing alternative approaches.
Monitor feedback results, learn, and adapt to
improve performance.
THE FRAMEWORK | 41
CHAPTER 3
A City-Based Approach
The first step toward a city-based approach is to appreciate and apply the philosophy at all levels,
from local councils to national governments to the international community. One should recognize
that local governments, working in collaboration with stakeholders, are now on the front line in
dealing with some of the most pressing development challenges and that, most often, they hold the
key to solutions. It is this philosophy that motivates the Eco2 initiative. The core elements and step-
ping stones of a city-based approach are designed to enable local governments to lead a develop-
ment process that accounts for their specific circumstances, including local ecology.
THE FRAMEWORK | 43
A planning philosophy that recognizes the ban professionals with their most exciting
fundamental role of local ecological assets design challenge: how to fit cities into the
Local ecological assets provide all kinds of ser- landscape in ways that respect and comple-
vices to cities, from sand and gravel for concrete ment our natural capital and that ensure the
to renewable sources of energy, supplies of availability of ecological services for present
drinking water, the assimilation of waste prod- and future generations. In theory, all the
ucts, the pollination of market gardens, pleas- constructed elements that make up a city
ant views, and recreational environments. The may contribute to and benefit from the health
list of services for a typical city is long. These and productivity of local ecologies and natu-
services are increasingly critical to the viability ral resources.
of the local economy and to the health, safety,
and quality of the lives of residents. Because we An action-oriented network
lack a systems perspective and comprehensive The city-based approach requires an action-
accounting methods, the real quantity and val- oriented network that knits together cities,
ue of such assets are rarely recognized. New ac- their senior or national governments, and their
counting methods should help fill this gap. So supporters at all levels. The composition of
will a new philosophy of planning that assigns supporting players will vary from place to
priority to these assets in reaching decisions place, but should be broad enough to include
about urban form and land use. local stakeholders, academic institutions, pri-
A city-based approach alters the mind-set of vate corporations, international agencies and
the urban planner and civil engineer. Urban organizations, and best-practice cities. Each
development moves from big-architecture in- player in the network will bring different yet
dustrial engineering and environmental man- complementary strengths. Some will bring
agement (coping with externalities) to the strong technical expertise, while others might
stewardship of landscapes and the integration bring financing or educational programs. It is
of social and ecological values into land use this mix of players and resources that makes a
planning and infrastructure design and man- sustainable transformation possible. However,
agement. This is a change from the traditional the agenda may become confusing and prob-
city-centric view whereby natural systems are lematic unless the players in the network share
valued only as economic inputs or amenities an understanding of their respective roles. In a
and wherein the rural and natural fringe of city-based approach, the role for all players is
lands surrounding a city is most often ignored primarily to support the city in a bottom-up
or treated as an urban preserve for future ex- process. Why do we look to cities to lead? Be-
pansion. cause the local level is often where the greatest
The Eco2 approach to planning begins opportunity exists for truly creative solutions
with understanding the opportunities and and for maximizing the benefits of an invest-
constraints of local ecologies. How do we fit ment across many sectors (see box 1.1). Instead
into the topography of the area so that water of promoting a one-size-fits-all solution, the
may be provided by gravity? How do we pro- network provides the city with enabling poli-
tect the water recharge areas and the wet- cies, information flows, targets and guidelines,
lands so that water capacity and quality are and the freedom to create and adapt. Local
sustained? How do we distribute populations self-reliance is explored before investigating
so that local renewable energy—windy sites, possible solutions at higher levels. When an
forests, solar access—is sufficient to meet our action-oriented network is aligned in support
basic needs? These types of questions are the of a city, it is often surprising just how much
place to start and may ultimately provide ur- can be achieved locally.
In the Eco2 approach, bottom-up actions are those that begin at the the next level. As we move from the local or city scale towards
most local level: the city or its particular neighborhoods and build- regional, national and international scales, the need for design
ings. Instead of investing in, for example, a remote power station or and investment is progressively reduced because we are tapping
equipping a regional water utility with oversized pipelines, it is better into local creativity and resources. This bottom-up process is
to first explore bottom-up solutions, such as, for this example, a roof- possible only if supported from the top down, especially from
top rain-water catchment system and a solar water heater. If the most regional or national utilities, senior governments, and the interna-
local solutions are insufficient, move up one level and consider re- tional community.
claiming water at the block or neighborhood, or a district heating Top-down support comes in many forms. Most important are
system. Only when the most localized solutions are impractical, un- enabling policies: those policies that provide cities with the
economic, or undependable should the network start to focus on authority, skills, knowledge, and financial resources to implement
local solutions. This might take the form of a national group help-
ing successful cities share their experience and lessons learned—
what worked and what didn’t—with other cities. Or a regional
utility might agree to help set up, finance, or operate a local utility
for district energy. Top-down support can also consist of clear
targets and guidelines that help cities synchronize their designs
with, for example, the regional economic development strategy
or an international strategy for climate change mitigation. Finally,
top-down support can include physical infrastructure systems
that are flexible enough to allow each location to share with
others its surpluses of water, energy, materials, and other services.
In an action-oriented network, the top-down solutions may be
diverse, but they are always city-based. They increase the capaci-
ty of cities to solve their own problems by providing them with
a coordinated and complementary package of policies, targets,
financial mechanisms, guidelines, knowledge, and flexible infra-
Source: Author elaboration (Sebastian Moffat). structure systems.
A city-based decision support system gest lasting, most valuable, and most complex
The Eco2 approach requires that cities enhance artifact created by humanity. Even under the
their technical and administrative capacity, best of circumstances, urban planning is a
particularly with respect to leading collabora- complex task, and the challenge increases if
tive processes and exploring integrated design there is an attempt to implement integrated
solutions. Capacity building means adopting solutions, which may add to the complexity.
methods and tools that help simplify other- Of course, the task becomes that much more
wise complex decisions. This is the role of a challenging in developing countries if resourc-
city-based decision support system (DSS). es are limited and if urbanization seems to be
The city-based DSS is an evolving set of happening too quickly. Other challenges in
methods and tools designed primarily to developing countries include the lack of expe-
help cities take leadership and make the rience with computer-based planning tools
best choices. Each city may develop its own and the inadequate performance of existing
DSS. infrastructure. For all these reasons, a city-
Coping with complexity is one of the great- based DSS is an essential element in each city’s
est challenges in Eco2. Cities represent the lon- sustainability pathway.
THE FRAMEWORK | 45
One of the most difficult tasks faced by broad support within the city, the program
someone trying to apply an integrated approach should be introduced as a return to ap-
to infrastructure systems is the dynamic rela- proaches that have worked in the past and
tionship that exists between physical flows and as a reaffirmation of traditional values and
spatial form. Physical flows tend to be addressed institutions. The history of most cities is
through modeling and calculation, and these replete with stories that may be used for
typically involve individuals with engineering this purpose.
and technical backgrounds. Spatial issues are
• Talking about trigger issues: Identify the
usually addressed using mapping techniques,
current political issues within the commu-
and these involve individuals with a planning
nity that are most likely to be addressed
or design background. Integrated design solu-
through an Eco2 approach. All politicians
tions incorporate spatial and physical flows
want to resolve such issues, and media per-
and an understanding of interrelationships.
sonnel want to report on them, not on a
The city-based DSS can help create a transdis-
program or philosophy. These are the trig-
ciplinary platform for the purpose of involving
ger issues that will build support for the
all these people and many others. Physical and
Eco2 approach.
spatial effects are communicated using graph-
ics tools, data sharing, and terms and images • Learning to lever influence, stand firm, and
that may be easily understood in a multidisci- say no: The levers of influence and control
plinary group. (These and other aspects of the vary considerably from one location to an-
Eco2 city-based DSS are described in more other, and this obviously affects the poten-
detail in part 2.) tial for an Eco2 approach. For example, in
some countries, national governments con-
trol the financing for urban infrastructure;
Stepping Stones for in other countries, the investment by cities
in local renewable energy systems is pro-
a City-Based Approach
hibited by law. Cities that lack control over
financing or that lack the authority to de-
Review and adapt the Eco2 Cities Initiative
velop new policy obviously face a greater
The management of change is most successful
challenge. However, the biggest difficulty
if the new ideas are clothed in familiar patterns
often revolves around using levers that in-
and reflect a sensitivity to local concerns and
fluence decisions, including zoning, devel-
capabilities. An assessment of local strengths
opment approvals, hook-up requirements
and weaknesses helps tailor the Eco2 initiative
for infrastructure, and so on. An assess-
to local conditions and experiences. This may
ment of local strengths should clarify the
involve a number of different ways of custom-
full extent of influence and power available
izing Eco2:
to local government. Almost always, cities
• Traveling back to the future: Begin by re- have more authority than they realize, and
viewing the history of the city and region, the real challenge is learning to say no to
focusing on examples of cases in which city the short-term vested interests that drive
leadership has achieved positive outcomes so much land development.
or in which a more well integrated ap-
proach to design or a process of collabora- Identify local champions
tion has already helped generate multiple The successful introduction of Eco2 principles
benefits. Use these historical examples to usually requires a strong champion who can
explain the strengths of Eco2. To obtain help motivate the many groups that need to be
THE FRAMEWORK | 47
Figure 1.4 A Possible Government Role: Administering a National Eco2 Fund to Support Participating Cities
Source: Author elaboration.
Note: IFC = International Finance Corporation; TA = technical assistance; ESCO = energy service company.
Although the limited resources available to SKr 27.3 billion (almost €3.0 billion), of which
national government departments may con- SKr 21 billion (about €2.3 billion) represented
strain their ability to participate directly with investments directly related to sustainability
cities on new initiatives, these departments and the environment. It has been estimated
should still seek ways to participate to some that 20,000 full-time short-term or permanent
degree in any regional-scale collaborative jobs were created through this process. (For
working groups. more details on this program, refer to part 3.)
Another interesting and highly influential Figure 1.4 illustrates one possible model for
role for national governments involves estab- a National Eco2 Fund Program. The national
lishing a national Eco2 Fund Program, which government would adapt the Eco2 initiative to
may serve as a conduit for financing programs local circumstances, working in partnership
and disseminating knowledge on global best with the World Bank, other international agen-
practices. Canada and Sweden have used simi- cies, development organizations, and the pri-
lar mechanisms to support cities. In Sweden, a vate sector. It would allocate resources among
local investment program, which lasted from cities and administer funds.
1998 to 2002, allocated SKr 6.2 billion (€671 Whatever the involvement of national gov-
million) to 211 local investment programs in 161 ernment in the program, it is important for lo-
municipalities, involving 1,814 projects (Swed- cal governments to adapt their Eco2 pathways
ish Environmental Protection Agency 2004). to the priorities currently established at the na-
From municipalities, businesses, and other or- tional level. This means finding points of com-
ganizations, this national investment leveraged monality and adopting terms and language
THE FRAMEWORK | 49
in cases where consensus exists. These distinc- ency campaign is aimed at helping decision
tions need to be made clear and to be accepted makers become comfortable in using a new
because they expand on the traditional view of language for design and investment.
best practice in governance.
Fluency is also important in realizing the
concepts of ecological design. The looping and References
cascading of resource flows within a city may Beatley, Timothy. 2000. Green Urbanism: Learning
be explained using graphical case studies. It from European Cities. Washington, DC: Island
may be helpful to gather key decision makers Press.
together for several hours in a comfortable en- Swedish Environmental Protection Agency. 2004.
“Local Investment Programmes: The Way
vironment to discuss the case studies and the
to a Sustainable Society.” http://www.
key lessons learned or even to participate in naturvardsverket.se/Documents/
mock workshops and design exercises. The flu- publikationer/91-620-8174-8.pdf.
The principle of the expanded platform speaks to the importance of adopting a design and decision-
making process that is more well integrated, adaptable, and lasting. If we want to improve eco-
nomic and ecological performance through integrated, fine-scaled, flexible, and long-lasting solu-
tions, we must also pursue shifts in the institutional arrangements that enable design and decision
making. In many ways, the constructed environment is a mirror of the way we think and relate.
The solution is twofold: (1) engage stakeholders at all scales in a collaborative process as part of
every major project, and (2) develop an overarching planning framework for sustainability and re-
siliency that includes goals, targets, and strategies. Each of these elements is discussed in this chap-
ter. The elements are mutually supportive. The collaboration at all scales generates the skills, good-
will, and creative interchange needed to adopt new business models. The shared planning framework
provides the context for integrated project design and also aligns everyone’s plans and policies with
a common set of community goals.
Collaboration is also a new form of governance. By engaging stakeholders at all scales, the city
creates a planning forum that is more appropriate to mixed economies in which private sector
groups often control a majority of the infrastructure systems. Because the process is driven by long-
term goals and strategies, it can help cities compensate for the impacts of frequent election cycles,
which tend to focus attention on short-term agendas and crisis issues.
The single greatest difficulty in adopting collaborative arrangements is the lack of any institu-
tional champion to lead and guide the process. Almost by definition, no department, group, or gov-
ernment has the mandate, funds, or independence to undertake such a broad, cross-cutting process.
Without a sponsor or host, the process never gets started. This is one reason so few collaborative
models exist at the city scale. It is also a key reason the Eco2 Cities Initiative proposes that cities
THE FRAMEWORK | 51
assume leadership in creating a platform for ongoing collaboration. Methods and tools to help cities
organize an expanded platform for collaboration and to help cities use this platform to develop
effective planning frameworks, including regional growth strategies, are included in the city-based
decision support system (part 2).
The Core Elements of a may be warranted. For example, the city might
Platform for Collaboration reduce transportation costs for employees by
means of ride sharing, bicycle storage, a new
A triple-tier platform parking policy, the purchase of efficient vehicles,
The city can lead a collaborative process on at tele-work, and so on. Such a project might re-
least three levels or tiers (see figure 1.5). Each quire changes in the facilities in buildings and
tier affects the others, and in an ideal world, employee benefits, changes that may only be
every city should lead a collaborative working possible through a collaborative process involv-
group at every tier. In practice, the process may ing many city departments. Other internal ini-
be incremental or periodic. However, it is tiatives might include improving the efficiency
still important to differentiate the options. The of building operations, procurement processes,
tiers reflect the varying levels of control and waste management systems, and energy use.
influence. Whatever the program or project, this inner-
tier collaboration provides the city with an
Inner tier: The house in order immediate opportunity to learn how to lead an
(corporate operations) effective process and demonstrate the benefits
The first and most fundamental tier is the col- of the process. The city may use the collabora-
laboration that may occur within and among tive process as a model for all efficient and sus-
the departments of the city. At this innermost tainable corporate operations. In almost every
tier, the city has a great measure of control. sector worldwide, the leaders in sustainability
Here, the city government may address how not only provide sustainable products and ser-
well it functions as a corporation and how well vices, but also take pride in corporate perfor-
it works as a team to put its house in order. mance (for example, their green headquarter
Various departments may routinely collabo- offices). The same logic applies to cities. There
rate to make decisions that are more well inte- is no excuse for failing to collaborate internally
grated and more effective. Cross-cutting goals because the city may initiate the process
and targets may be adopted and incorporated unilaterally. The benefits extend well beyond
into the strategic plan. A reporting and monitor- internal operations. It is always easier for cities
ing process may be implemented that informs to lead a collaboration process externally with
the wider community of how well the city is stakeholders and partners if the city has already
looking after its various assets, including em- succeeded internally.
ployees, equipment, capital, publically owned
buildings, and so on. Special internal programs Middle tier: The city as a provider
of services
The middle tier of the collaborative platform
The future seems to lead quite clearly to a consensus-led approach may be focused on municipal services—the var-
where everything is discussed and the participation of all interested ious public services delivered by city govern-
groups spans all phases of the development plan process. ment to residents and businesses within city
Source: Lahti (2006). boundaries. Although the services and associ-
ated investments may be largely or completely
THE FRAMEWORK | 53
challenging for cities, but potentially the most base or access to development funding. The fo-
rewarding. At the outer tier, the city is merely cus of collaboration needs to be long term to
one player among many. It is not immediately find common purposes. Absent a collaborative
clear why or how the city becomes a leader. It is process, the regional stakeholders will almost
also difficult to find (except in the case of island certainly be working at cross-purposes. Col-
states) any one definition of boundaries for a laboration provides an unusual and important
region because the ideal boundaries will change opportunity for such groups to meet, develop
with each issue. The urban region is always a personal relationships, agree on long-term di-
fuzzy concept. However, many examples now rections, and discuss current plans. For exam-
exist of cities that have risen to the challenge ple, electricity companies might meet with
and, in so doing, greatly enhanced the capacity natural gas companies and begin a conversa-
of their communities to articulate and achieve tion about the best long-term uses for scarce
economic and ecological goals. To a large energy resources within the city. The owners
extent, the sustainability of a city depends on of buildings might likewise discuss with city
the city’s capacity to provide leadership and departments the appropriate level of invest-
collaborate at the scale of the urban region in ment to be made to upgrade existing building
which it is immersed. stock for resource efficiency. These are crucial
Stakeholders at the outer tier may resist issues for Eco2 cities, and they can be resolved
attempts to develop a formal platform for col- only through a continuous, well-managed dia-
laboration. For an electrical utility, for example, logue and collaborative decision making.
the service territory may form a logical plan- The outer tier collaborative platform re-
ning unit, not a particular urban region. For quires a strong structure. It may include senior
adjacent towns and cities, the habitual mode statespersons at the core; team leaders selected
may be competition for land rents and a tax from private firms, knowledge institutions, and
public bodies; and experts and champions from
a variety of sectors. The structure may build on
existing partnerships and committees if these
The Emergence of the Regional City as a Crucial Scale for exist and if they are consistent with the collab-
Long-Term Planning orative process. A collaborative working group
Peter Calthorpe and William B. Fulton (2001) describe the resurgence of does not need to be time limited. Ad hoc sub-
a regional approach to city building. They argue that the economic,
groups may be formed to meet regularly on
social, and ecological patterns of cities now seem to be more well
specific issues as appropriate. (Part 2 provides
understood and planned at the regional scale. As cities mature, the
traditional combination of urban sprawl and satellite or edge cities is
transformed into a structure that is more accurately described as polycen-
tric, that is, more like a cluster of grapes than a single fruit with a dense “Coordination and collaboration between
core. The polycentric forms are complex; instead of the focus on a single national, provincial, and local authorities can
center, we see layers of networks—economic, open space, resources, achieve harmonious regional and urban devel-
and connections—with many more centers or nodes nested within opment, provided they share a common vision
other nodes. The challenge is to fit these complex forms into the land- and demonstrate sufficient political will. . . . local
scape in ways that suit the ecology of the region and its resource base authorities, working with regional authorities,
and also to limit and contain the nodes so they are at a human scale need to develop clear visions and strategies
and walkable. “The regional city,” write Calthorpe and Fulton (2001: 10), that articulate short- and medium-term respons-
“must be viewed as a cohesive unit—economically, ecologically, and es to enhance economic and social conditions in
socially—made up of coherent neighborhoods and communities, all of their cities.”
which play a vital role in creating the metropolitan region as a whole.” Source: UN-Habitat (2008: xvi).
THE FRAMEWORK | 55
BOX 1.2
their strategic plans, master plans, concept the myriad city departments and stakeholders
plans, transportation plans, and economic de- who might be involved in project planning and
velopment plans. Integrated design teams may implementation.
use the framework to direct each stage of their As cities undertake a more well integrated
designs and to remind designers about the full approach to system design and develop an ex-
scope of community goals and priorities. At ev- tended platform for collaboration, the shared
ery stage, a shared framework helps us com- framework may help to solve the problems in
municate and work together in a coordinated organizing and communicating complexities.
fashion. Because everyone shares the frame- It puts first things first and cross-links every
work, it is clear how each activity fits into the concept and action into an easily understood
whole, and there is less need to micromanage argument. This creates an easy-to-follow men-
THE FRAMEWORK | 57
of towns and cities that make up
the existing urban area, but also to
the combination of rural and natu-
ral areas immediately surrounding
the city. A lot of city planning is city cen-
tric and treats areas outside the city limits
as simply the responsibility of another ju-
risdiction. However, without regional
planning, it is impossible to address long-
term goals and to benefit from an ecologi-
cal and economic perspective, the Eco2
approach.
Part of the reason a regional context is
important is the unregulated and un-
planned urban expansion that is occur-
ring worldwide, in some cases even where
populations are shrinking. This threatens
the long-term health and prosperity of cit-
ies and countries. Increasingly, cities de-
pend on the rural and natural areas in
Figure 1.6. Aalborg Charter which they are immersed. These areas
Source: Author compilation based on EU (1994).
provide ecological functions, capturing and
cleaning water; cooling, slowing, and filtering
Over time, the collaboration around goals air; growing fresh produce for food security
and strategies may begin to coalesce around a and public health; and providing energy re-
common frame of reference throughout a city. sources that are renewable and secure. A
This framework is a triggering factor leading to shared regional strategy becomes an umbrella
innovation and compliance across all sectors. plan that defines how to direct city growth in
Such positive spillover effects are the ideal re- ways that protect and enhance many ecologi-
sult, creating a powerful local culture of sustain- cal functions. This type of umbrella plan is
ability. In Curitiba, for instance, the overarching sometimes called a regional growth strategy.
vision of sustainability inspired citizens volun- The urban region is also a vital scale for
tarily to plant 1.5 million trees along the streets economic planning. Almost all economic
(ICLEI 2002). patterns are formed at the regional scale, and
A shared long-term planning framework is efforts to intervene and control economic devel-
most effectively focused at the urban region as opment must also be executed at this critical
a whole, even if this area exceeds the jurisdic- scale.
tional boundaries of the city. In this context, Defining the boundaries of an urban region
urban region refers not only to the city or group may be difficult. In fact, the actual dimensions
THE FRAMEWORK | 59
Select a catalyst project References
A catalyst project is a key part of managing
change. Catalyst projects should be projects Calthorpe, Peter, and William B. Fulton. 2001.
The Regional City: Planning for the End of Sprawl.
that offer substantial benefits to the most influ-
Washington, DC: Island Press.
ential stakeholders and that may be completed
EU (European Union). 1994. “Charter of European
relatively quickly at low risk to the city. With Cities & Towns Towards Sustainability.”
luck, the catalyst project will contribute to a http://ec.europa.eu/environment/urban/
rising spiral of goodwill and acceptability pdf/aalborg_charter.pdf.
ICLEI (ICLEI—Local Governments for Sustainability).
for the Eco2 pathway. Choose carefully; first
2002. “Curitiba: Orienting Urban Planning to
impressions count for a lot. The creation of Sustainability.” Case Study 77. ICLEI, Toronto,
positive expectations among participating Canada.
stakeholders and the public is crucial in success- Jacobs, Jane. 1961. The Death and Life of Great
ful change management. American Cities. New York: Random House.
Kenworthy, Jeffrey R. 2006. “The Eco-City: Ten Key
Transport and Planning Dimensions for Sustain-
able City Development.” Environment and
Urbanization 18 (1): 67–85.
Lahti, Pekka, ed. 2006. Towards Sustainable
Urban Infrastructure: Assessment, Tools and Good
Practice. Helsinki: European Science Foundation.
Prasad, Neeraj, Federica Ranghieri, Fatima Shah,
Zoe Trohanis, Earl Kessler, and Ravi Sinha. 2009.
Climate Resilient Cities: A Primer on Reducing
Vulnerabilities to Disasters. Washington, DC:
World Bank.
UN-Habitat (United Nations Human Settlements
Programme). 2008. The State of the World’s
Cities 2008/2009: Harmonious Cities. London:
Earthscan Publications.
A One-System Approach
A one-system approach enables cities to plan, design, and manage the entire urban system by
integrating or optimizing key subsystems. In doing this, it provides opportunities for cities to realize
many benefits through synergy.
As we explore the possibilities for a one-system approach, we first address the enhancement of the
efficiency of resource flows in an urban area through integrated infrastructure system design and
management. The approaches apply to most urban infrastructure sectors, such as transportation,
energy, water, and waste management, and may be applicable within each sector and across sectors.
Next, we look at the possibilities for applying a one-system approach to integrate urban form and
urban flows. We consider spatial planning, land use, density, connectivity, proximity, and other at-
tributes of urban form, and we examine the large extent to which overall system efficiency depends
on the integration and coordination of these attributes with infrastructure systems. There is a fun-
damental relationship between a city’s infrastructure systems and its urban form. Urban form and
spatial development establish the location, concentration, distribution, and nature of the demand
nodes for the design of infrastructure system networks. Urban form establishes the physical and
economic constraints and parameters for infrastructure system designs, their capacity thresholds,
and technology choices, and the economic viabilities of the various options. These have tremendous
implications for resource use efficiency. At the same time, infrastructure system investments (trans-
portation, water, energy, and so on) typically enable and induce particular spatial patterns on the
basis of the market response to the investments.
The final section of the chapter explores ways to implement projects using a more well integrated
approach to implementation. This means that investments are sequenced so that the city sets the cor-
rect foundation by addressing long-lasting, cross-cutting issues first. This also means creating a policy
environment that enables an integrated approach, coordinating a full range of policy tools, collaborating
with stakeholders to align key policies, and targeting new policies to reflect the different circum-
stances involved in urbanization in new areas and the improvement of existing urban areas.
THE FRAMEWORK | 61
It is critical for cities as they strive for greater ecological and economic sustainability to develop
a systems perspective and apply the one-system approach. A review of this chapter reveals a more
complete picture of the opportunities and the possibilities for new development paths. In addition,
methods and tools introduced in part 2 may help planners, engineers, and designers visualize system
dynamics; model the systemwide impacts of different design and policy options at varying scales;
and, generally, think outside of the silos created by professional training, institutional structures,
and historical practice. As outlined in box 1.3, this will include the use of material flow analysis and
the layering of information on maps to create a transdisciplinary platform for integrated design.
The Core Elements of a One-System gressive block tariffs with precisely targeted
Approach subsidies (where needed for social consider-
ations), are an effective mechanism to reduce
Integrating flows: Infrastructure system demand. This is because tariffs that do not re-
design and management flect the true economic cost may send the
We first address the issue of enhancing the ef- wrong signal to consumers and lead to waste or
ficiency of resource flows in an urban area the overuse of resources. It is widely recog-
through integrated infrastructure system de- nized that, historically, too much has been
sign and management. These approaches ap- invested too quickly in supply solutions as
ply to most urban infrastructure sectors, such opposed to reducing demand through resource
as transportation, energy, water, and waste efficiency standards; building retrofits; and the
management, and may be applicable within replacement of lighting, fixtures, vehicles, and
each sector and across sectors. appliances. In every sector, significant gains
have been realized by demand-side manage-
Integration of demand and supply: ment (DSM); examples are the cases of Yoko-
Addressing efficiency and conservation hama, Japan, in the waste sector (a capital ex-
before supply-side investments penditure of US$1.1 billion was avoided) and
An integration of supply and demand must Emfuleni, in the energy and water sector (where
always begin by asking why one should bother singular investments of US$1.8 million led to
about new infrastructure if investments in annual savings of US$4.0 million). Not only do
demand reduction and the more efficient use the net economic returns tend to be higher for
of existing infrastructure are more economical DSM, but so, too, do the many indirect benefits
and beneficial. The integration of supply and for a city, including improved living environ-
demand is a strategic approach that needs to be ments and reduced vulnerability to future price
supported by careful investment planning. For fluctuations or interruptions in resource supply.
any given investment in services, an optimum While DSM may be easy to implement and
balance exists between investments in system- may quickly pay dividends in some instances,
wide and end use efficiency and investments in in other instances, it is difficult to implement
new supply systems. In an ideal scenario, sup- because of the incentives of various stakehold-
ply- and demand-side investments are consid- ers. Consider the case of housing and commer-
ered on a level playing field, and money is cial buildings. On the one hand, they represent
placed where the returns to society, the econo- a tremendous potential for DSM because most
my, and the environment are greatest. In most buildings have not been constructed to energy
utilities, proper tariff structures based on full or water efficiency standards and may quickly
cost recovery principles, together with pro- generate high returns on relatively small
Customers
Streets
Parcels
Elevation
Land Use
Real World
This flow diagram summarizes all the water flow through Hong Kong (China) and Source: Copyright © ESRI, used by permission, http://www.
is one of the first illustrations of an urban metabolism. esri.com/.
Source: Boyden, Millar, and Newcombe (1981).
FLOWS: Material flow analysis and Sankey diagrams FORMS: Layering of information on maps
Material flow analysis and Sankey diagrams are a method for calculat- Maps are especially useful in collaboration because they speak so
ing and illustrating the flow of resources through an urban area of any well to so many. (A picture is worth a thousand words.) The layers
size. Inputs and outputs are determined as resources are extracted of information make it possible immediately to interrelate the
from nature; processed by infrastructure; consumed by homes and various features and qualities of the landscape and also easily to
businesses; treated by infrastructure; and, finally, returned for reuse or quantify important spatial relationships. Layering is an old tech-
delivered back to nature as waste. Colorful, but simple, diagrams are nique that has become more powerful as a result of computer
used to educate everyone on the resource flows and the effective- technology and satellite imagery.
ness of their use, all on a single page.
A platform is needed to integrate the design concepts for urban form with the
corresponding resource flows.
Source: Redrawn and adapted from Baccini and Oswald (1998).
THE FRAMEWORK | 63
through regular audits; commissioning, pro-
cess enhancement; and improved training
The Demand Versus Supply Approach
among the personnel who install, operate, and
Urban infrastructure projects are predominately of a supply nature;
manage systems. The proliferation in the num-
that is, they are focused on the supply of a service rather than a
reduction in the demand for a service. This may encourage the ber of energy service companies (the end prod-
excessive use rather than the efficient use of services, which is coun- uct of which is energy efficiency) is evidence of
ter to sustainable development; for example, building more roads the growing and still untapped potential of the
encourages a greater volume of traffic. The approach to sustainable energy efficiency market.
development should therefore involve reducing demand and then Often, DSM in one sector may lead to bene-
providing efficient and effective supply. fits in another sector. For this reason, integrated
Source: Lahti (2006). approaches across sectors are critical. For
instance, the significant urban energy benefits
of the water sector’s DSM led to a program
launched by the Alliance to Save Energy. The
investments. On the other hand, changes to program is called Watergy. The alliance has
existing buildings require collaboration achieved significant benefits in developing-
among decision makers, and the benefits do country cities by increasing access to clean
not always accrue to those who must make water, while reducing energy costs and water
the investments, thereby fracturing the incen- losses. In Fortaleza (northeast Brazil), the
tive structure. For example, if owners cannot alliance worked with the local utility, the
capture the benefits of energy efficiency sav- Companhia de Água e Esgoto do Ceara, to
ings, they will not invest in retrofitting; rent- develop and implement measures to improve
ers who have a short time horizon also have the distribution of water and the access to san-
no incentive to invest in retrofitting. In addi- itation services, while reducing operating costs
tion, the standards for products, including and environmental impacts. The utility invest-
building codes, are often established by se- ed about US$1.1 million, including in the instal-
nior government entities and are therefore lation of an automatic control system, and
difficult to align with local goals and strate- saved US$2.5 million over four years. The effi-
gies. For all these reasons, a well-planned ciency gains were so great that 88,000 new
collaborative process is necessary if the ben- households were connected to the water
efits of integrating supply and demand are to system, without the need to increase supply
be captured. (Barry 2007).
DSM measures may apply to all sectors and DSM can even apply to spatial systems. For
may include investments in more efficient example, the demand for land may be reduced
technology. Typical examples include energy through a review of regulations (including ad-
retrofits of building envelopes; resource-efficient justing minimum lot sizes, increasing floor area
lighting and appliances; low-flow water fix- ratios, revising zoning, and adjusting land sub-
tures; waste reduction, reuse, and recycling; division parameters), layering of different land
and use of bus rapid transit instead of cars on use functions on the same site, or a reduction
the same roads (thereby avoiding the need to of parking spaces. (Additional analysis of the
construct more roads). It may also imply a cul- management of the spatial structure of cities
ture of doing more with less and living lightly may be found in part 3.) In all cases, the de-
on the Earth by voluntarily limiting consump- mand-supply relationship needs to be replaced
tion and waste. DSM may also be achieved by with an approach that enables and encourages
improving designs at multiple levels and demand management.
THE FRAMEWORK | 65
to the requirements of the end user. As the looping of water resources (figure 1.9). The
quality deteriorates, the resource is directed to approach successfully lowered annual water
uses with lower quality requirements. In this demand in the city from 454 million tons in
way, water, energy, and materials may achieve 2000 to 440 million tons in 2004 (Tortajada
two or more functions in sequence. Figure 1.8 2006), while the city’s population and GDP per
illustrates the transition from a once-through capita grew by 3.4 percent and 10.3 percent,
flow water supply system to an integrated sys- respectively. Cascading and looping represented
tem that matches quality to needs. It cascades a welcome departure from conventional supply-
water flows from drinking and cooking and driven investment approaches (often based on
sanitation to toilet flushing and the subsoil irri- business-as-usual scenarios) to a new resource
gation of gardens. The chief benefit of cascad- management approach, including effective
ing is efficiency gains (satisfying many demands demand-management control.
with the same unit of supply); however, an
added advantage is the capacity to direct scarce Looping resource use: Reclaiming
resources to essential needs during difficult the secondary resource values
times. Resources may be cascaded through Looping refers to the closed loop systems that
multiple uses and then, through processing, ultimately return water and materials to their
may be looped back to the original point of use. points of origin. Returnable drink containers
Considered a water-scarce city-state, Singa- are an obvious example, but the same concept
pore adopted an integrated water resource may apply to the much larger flows of organic
management strategy that includes many inte- material and water that are carried within
gration strategies, including the cascading and drinking containers.
Looping is common in natural ecologies, Sjöstad in Stockholm. Energy, water, and waste
where it is manifest in the water cycle, the are looped many times to enhance and opti-
carbon cycle, and the nitrogen cycle. City infra- mize the utility derived from resources. (See
structure is most successful if loops are closed. the case study on Stockholm in part 3.)
This might mean recharging aquifers during Looping also provides an opportunity to in-
rainy periods or converting organic waste into vest strategically in the weakest link. Once the
soil supplements for local parks, gardens, and connections in the loop are understood, it is
farms (figure 1.10). Looping close to home is possible to retrofit existing infrastructure
especially effective because it reduces trans- based on greater knowledge of the most effec-
portation costs and creates many potential tive investments in each sector. For example,
benefits such as jobs close to home and local for water, wastewater, and gas distribution sys-
stewardship. tems, leakage reduction in existing pipelines
An example of cascading and looping across represents an effective investment for improv-
infrastructure sectors is the case of Hammarby ing water and energy use efficiency.
THE FRAMEWORK | 67
Distributed systems for omnidirectional buildings so that equipment may be well man-
flows: Achieving greater functionality for aged and used continuously (figure 1.11). Com-
nodes and networks bined heat and power plants in Europe often
The integration of nodes and networks is operate at this scale and thereby provide power
achieved through distributed systems. In a tra- and heating across city districts. Another exam-
ditional supply-oriented approach, the number ple might be septic tanks attached to buildings,
of nodes is few; a single supply facility might be which may be interconnected to a small in-
the only supply node, for example, and the dis- ground wastewater treatment facility at a local
tribution network may be a simple one-way park or to a high-rate composting vessel at the
hierarchy from a big facility node directly to nearest recycling depot or community garden.
users. A fully distributed system actually works Distributed systems make greater use of net-
in both directions and enables omnidirectional working. Local networks for capturing water
flows. The supply system may begin at or near or generating power may allow nearby sites to
the home, office, or shop where the demand for share surpluses with others, creating a two-way
services originates. Local and renewable op- micronetwork. Surplus energy (for instance)
tions may be explored for on-site supply, stor- generated by a cluster of users may be stored
age, or treatment; roof-mounted technology for later use or sold back to a smart grid. Local
may capture and store water, for example, or networks may be nested within larger net-
capture and convert sunshine. It is conceivable works. In this way, the pattern changes to a
that public utilities may still own and manage system with many nodes serving clusters of
technologies, but they are located on-site. If users and connected through a complex net-
on-site facilities are not practical, sufficient, or work with omnidirectional flows. Distributed
economical, the next choice is to examine op- systems may cover large areas of the city, but
tions for the cluster, block, or neighborhood. the nodes are more numerous, and the net-
Economically, it is often viable to locate a works are more adaptable.
significant capacity in supply and treatment fa- The Rocky Mountain Institute’s pathbreak-
cilities at the neighborhood or district level or ing and comprehensive work on the viability of
at the center of small clusters of mixed use distributed energy systems catalogues over
THE FRAMEWORK | 69
The photographs in figure 1.13, from a West
Coast Environmental Law study, describe the
integration of a trail system and other forms of
infrastructure. Many possibilities exist for such
multipurpose facilities and amenities (see fig-
ures 1.14–1.19). At some point, the integration
of systems is most successful if it is, in fact,
difficult to isolate any particular system from
the others. The functional components of
urban services are tightly woven into the fabric
of the community at the most local scale.
Figure 1.12 Distributed Systems Urban form, land use mix, density,
Source: Author elaboration (Sebastian Moffatt).
Note: Centralized, remote facilities with one-way networks may be transformed into distributed systems
connectivity, and proximity
as shown in these two extreme examples of energy systems. In the centralized example, a remote The integration of spatial planning and infra-
facility services all end users in a one-way distribution network. In the distributed case, all buildings
within a 5-kilometer radius are connected to a local heating and cooling plant, using low-temperature structure system design represents the most
water to move heat or cooling from one location to another. Excess heat may be captured from local significant opportunity to enhance overall sys-
industrial processes, sewage, or large buildings such as the hospital and then shared at low cost. Local
power generation is an option through the creation of a small electrical utility that offers waste heat tem performance. Urban form, land use mix,
for use in buildings or for the operation of a cooling system. Typically, such a combined system is able density, connectivity, and proximity all have ef-
to raise overall efficiencies from 55 percent to 80 percent. The on-site power may be used for local
transit year-round. Flexibility is also enhanced because energy sources may be mixed to take advan- fects on infrastructure performance. Yet, few
tage of market rates, local waste products, weather, new technology, and so on. Any excess electricity
land use plans are evaluated from this perspec-
from the local utility may be offered to the regional grid and used for more efficient load manage-
ment and backup. tive. Planners and engineers sit in different
meetings at different times and ask different
questions. Seldom do infrastructure concerns
ty. After the water is used in the village, a heat influence land use plans or vice versa. Despite
pump draws thermal energy from the sewage this disconnect, the best time to consider ways
and returns the heat to buildings that require to minimize infrastructure costs is during the
space and water heating. When the sewage is early stages in land development processes.
eventually treated, the methane gas that is re- In principle, spatial planning may contrib-
leased is used to power the treatment facility. ute to lower infrastructure costs by increasing
Is this a water system? A hydroelectric system? density and compactness and by locating de-
A gas-fired electrical system? A district heating velopment sites in close proximity to key facili-
system? A sewage treatment system? Answer: ties (box 1.4). The amount of linear infrastruc-
all the above. ture required for low-density, single-family
Wastewater
THE FRAMEWORK | 71
Materials Management
Figure 1.15 Integrated Materials and Waste Management Figure 1.16 Innovative Energy Infrastructure
Source: Author elaboration (Sebastian Moffatt). Source: Author elaboration (Sebastian Moffatt).
Note: This simple illustration shows how the solid waste stream from a city neigh- Note: Energy systems may take advantage of flows from other sectors. For example, a
borhood (center) is diverted to other sectors: crushed glass provides a base for sound barrier along a highway has photovoltaic panels that generate electricity to be
roads; composted organics provide nutrients; compost provides soil additives for reused for domestic hot water; a small turbine in the water supply system harnesses
parks and public green spaces; and coarse organics are used to create drains next to excess water pressure to generate electricity; and methane from composting facilities is
highways that capture and clean storm water flows and runoff water from roads. used to generate heat and power.
Finally, a facility converts organic matter to biogas for use in generating heat and
power.
THE FRAMEWORK | 73
Figure 1.20 A Broad View of the City Center of Houston
Source: Houston-Galveston Area Council, Google Earth.
Note: The expanded view shows a parcel of land that is theoretically within walking distance of the city center.
pumping stations, and so on. The additional pumping water and wastewater to and from
capital costs for remote connections are typi- new households and businesses.
cally shared by all users and translate into cost Because resource efficiency and emissions
premiums. If higher-density, transit-oriented are influenced directly and permanently by ur-
developments are instead located downstream ban form and density, intelligent spatial plan-
from water reservoirs and close to existing ning is the first proactive step toward DSM in
mains, the capital costs of development will be infrastructure (figure 1.22). The mixing of land
much lower, and the city can avoid the other- uses at the neighborhood level can reduce sys-
wise significant costs—often 30 percent or tem costs by evening out the demand for ser-
more of total energy bills—associated with vices and reducing the peak loads that directly
affect the design capacity and capital costs of detailed information on how spatial form and
infrastructure systems. land use regulations affect mobility and afford-
Land use plans also need to consider existing ability, see part 3.)
and planned infrastructure capacity and direct Poor spatial planning can fragment labor
growth plans accordingly. Certain locations markets and make cities unaffordable for peo-
within a city may be especially suitable for infill ple who cannot buy cars. They render the cities
or new development precisely because they vulnerable to fluctuations in oil prices. For
have excess capacity for power, roads, and wa- instance, the spike in gasoline prices in the
ter. In other locations, capacity may be nonexis- United States in spring 2008 resulted, over a
tent, and land development may require major four-month period, in a 6 percent drop in ve-
new investment for one or more systems. Ideal- hicle kilometers traveled. By moving people
ly, infrastructure capacity needs to be analyzed out of cars and onto public transit, the area re-
and mapped on a fine scale and included in the quired for roads and parking may be drastically
overlay analysis that guides land use planning. reduced, as suggested by the photographs of
At the same time, spatial development (and Houston. Cheap or free parking subsidizes car
its coordination with broader investment strat- use, as do massive land investments in roads. In
egies and plans) has significant implications cities, parking should be market priced and
for economic competitiveness, and it affects compete for real estate.
land and real estate markets. Spatial develop- Policies that affect the viability of transit
ment and infrastructure investments set in also affect the cost and performance of trans-
place and shape the contours of these larger portation infrastructure. For example, densi-
economic dynamics. Spatial development is ties of around 50 people per hectare are re-
also influenced by these dynamics. (For more quired to provide convenient alternatives to
THE FRAMEWORK | 75
ents from entering streams. Storm
water permeates the soil, or is re-
tained on leaves or captured by
roots, and the result is less damage
to aquatic environments or re-
duced requirements for investing
in treatment systems.
Such natural systems may be
more or less engineered to suit the
city’s needs. For instance, being
surrounded by rivers such as the
Iguaçu, flooding has been a big
Figure 1.22 A Different Paradigm for Urban Design problem in Curitiba, Brazil. In-
Source: Author elaboration (Sebastian Moffatt). stead of controlling water flow us-
Note: Big roads, lengthy pipes, big wires, and larger pumps are replaced by a mixed use, compact, pedestrian-friendly design
whereby public funds are used for parks and social and local services. ing concrete structures, Curitiba
has created natural drainage sys-
tems. Riverbanks have been con-
the car. These two issues are impossible to sep- verted to parks that retain floodwater in the
arate. Thus, a key strategy for improving over- soil, and lakes have also been constructed to
all system performance is to organize land use, hold floodwaters. River water and rainwater
densities, connectivity, and access to ensure vi- that lead to flooding may be contained natu-
able public transit and other infrastructure. rally in the lakes and in the parks surrounding
the lakes. The ecosystem is preserved in a nat-
Green infrastructure: Integrating ural way. As floodwater to the park area is re-
natural systems with built systems leased from the ground to the river naturally
The integration of natural systems with infra- (rather than being drained at high speeds
structure is possible through green infrastruc- through straight concrete drains), downstream
ture and ecological engineering. Green infra- flooding may be avoided. People are less ex-
structure refers to the city’s naturescape, that posed to environmental hazards and the dis-
is, the mix of trees, shrubs, hedgerows, gardens, eases caused by flooding. The cost of building
green roofs, lawns, parkland, and waterways. parks, including the cost of the relocation of
These natural elements may be effective in slum dwellers, is estimated to be five times
providing a variety of services for other sectors lower than the cost of building concrete canals.
(figure 1.23). For example, when the mayor of Land use plans may also be used to incorpo-
Los Angeles, California, faced brownouts and rate green infrastructure if they are associated
severe energy shortages in 2004, his response with policies that manage the demand for ser-
was to invest in the planting of thousands of vices. In Freiburg, Germany, for example, land
trees along the streets of the city. Urban forests use plans address storm water runoff by taxing
save energy by reducing temperatures, shading land differently based on the permeability of
buildings, cooling the air, and reflecting sun- the surfaces. As a consequence, developers are
shine. The trees in Los Angeles are part of the careful to minimize hard surfaces on parcels,
city’s energy infrastructure. using crushed stone for pathways, paving
The most common examples of green infra- stones for parking, and so on. The result is less
structure are the ribbons of green riparian ar- cost for taxpayers because the city avoids in-
eas along streams and rivers. These green vestment in infrastructure for capturing, trans-
strips act as filters, preventing silt and nutri- porting, and treating storm water.
THE FRAMEWORK | 77
Sanitary and Energy Systems Integration in Shanghai “Sense of place increases when structural and
As part of an environment program for Shanghai, China funded by the infrastructure systems integrate with ecologi-
World Bank, the Shanghai Municipal Sewage Company plans to con- cal and human systems and dynamics. . . .
struct a large-scale incineration plant for sludge drying. The utility When this integration occurs, structural and
company is planning to use the steam generated by a nearby thermal infrastructure systems make resources available
power station for drying. The use of the steam generated by the pow- for human use, while communicating an inte-
er station will improve the incineration plant’s efficiency and safety,
gration of people and place.”
while reducing the need to burn imported oils, which would lead to
Source: Motloch (2001: 58).
greenhouse gas emissions.
Like people, cities function most efficiently Figure 1.25 Time Rings
if they have good bones, the strong structural Source: Author elaboration (Sebastian Moffatt).
Note: Time rings help to sequence investments for optimum returns. A strategic approach to infrastruc-
elements that are able to provide the proper ture planning examines all opportunities for integration, but moves in sequence from the most slowly
context for the shorter-lived elements. Within changing elements (such as the integration of infrastructure with natural systems and land use plans), to
the most rapidly changing (such as integrating management systems, providing incentives for consumers,
an urban region, the sequence typically progress- or monitoring and adaptation).
es from slow-moving elements such as local
ecologies and natural assets, land use patterns
(including rights-of-way), and building stocks vestment in local ecologies, or smart growth, or
to the more rapidly moving elements such as demand reduction is able to provide a more
management policies and consumer behavior. sustainable solution.
The longer-lasting elements are given priority
because they may be changed only slowly and at Enabling: Develop policies that enable
great cost and will constrain the possibilities in implementation of the different types of
other sectors. If significant opportunities for in- integration strategies
tegration at this level are missed, it may take a Despite the best intentions, cities often stumble
long time to rearrange and correct problems. in the attempt to implement sustainable infra-
Figure 1.25 provides a rough guide for se- structure and land use. Outdated polices prevent
quencing integration opportunities during the new approaches and artificially freeze the tech-
diagnostics stage of a project. Moving from the nology. Policies developed for one goal inadver-
outside in, we see how specific integration op- tently influence design solutions in unforeseen
portunities tend to line up. Harmonizing infra- areas. Any developer who has tried to apply eco-
structure with the surrounding ecology and logical design will have plenty of such stories.
resource base is a good first step. Integration Consider a proposal for a new underground on-
with urban form and land use is next. Demand site sewage treatment system for Dockside in
reduction is next. All this is common sense. Victoria, Canada’s premier example of sustain-
There is no point in investing in large remote able mixed use development. Although the sys-
supply or processing systems if a similar in- tem was eventually built and is now working
THE FRAMEWORK | 79
well, the developer first had to deal with al level, there may be less need for policy or
months of difficult negotiations. The city did investment in infrastructure, except as required
not like the idea of on-site sewage treatment, for regional integration (such as in regionwide
despite the fact that the whole city was dump- transportation systems). From this ideal per-
ing its sewage untreated into the ocean. The spective, implementation policies in the city
developer’s plans were rejected initially be- may begin to emulate the self-organizing and
cause the city had regulations against treat- self-reliant properties of natural ecologies.
ment plants in residential areas. Other regula-
tions of the health department forbade any use Coordination: Offer instruments in
of reclaimed water for toilet flushing and gar- at least five flavors
dening, making the advanced technology in the Local governments have many policy tools for
new Dockside neighborhood much less eco- the implementation of a one-system approach.
logical. How could they benefit from reusing Too often, the focus is exclusively on legisla-
wastewater? Yet another obstacle was the city’s tion and enforcement. An integrated approach
property tax structure, which forced the resi- to implementation requires that cities take
dents in Dockside to pay a share of the city’s full advantage of all instruments available to
upcoming sewage system, although they would the city and to the stakeholders who collabo-
not be using it. rate with the city. Every Eco2 project benefits
The reality is that every city has many poli- from the integration of at least five different
cies that conflict with a new one-system plan- categories of instruments. Financial instru-
ning framework and the ecological design and ments may include incentives, subsidies, pric-
management of new projects. One of the most ing, taxing policies, fee structures, market
important outcomes of an Eco2 catalyst project reforms, purchasing policies, and much more.
is the exposure of such policy conflicts. A col- Special planning initiatives may include new
laborative framework may help quickly resolve plans, new institutions, institutional restruc-
such issues in catalyst projects and lead to new turing, special reporting, and special events.
policy in the process. Research and demonstration may focus on
In general, enabling policies have impacts innovative technology applications, tours,
well beyond conflict resolution. Ideally, the fact-finding missions, surveys and assess-
policy environment that evolves in a city rein- ments, conferences, policy research centers,
forces the goal-oriented framework and stip- and forecasting. Education and inspiration
ulates performance requirements rather than may include professional training, visioning
prescribing specific solutions. While the city exercises, cotraining, communities of prac-
needs to articulate constraints and targets tice, curriculum reform, special publications,
clearly for the community, the most creative communications, social networking, and in-
design solutions are likely to be achieved at vestments in social capital. Legislation and
the most local scale, such as the building, par- enforcement may include a wide variety of
cel, or neighborhood. Primary responsibility regulations, codes and standards, specific
needs to remain with local actors and decision fines, and policing policies.
makers. They are the first to explore design In some cases, the capacity of a city to apply
options and, thus, have the greatest freedom particular policies will be restricted by national
to innovate. Only those service or perfor- governments and by statute. However, through
mance requirements that cannot be success- collaborative working groups composed of
fully satisfied locally because of technical, senior government officials and stakeholders,
economic, or other practical reasons should such limitations may be overcome. The best
be passed on to the scale above. At the region- approach to implementation is always the
THE FRAMEWORK | 81
ticular case, and the table might not be applica- by allowing through traffic to bypass the city
ble in all cases. For instance, the preservation of center. Little thought is given to the impact on
sensitive areas through urban growth boundar- the supply and the price of land.
ies may be combined with an increase in the Because the objectives of urban regulations
floor area ratio and in the permissible transfer of and investments do not consider the one-system
development rights in a particular context so as approach, it is not surprising that many govern-
not to cause necessarily a spike in land prices. ment actions are contradictory. For instance, in
Most important in the one-system perspec- Bangalore, India, the local government finances
tive is the fact that most government actions a bus rapid transit system that tends to concen-
listed in table 1.2 have limited objectives and do trate jobs in the center of the city. At the same
not reflect any consideration for the impacts time, the floor area ratio has been kept lower in
on land supply and demand, the shape of the the central business district than in the suburbs,
city in the long term, and the attendant impli- thereby preventing the concentration of jobs in
cations for economic and resource inefficiency. the central business district, which would have
For instance, in the construction of ring roads, been the justification and rationale of the bus
the objective is usually to alleviate congestion system in the first place.
Table 1.2 Impacts of Government Actions on Land Markets, the Size of the Informal Sector, and the
Spatial Structure of Cities
THE FRAMEWORK | 83
BOX 1.5
usually fall into two categories: retrofitting and portation corridors cannot be imposed unilat-
redevelopment. Retrofitting existing city areas erally or quickly. Nor is it easy to upgrade the
entails working with the existing built stock and systems serving so many unconnected build-
infrastructure and making improvements to en- ings. Many stakeholders must participate in
hance performance, without redeveloping the decision making. Projects require longer time
entire area. Examples of retrofitting measures frames so that communities may adjust. An in-
include implementing end use efficiency in the cremental approach may be required, which
energy and water sector; reducing, reusing, and makes the sequencing of strategies difficult.
recycling waste; and adapting existing transpor- Development may need to include, for exam-
tation infrastructure (roads) to more efficient ple, complex arrangements for slum upgrading
uses (for instance, by designating routes for bus and arrangements for new utilities and rights-
rapid transit and lanes for bicycles). of-way. The pace of change may need to evolve
Redevelopment entails demolishing and re- incrementally in sync with the natural turn-
building certain areas of the city and is typi- over rate for the stocks, or it may be necessary
cally more complicated. Redevelopment is to wait until the service quality and operating
challenging because of the political, social, and costs justify large-scale urban redevelopment.
economic costs of making changes in existing However, cities may explore creative and
land uses and structures. New zoning or trans- cost-effective ways of remodeling the distribu-
tion, density, and use of the existing built form have already built up urban structures. How-
by increasing the floor area ratio; allowing the ever, if accompanied by a sizable increase in
transfer of development rights (see the Curitiba the floor area ratio or, in the case of slums, by
case in part 3); rezoning and changing land use formal recognition or the introduction of basic
patterns; and, more important, revising and services such as drainage, water, and sanita-
enforcing building codes and standards. These tion, the returns may make economic sense.
steps might create incentives for private rede- Redevelopment projects at a larger scale for
velopment efforts. In some cases, land read- certain areas and districts of a city have also
justment may be used, though it is much harder been successful in enhancing the sustainability
to convince stakeholders in an existing urban of existing areas. Such is the case of the rede-
community to demolish their properties for velopment of old manufacturing sites as water-
the purpose of the city’s redevelopment if they front residences. Because the old sites are not
THE FRAMEWORK | 85
Figure 1.27 Shantigram Township: Final Serviced Land
Parcels for Sale, Gujarat, India
Source: Ballaney (2008).
THE FRAMEWORK | 87
integrated design process should culminate in Bertaud, Alain. 2009. “Urban Spatial Structures,
a recommended concept plan for implementa- Mobility, and the Environment.” Presentation at
“World Bank Urban Week 2009,” World Bank,
tion, including any policy reforms. Washington, DC, March 11.
Bertaud, Alain, and Robert W. Poole, Jr. 2007. “Density
Align policy tools among all stakeholders in Atlanta: Implications for Traffic and Transit.”
to ensure successful implementation Policy Brief 61, Reason Foundation, Los Angeles.
Use the procedures outlined in this chapter to Boyden, Stephen, Sheelagh Millar, and Ken Newcombe.
1981. The Ecology of a City and Its People: The Case
implement the project in an integrated fashion. of Hong Kong. Canberra: Australian National
This may help sequence investments, enable University Press.
contributions from partners and residents, co- Kenworthy, Jeffrey R. 2006. “The Eco-City:
ordinate strategies among stakeholders, and Ten Key Transport and Planning Dimensions for
Sustainable City Development.” Environment and
align and target policies to match the planning Urbanization 18 (1): 67–85.
framework. A collaborative exercise helps all Kirby, Alex. 2008. Kick the Habit: A UN Guide to
interested parties explore how to use comple- Climate Neutrality. Nairobi: United Nations
mentary policy tools to implement the concept Environment Programme.
plan and achieve the intended outcomes. A Lahti, Pekka, ed. 2006. Towards Sustainable Urban
Infrastructure: Assessment, Tools and Good
strategic action plan may be prepared to clarify Practice. Helsinki: European Science Foundation.
who is responsible for each of the various tasks Lovins, Amory B., E. Kyle Datta, Thomas Feiler,
and to indicate how policies interact. Where Karl R. Rábago, Joel N. Swisher, André Lehmann,
appropriate, a feasibility plan and a detailed and Ken Wicker. 2002. Small Is Profitable:
The Hidden Economic Benefits of Making Electrical
master plan may be prepared with specifica-
Resources the Right Size. Snowmass, CO: Rocky
tions and guidelines for each element and for Mountain Institute.
each phase of the work. Mehta, Barjor, and Arish Dastur, eds. 2008.
“Approaches to Urban Slums: A Multimedia
Sourcebook on Adaptive and Proactive
Strategies.” World Bank, Washington, DC.
References Motloch, John L. 2001. Introduction to Landscape
Design, 2nd ed. New York: John Wiley and Sons.
Baccini, Peter, and Franz Oswald. 1998. Netzstadt:
Revi, Aromar, Sanjay Prakash, Rahul Mehrotra,
Transdisziplinäre Methoden zum Umbau urbaner
G. K. Bhat, Kapil Gupta, and Rahul Gore. 2006.
Systeme. Zurich: vdf Hochschulverlag.
“Goa 2100: The Transition to a Sustainable
Bai Xuemei. 2006. “Solar-Powered City: Rizhao, RUrban Design.” Environment and Urbanization
China.” In State of the World 2007: Our Urban 18 (1): 51–65.
Future, ed. Worldwatch Institute, 108–9.
Rutherford, Susan. 2007. “The Green Infrastructure:
Washington, DC: Worldwatch Institute.
Issues, Implementation Strategies and Success
Ballaney, Shirley. 2008. “The Town Planning Stories.” West Coast Environmental Law Research
Mechanism in Gujarat, India.” World Bank, Foundation, Vancouver, Canada. http://www.wcel.
Washington, DC. org/wcelpub/2007/14255.pdf.
Barry, Judith A. 2007. “Watergy: Energy and Water Tortajada, Cecilia. 2006. “Singapore: An Exemplary
Efficiency in Municipal Water Supply and Case for Urban Water Management.” Additional
Wastewater Treatment; Cost-Effective Savings of Paper, Human Development Report. United
Water and Energy.” Handbook. Alliance to Save Nations Development Programme, New York.
Energy, Washington, DC. http://www.watergy.
net/resources/publications/watergy.pdf.
An Investment Framework
That Values Sustainability and
Resiliency
Chapter 6 introduces the accounting method and framework that are needed to understand the full
costs and benefits of projects and policies. It begins with an introduction to the basics of life-cycle
costing for cities and the policies and methods that make this possible. Next, the chapter explores
the need for an expanded framework for economic accounting by Eco2 cities. The framework gives
equal consideration to various categories of assets: manufactured capital, natural capital, social
capital, and human capital. The chapter explores an expanded framework for risk assessment that
incorporates foresight methods, including long-term forecasts for all sectors, and a design philoso-
phy that increases the resiliency and adaptive capacity of city lands and infrastructure. The chapter
concludes with suggestions for key actions or stepping stones that might direct the city as it learns
to invest in sustainability and resiliency.
The Core Elements of Investment all the costs incurred by a project throughout its
in Sustainability and Resiliency life cycle, including construction, operation,
maintenance, rehabilitation, disposal, and re-
Incorporation of life-cycle costing placement.1 Part of the challenge faced by all cit-
Life-cycle costing (LCC) is a decision support ies today is the integration of cash flows over
method that helps cities improve project cost- time. This includes optimizing capital and oper-
benefit accounting measures and derive more ating costs, ensuring adequate cash flows over
accurate estimates of the financial and eco- the longer term, and recapitalizing investments
nomic costs and benefits associated with any so that funds are available for the replacement
development project. Life-cycle costs include of assets at the end of a project’s life cycle.
THE FRAMEWORK | 89
LCC is especially important for the long- LCC makes possible a more prudent and re-
lived investments that are a large part of city sponsible approach to the long-term financing
infrastructure and land development. LCC is of investments. The calculations may be rapid
important for decisions regarding fleets, which and comprehensive. For example, a new neigh-
are decisive in determining new vehicle acqui- borhood development project may be analyzed
sitions; infrastructure, which is especially rel- for a variety of densities and configurations,
evant for water, transportation, and energy sys- and then each scenario may be compared in
tems; land use planning as it pertains to terms of the capital and operating costs for
infrastructure costs; civic buildings, which are utilities and services, including roads, water,
relevant for premium efficiency targets for new sewerage, garbage, schools, recreation facili-
and existing stock; and residential and com- ties, public transit, private vehicle use, fire pro-
mercial buildings. tection, and policing. The interest rates for
LCC requires that life expectancy and rate borrowing, tax rates, and service revenues may
of deterioration be estimated for each type of be calculated for different development plans
asset. It then becomes possible to quantify and fiscal policies.
maintenance and rehabilitation requirements. Life-cycle costs are typically annualized
The maintenance of city infrastructure sys- (converted into an annual cost) over a long pe-
tems—pipes, facilities, pumps, and roads—may riod (75 years in the case of the neighborhood
be extremely costly and may have significant construction project in Hamilton) allowing for
impacts on the cash flow and financial sustain- the operation, maintenance, and replacement
ability of any project. It also affects the fiscal of all utilities. All costs may be allocated on a
health of a city; in fact, the lack of policies based per household basis for residential develop-
on LCC has left many cities essentially bank- ments or normalized for standard office space.
rupt and unable to manage assets. Part 2 includes details on how the LCC
Operating and maintenance costs for long- method may be applied to Eco2 cities and in-
lived elements such as buildings and pipelines formation on simple spreadsheet-based com-
can represent over 90 percent of life-cycle puter tools that make LCC easy and rapid. The
costs. The City of Hamilton, Canada, has esti- tools include a preset list of many life-cycle
mated that initial construction accounts for cost categories that are worth considering in
only 8 percent of a civic building’s cost over its development projects, but that are typically ig-
30–40 year life, whereas operation and main- nored. All the default values may be adjusted to
tenance account for 92 percent. It is obviously match the historical costs for any specific coun-
dangerous to place too much emphasis on ini- try and community.
tial capital costs in making large public invest- Included in part 2 is an example of the help
ments in city infrastructure and buildings. provided by an LCC tool to the City of Fort St.
Nonetheless, it is still common worldwide for John, Canada, in assessing the potential costs
cities to have separate capital and operating and benefits of a proposed concept plan for a
budgets and to make investment decisions sustainable neighborhood. A design workshop
based on the initial capital investment costs, had proposed smaller lots; narrower streets;
without considering the net present value of more tightly packed buildings; greater diversity
the future flows of the associated operating in building types; more open public space
and maintenance costs. If, however, life-cycle between buildings; and more well integrated,
costs are well quantified for a variety of devel- multiuse designs for open spaces (including
opment scenarios, they may be minimized at greenways, green infrastructure for storm
the design and implementation levels of land water management, community gardens, all
use and infrastructure planning. season pathways, and a large commons around
THE FRAMEWORK | 91
effects into monetary values. Cost-effectiveness,
the other standard method currently used to
The Reserve Fund for School Facilities in assess the economic viability of a project, has
Tokyo’s Chuo Ward also been expanded to include the examination
Like many other administrative areas in Japan, Chuo Ward, one of the 23 of additional indirect benefits. Despite the
wards of Tokyo’s metropolitan government, keeps a fund for the mainte-
efforts toward fuller cost-benefit accounting,
nance, rehabilitation, and replacement of school facilities. It sets aside
most development projects are undertaken
annually an amount close to the depreciation amount for the ward’s 16
elementary schools and 4 lower secondary schools. The fund may be used without a firm grounding on the real nature of
only for the intended purposes unless the ward council decides otherwise. the impacts on people, ecologies, and social
At the end of fiscal year 2009, the balance of the fund stood at around systems. Many of the indirect costs of concern
¥10 billion (US$100 million), which was sufficient for the construction of to communities cannot easily be measured or
three school buildings. Chuo Ward plans to replace three school buildings
explained, nor can they be easily converted
in a few years under a long-term investment plan.
into credible monetary values. The proper
techniques for converting impacts into monetary
values have been debated for many years, and
cilities in Tokyo’s Chuo Ward, the fund covers appropriate solutions continue to be sought.
the total investment cost that will be required A more comprehensive economic analysis
in a few years. However, even if the fund does requires that greater attention be paid to envi-
not cover the total required investment cost ronmental accounting as a separate rigorous
entirely, it may be considered sufficient if Chuo method. Every project needs a standard proto-
Ward is able to mobilize additional funds from col for assessing environmental effects by cat-
other sources. Important sources of external egory on the basis of well-defined methods
funds for cities are municipal bonds and bank such as input-output analysis, life-cycle analy-
borrowings. To raise these external funds in a sis, and material flow analysis. One example of
timely manner, cities should keep the terms an expanded approach to the quantification of
and amounts of their debt within borrowing impacts is the environment load profile adopted
capacity. They should also level the investment in Hammarby Sjöstad, Stockholm. (See part 2
requirement over long investment periods so for more on the environment load profile.) A
that annual capital funding requirements are separate set of indicators may be used to
minimized. The LCC method provides a useful express each category of effect in parallel with
base for long-term investment planning. the economic analysis. The effects may some-
times be added together to advantage; air qual-
Equal attention to all capital assets: ity, for example, is commonly addressed in
An expanded framework for accounting terms of an air quality index that bundles mul-
A persistent challenge in accounting for the tiple factors such as the quantities of particles,
cost of urban development projects is the mea- organic compounds, and nitrogen oxides.
surement and valuation of the many indirect A number of techniques have been devel-
costs and benefits. Economic analysis has oped in an attempt to evaluate a wider range of
evolved over the past few years because of environmental and ecological effects so as to
attempts to understand these indirect costs arrive at one or several overarching measure-
and to provide decision makers with an assess- ments of natural capital. A notable example is
ment that more accurately reflects the true the ecological footprint, which converts energy
costs and benefits of any particular option. For and material use into the total area of produc-
example, cost-benefit analysis, the primary tive land that would be required to sustain such
method for assessing economic viability, has flows indefinitely. Officials and experts in many
been expanded to incorporate many indirect cities and new neighborhood developments
THE FRAMEWORK | 93
gram, has struggled with the challenge of a broad and balanced assessment is much more
assessing environmental effects during a multi- important than might otherwise be the case.
year effort to analyze and describe sustainable Eco2 requires a framework that is designed to
infrastructure projects in cities throughout reveal not only who benefits and who pays spe-
Europe. After reviewing all the options for cific costs, but also how well a project has max-
assessing impacts, the program experts chose a imized benefits of all types. The framework
simple matrix to summarize key effects (table must be transparent, allowing a mix of profes-
1.3). The final publication, Towards Sustainable sionals and residents to easily follow what is
Urban infrastructure: Assessment, Tools and actually being measured, why it is being mea-
Good Practice, describes 44 sustainable infra- sured, and how the numbers relate. The frame-
structure projects and a matrix for each project work needs to combine categories of benefits
(see Lahti 2006). The publication concludes and costs so that they may be tracked as a whole
that a holistic assessment of sustainability with and so that indicators on ecological health, for
many dimensions and numerous impacts re- example, may be given equal consideration
quires a technique and tool capable of review- with indicators on economic wealth. Fortu-
ing all relevant aspects in a compact space, that nately, many economists and communities have
is, hopefully even in one page through a visu- been experimenting with frameworks over the
ally effective presentation. last 10 years, and it is now possible to learn from
Eco2 cities need a framework for evaluating best practice and adopt a framework for ac-
the costs of projects that is sufficiently flexible counting that is suitable for Eco2 cities.
to accommodate a wide range of measurements
and, yet, is sufficiently balanced to ensure that Protection and enhancement of capital assets
the trade-offs and impacts on critical thresh- An appropriate method for use with Eco2 cities
olds and targets are well understood. The em- is the four-capitals approach outlined by Ekins,
phasis on integration at many levels means that Dresner, and Dahlström (2008). The method
THE FRAMEWORK | 95
2. It considers externalities (indirect costs and services that ultimately contribute to
and benefits) in a more comprehensive human well-being.
fashion than other options now available.
Use of indicators to set targets and
3. It allows for easy comparisons of different monitor impacts
categories of costs and benefits and allows Monitoring the capital assets of a city and bal-
cities to focus on critical thresholds (for ancing the trade-offs among types of capital re-
example, limits that should not be crossed) quire standardized measurements or indicators
and to recognize the trade-offs that fre- that correspond to the capacity of assets to pro-
quently arise between one type of asset vide goods and services. Indicators that cover
and another. all four capitals are referred to as indicators of
4. It fits well into the economic accounting sustainable development. They include mone-
already in place in many cities because it tary values, when these are available and appro-
uses an inventory of capital assets, and it priate, and also many physical dimensions.
makes use of much of the data that are al- Table 1.4 provides an example of a few of
ready collected by cities on a regular basis. the indicators used by various cities partici-
pating in a European project for sustainable
5. It reinforces the important concept that as- development planning. Based on the European
sets need to be conserved and enhanced experience, the quality of indicators tends to
because they provide the flows of goods vary by capital. Manufactured capital tends to
Manufactured capital • GDP per capita • Travel times and average speeds
• Gross fixed capital formation • % population connected to internet
• Employment (by sector) • Agricultural produce
• Change in real income • Inflation rate
Social capital • Wage differentials and poverty • Districts with special development needs
• Disparity between income of average, • Out migration of young people
highest and lowest deciles • Number of cooperative, inter-municipal
• Male/female wage differentials projects and strategies
• Number of social welfare recipients • Crime rates
THE FRAMEWORK | 97
over time, with consequences for the financial resources such as water, food, and fossil fuels
bottom line. This assessment of risk based on will likely be problematic. For a city, 30 years is
the known probabilities for change in the direct the blink of an eye. The infrastructure invest-
economic factors is referred to as sensitivity ments planned for the near future will need to
analysis. It is the principal risk-assessment perform for much longer than 30 years. But will
method used in urban development projects, they? How might Eco2 cities assess and improve
and it is an important and necessary part of due the overall resiliency of development projects?
diligence. If a 15 percent drop in ridership is
sufficient to undermine the financial viability Expansion of risk assessment to include
of a new transit system, city leaders will want resiliency and adaptive capacity
to know the odds of such an occurrence. Sensi- Resiliency is a concept traditionally used to
tivity analysis is not a replacement for good describe two characteristics: the robustness of
judgment, but it is a good way to educate deci- a system (that is, its ability to continue to per-
sion makers about the variables that might un- form by resisting changing conditions), and the
dermine the critical viability of an investment. adaptability of a system, (that is, its ability to
The other well-known method for risk assess- continue to perform by responding appropri-
ment is the Monte Carlo assessment, which ately to changing conditions). Resiliency may
expands the analysis to include the possible be used as a potential design criterion for all
correlations between changing variables es- urban systems, including built infrastructure,
sentially by making many random changes to culture, and governance.
variables in combination. The basic idea is that it is possible to man-
What is missing from these standard risk- age risk more productively by forecasting the
assessment methods is the many indirect, diffi- impacts of external forces on urban areas and
cult-to-measure risks that threaten the viability by designing and operating urban land uses
of an investment. Also missing is the assessment and infrastructure in ways that are inherently
of uncertainties, the factors that cannot be as- more resilient. This means including in any
sessed statistically, but that represent significant assessment indicators that help designers,
threats. In a similar fashion to economic analy- managers, and decision makers understand the
sis, the risk assessment needs to be coupled with relative capacity of systems to survive and re-
methods that expand the scope of the issues or cover from shocks and rapid change. The World
elements examined and rated. In reality, cities Bank’s primer on climate resilient cities pro-
today face many threats and hazards that are vides information on how cities may effectively
largely external to financial calculations, but that assess and manage the risks associated with cli-
may nonetheless influence the viability of proj- mate change (see Prasad and others 2009).
ects. These include sudden disruptions to sys- Elements of resilient design appear to rein-
tems, such as natural disasters (earthquakes, force a number of the ecological design strate-
hurricanes, tsunamis, and so on), and the possi- gies that are so effective at improving efficiency.
bility of rapid socioeconomic-environmental Remote generating plants, incinerators, treat-
change, such as the recent global financial crisis. ment plants, and communications facilities are
Over the next 30 years, for example, it is highly far more vulnerable to catastrophic failure than
likely that we will witness fundamental changes a network of modular, distributed systems
in energy, communication, transportation tech- closely integrated into the fabric of the city.
nologies, climate, demographics, global markets, Thus, urban security helps reinforce distribut-
and environmental regulations. The onset of epi- ed systems, a design strategy already proposed
demics is probable, and the availability of critical as a way to improve urban resource efficiency
Figure 1.30 An Inflexible Energy System Figure 1.31 An Adaptable Energy System
Source: Author elaboration (Sebastian Moffatt). Source: Author elaboration (Sebastian Moffatt).
Note: This coal-fired energy system is brittle because it cannot adapt, expand, or convert. Note: This system is resilient because it is more adaptable by design.
THE FRAMEWORK | 99
Infrastructure that is designed to adapt easily targets requires a means of measuring perfor-
at low cost is likely to survive longer and to op- mance easily and affordably. The choice of per-
erate more efficiently throughout its lifetime formance indicators should be based on best
(figures 1.30 and 1.31). An example might be practices in other locations and on analytical
combined trenching (utilidors) that allows methods used for system design (such as mate-
easy access to pipes and wires. rial flow analysis). Measurements have value
Durability is a concept that may extend the only if a basis exists for comparison; so, it helps
useful lifetime of materials and technology; it greatly to use well-established indicators based
is complementary to adaptability. In practice, on standardized data collection and calcula-
adaptability and durability may be achieved tions. Ideally, the targets for performance are
through changes in design and the use of set only after a review of precedents and case
alternative zoning, materials, and technolo- studies, including the experiences of sister cit-
gies. For good performance, adaptable designs ies and best practice cities.
might begin with the concept of a fixed After project completion, it is important to
investment cost. The object is then to achieve integrate the monitoring program into regular
maximum durability by means of flexibility reporting, staff evaluations, and management
and adaptable design features, while, at the philosophy. If monitoring is used to guide con-
same time, minimizing the running costs for tinuous learning and improvement, it is re-
energy, cleaning, maintenance, and operation. ferred to as adaptive management. Adaptive
Part of a durable design strategy might management originated with fisheries and for-
involve setting minimums; for example, no estry biologists who discovered that natural
secondary components may last less than ecosystems are so complex and interconnected
30 years. In other cases, the solution may be that all management efforts fail. It became nec-
to minimize the maintenance and service essary to assume things would not work and,
costs for components. therefore, to plan for failures. As urban envi-
ronments become more complex and as we
Monitoring of performance, learning based consider a broader range of goals for environ-
on results, adaptation and improvement mental, social, and economic sustainability, it
of the system helps to adopt the adaptive management solu-
An integrated approach to monitoring has tion discovered by ecologists.
two dimensions: first, it considers perfor- From this perspective, all policy and prac-
mance objectives from the beginning of proj- tice are considered experimental and have last-
ect design and uses these targets as a basis for ing value only if they are proven over time.
comparing actual performance against in- Policy may become a problem if it cannot be
tended results; second, it involves integrating easily adjusted to accommodate new knowl-
monitoring into a feedback and accountability edge. If monitoring programs are integrated
process that ensures adjustments in policy into an adaptive management process, the Eco2
and systems to achieve or exceed the intended long-term planning framework must be in-
results. Both of these dimensions need to be cluded. The framework provides a transparent
addressed in each project. context for target setting and evaluation. On
Establishing performance targets at the the one hand, the framework keeps the targets
commencement of a design project may be a connected to end-state goals, and on the other
positive experience that helps focus and in- hand, the framework connects the targets to
spire the project design team. The selection of project strategies and actions.
The Eco2 Cities Initiative is a collaborative exercise that requires close working relationships among
all stakeholders and a willingness to consider and apply new concepts and methods together. Of course,
cities are in the driver’s seat. This book is designed to explain the key principles of Eco2—how they
translate into core elements and stepping stones—and to introduce cities to some of the methods and
tools that will enable them to develop their own Eco2 pathways. The opportunities for positive change
are great at this time. We strongly encourage cities to take the first step toward ecological and eco-
nomic sustainability, while the window of opportunity to achieve lasting impact is still open.
For forward-looking cities in developing countries that intend to adopt the Eco2 approach, sup-
port may be available from best practice cities worldwide; the international community, including
donor agencies; and academia. Cities are encouraged to tap the unique resources of each of these
partners. In this context, the World Bank Group, together with other development partners, is in a
position to provide technical assistance, capacity-building support, and financial support to cities
that demonstrate a strong commitment to the implementation of the Eco2 initiative.
A City-Based Decision
Support System
Methods and Tools for Eco2 Cities
A C I T Y- B A S E D D E C I S I O N S U P P O RT SYST E M | 109
CHAPTER 8
Organizing and Managing It also helps to have a common vision of the de-
Collaborative Working Groups sired long-term outcomes.
One key rule is that, wherever agreement on
Adopting basic rules for collaboration strategies is reached within the collaboration,
Collaboration is a method by which diverse all the members must use their unique mandate
groups join together for a common purpose and resource base in a more or less coordinated
without necessarily altering their mandates, fashion to contribute to the agreed strategy.
relinquishing their authority, or sharing their
budgets. Power structures are retained. In fact, Balancing the membership and structuring
the reason collaboration works is that nobody inputs of varying levels of authority
is forced to give away power. What changes is Ideally, a collaborative working group is com-
that information flows are greatly enhanced, posed of a balance of sectors: the government,
and the potential is greater for joint action the private sector, civil society, and academia
(figure 2.1). Collaboration is especially effec- (knowledge institutes). A balanced member-
tive in the integrated design of urban areas be- ship means that a collaborative working group
cause so many different parties may influence needs to be carefully constructed to include a
the results. Any particular system may be sig- full range of perspectives: short-term and long-
nificantly affected by land use policies, private term, private and public. A convenient approach
development projects, on-site systems, de- is to establish roughly proportional represen-
mand-side management programs, efficiency tation from various sectors: the government,
standards, the use of shared rights-of-way, and the private sector, civil society, and academia.
so on. Collaborative committees begin by Each sector contributes different priorities
agreeing to a simple set of rules or principles. and perspectives that help create balance. For
A C I T Y- B A S E D D E C I S I O N S U P P O RT SYST E M | 111
Advisory Regulatory
Advisory
Group Regulatory
Group
Collaborative
Collaborative
Group
definite
Decision-maker
Decision Maker Stakeholder
Stakeholder InformationFlow
Information Flow indefinite
example, if the government sector is often the the scope to affect cities. These may be national,
most well informed, it is usually the least will- state, municipal, or district. At each level, there
ing to take risks. Civil sector groups, if well may be additional regulatory, infrastructure de-
represented, may help provide the motivation velopment, and service delivery agencies re-
and vision to keep everyone from seeing only sponsible for land, water, energy, transporta-
problems and barriers. Input from the aca- tion, and waste management. Some of these
demic and knowledge sector may be especial- agencies may participate in public-private part-
ly useful in expanding the scope of discussions nerships, and this requires the involvement of
and, at later stages, incorporating high-quality networks. Neighboring jurisdictions are also
research and expertise into design exercises potential stakeholders. Collaborating with ad-
and planning proposals. The precise mix of jacent cities and regions may result in strong
stakeholders from each sector must be care- synergies in such areas as integrated planning
fully considered because each city will be for the reuse of waste materials, the coordina-
characterized by different political relation- tion of transportation and land development,
ships and institutional structures. The com- and cooperative economic development.
position should also vary to reflect the scope The private sector and households are key
of the planning and the projects under con- players in energy and resource use, as well as in
sideration. creating local pollution and global greenhouse
In the public sector, the stakeholders may gas emissions, and they need to be considered
include all the agencies and departments with in the Eco2 process. A recent report on sustain-
A
C
Stakeholders
C
T T
C
A T
T
A
Core Team
B B
C T
C
T L L B
B
Leaders
L L
B B T C
T
A
B
B
T
T
A
C
T
T
C
T T
A A
C
C
A
A
able urban infrastructure in London strongly all outcomes that directly and tangibly improve
reflects this view: conditions among the poor. At the same time,
the fiscal gains achieved by the utilities or a city
As this report makes clear, many different
stakeholders are involved in making sustain-
may be applied to benefit the poorer sections of
ability-related decisions. Success will require society. For example, the congestion tax in
cooperation, rather than dictation from any London not only reduced traffic by 21 percent
one of these. Certain things can take place at (70,000 fewer cars per day) and increased the
the national and municipal government levels, use of buses and bicycles in the zone, but also
but the most powerful actors in all of this are raised £137 million during fiscal year 2007, of
consumers [including households and busi- which a large portion is being reinvested to im-
nesses—Ed.], who may through their purchas- prove public transportation.
ing decisions bring about 70% of all possible Collaborative committees function well if
CO2 abatement. Absolutely crucial to lowering they have a strong champion, a hard-working
emissions, therefore, will be removing the bar-
secretariat, and a balanced membership. Fig-
riers to them doing so. (EIU 2008: 64–65)
ure 2.2 presents an example of how a citywide
The urban poor are also stakeholders in the city. collaborative might be organized. A single all-
Good urban planning creates more access for policy working group provides a new institu-
public and nonmotorized transportation and tional structure for collaboration. At the center
supports lower-cost services and the reduction, are one or more leaders who direct the process
reuse, and proper treatment of harmful waste: and provide everyone with a sense of purpose
A C I T Y- B A S E D D E C I S I O N S U P P O RT SYST E M | 113
and confidence. The secretariat is a small group Developing a Shared Framework for
that serves the collaboration by undertaking Aligning Visions and Actions
research on critical issues, facilitation at meet-
ings, communications between meetings, and A common framework may greatly
event planning. An effective secretariat may enhance communications and coordination
help build confidence and make the process Frameworks are the mental maps that we use to
feel productive, fun, and worthwhile to all make sense of the work schedule: what comes
members. The collaborative process may re- first and second, how our particular contribu-
quire a core team if the collaboration is under- tion fits with the work of others, and so on. Typ-
taking to create a pact or strategic plan (figure ically, there are big differences in the frame-
2.3). Alternatively, the collaboration may guide works that different individuals bring to a
and direct the planning work accomplished by project. These differences may reside in how
the staffs of the various stakeholders. groups understand the goals of a project, or who
influences who, or how their plans are expected
to fit with other plans. Developing a common
framework can help overcome these discon-
nects and make a diverse group of largely au-
tonomous stakeholders operate more as a team.
A framework for urban planning and design
covers all steps from start to finish. An example
of such a framework is the pyramid shown in
figure 2.4. At the pinnacle is the scope of the
framework, which clarifies the extent of the
urban area to be included, identifies the types
of urban systems to be considered, and diag-
noses the strengths and weaknesses of the
system as it currently operates.
After scoping and diagnostics, a framework
typically expands to include a shared vision
statement and a set of long-term goals. These
broad statements are then unbundled into
more specific and immediate targets, strategic
plans, actions, and ongoing learning processes.
The framework may include any principle,
goal, or strategy that the users desire, and it
may be easily molded to fit any current plan-
Figure 2.3 The Core Team and Sector Advisers
ning framework, method, and terminology. In
Source: Author elaboration (Sebastian Moffatt).
Note: The core team may be supported by a ring of sector champions, each of whom connects the this sense, it is a type of methodological plural-
working group to a larger network of experts and stakeholders. New urban infrastructure places spe- ism: everything fits inside the framework.
cial emphasis on sectors such as energy, transportation, water, the environment, and materials man-
agement. However, other sectors may also offer substantial contributions. Perhaps most important, a framework
builds in accountability, thereby helping to
avoid short-term political decisions that are in-
consistent with goals and targets. It also cre-
ates the opportunity to monitor performance
against specific goals and targets and to update
plans and adapt to changes without losing sight
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ture that cleans and constrains storm water ment and local knowledge, one may subject
flows, contributes to a quieter and more each goal to a series of questions: How close is
pleasant microclimate, shades buildings in the city to achieving its goal today? What forces
summer, improves air quality, and generally are likely to influence future success? What
contributes to the livability and biodiversity direction is the city now taking? Is the situa-
of neighborhoods. tion getting better or worse? How rapid is the
pace of change? This type of rapid evaluation is
Although such goals describe a long-term con-
helpful in setting priorities for Eco2 projects.
dition, they serve an immediate strategic pur-
pose by providing a common reference point
for all design and planning and a basis for col- Strategic planning requires that planners
laborative decision making.
evaluate alternative scenarios
End-state goals for Eco2 cities should ad- This exploratory stage in a planning frame-
dress, at a minimum, the basic urban services work offers the opportunity to develop a range
(energy, water, and so on) and the ecological of alternative scenarios or approaches and to
performance of the urban region. Cities may assess their relative values in terms of how well
choose to use their own format and language, or they achieve guiding targets and goals. While
they may adapt their framework goals from ex- city governments and departments may already
amples provided by the Eco2 Cities Initiative. have a strategic plan, the framework may help
Either way, goals should reflect local conditions to extend and align the time horizons for such
and cultural values and need to be discussed and plans and to integrate strategies that address
endorsed by key stakeholders. Because the goals the long life cycles of such investments. At the
are long term, the process of building consensus scale of the urban region, strategic planning is
around the goal statements tends to be a posi- especially useful, although many urban regions
tive experience, creating a common purpose in developing countries are currently operat-
among stakeholders and residents. ing without a shared strategic framework.
In a growing urban region, the umbrella plan
Target setting may help translate goals that sets the context for all other planning is
into clear objectives sometimes referred to as a regional growth strat-
Sometimes, it helps to develop intermediate egy (RGS). The RGS ensures that the various
targets to support specific end-state goals. The infrastructure plans—transportation, water, and
targets are based on indicators that quantify energy—all share the same assumptions about
the city’s desired performance with respect to land use, demand, and development priorities.
one or more goals. By setting targets for spe- The RGS takes regional population growth and
cific time periods, the city helps direct the pace employment projections into account and gives
of change and the priorities for investment. For the region, including its component parts (towns,
example, Stockholm has set a target for all new counties, and cities) long-term planning direc-
construction to be carbon neutral by 2030; over tion. It is the RGS that ensures the integration of
70 percent of New Zealand’s cities and towns the parts into a functional whole. In addition to
have adopted a zero waste landfill target, with providing the big picture on how a city fits into
a timeline for each milestone on the journey; its surroundings, the RGS provides the broad-
San Diego and Irvine, California, have achieved brush strategies for connecting neighborhoods
their targets for the comprehensive coverage and directing new growth and investment. The
of reclaimed water for commercial properties. RGS should always address the critical issues
As part of the adoption of end-state goals that must be solved at the scale of the urban re-
(and targets if desired), one may assess perfor- gion; these issues might include restricted water
mance and set priorities. Using expert judg- supply, air quality, and transportation manage-
A C I T Y- B A S E D D E C I S I O N S U P P O RT SYST E M | 117
goal is to provide everyone with affordable
housing and the actual price of housing is be-
Catalyst Projects Help Change Paradigms
coming less affordable every day, then some
“Folks who do systems analysis have a great kind of intervention is clearly warranted. As
belief in ‘leverage points.’ These are places
long as the project details are not predeter-
within a complex system (a corporation, an
mined, the process of collaboration and inte-
economy, a living body, a city, an ecosystem)
grated design, supported by new methods and
where a small shift in one thing can produce
tools, will lead to a more efficient multipurpose
big changes in everything. . . .
system design and a more coordinated set of
“People who have managed to intervene in
enabling policies.
systems at the level of paradigm hit a lever-
Because of the focus on learning and integra-
age point that totally transforms systems.
tion, catalyst projects are not strictly pilot or
“. . . There’s nothing necessarily physical or ex- demonstration projects. The emphasis is on
pensive or even slow in the process of para- learning and on catalyzing change by influenc-
digm change. In a single individual it can hap-
ing all subsequent projects. The catalyst projects
pen in a millisecond. . . . Whole societies are
help transform a city into a learning society.
another matter. They resist challenges to
A city might plan for one active catalyst proj-
their paradigm harder than they resist any-
ect in every neighborhood as a way to begin
thing else.”
implementing the Eco2 pathway and as a con-
Source: Meadows (1999: 1, 18).
tribution to local pride and place making. Fig-
ure 2.5 evokes a neighborhood catalyst project
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120
scale, walkability, streetscapes, and public sketches, meta diagrams, and schematics. The
space. Specific locations may be used as case pace of the workshop accelerates until it ends
studies. Engineers and planners may address with a surprising amount of work accom-
urban resource flows and include schematics plished. In the words of Patrick Condon (2008),
and plans for alternative infrastructure. In a Canadian expert who has led many such
this way, the design charrette expands to workshops, a charrette is “the best way to get
address all urban systems at the city scale. the most creative proposals to address the most
In a charrette, the scale will vary to match difficult problems from the most accomplished
the project. If the objective is to create a long- designers in the most compressed period.”
term regional plan, the scale will need to en- A charrette is a collaborative approach to
compass the entire urban area and the rural design that may offer much more creativity and
fringe. One team might focus on boundaries interdisciplinary thinking than is normal in
and connections, another on the formation of city planning. At the beginning of the charrette,
complete neighborhoods, and another on in- the teams review and discuss the city’s or re-
frastructure systems (urban systems). All teams gion’s long-term planning framework (figure
are directed by the end-state goals. At first, the 2.7). During the workshop, the teams engage
small teams talk and share information and frequently with invited members of the public
ideas. Then the process progresses from simple and specialists by means of many small presen-
drawings to complete plans, layered maps, tations and intense discussions and drawing
A C I T Y- B A S E D D E C I S I O N S U P P O RT SYST E M | 121
sessions. This broad and meaningful engage- References
ment contributes to a positive outcome, with
less fear and resistance from stakeholders, and Condon, Patrick M. 2008. Design Charrettes for
with significant potential for reaching consen- Sustainable Communities. Washington, DC: Island
Press.
sus on contentious issues such as the way to
EIU (Economist Intelligence Unit). 2008. “Sustainable
apply best practices in the local context. Urban Infrastructure: London Edition; A View to
A regional design charrette concludes with 2025.” Siemens AG, Munich. http://w1.siemens.
a plenary presentation to stakeholders, impor- com/entry/cc/en/sustainablecities.htm.
tant personalities, and the public and the prep- Lennertz, Bill, and Aarin Lutzenhiser. 2006. The
Charrette Handbook: The Essential Guide to
aration of a well-illustrated publication with Accelerated Collaborative Community Planning.
recommendations on the RGS. (For manuals Chicago: APA Planners Press.
and case studies on charrettes, see Condon Meadows, Donnella. 1999. “Leverage Points: Places to
2008; Lennertz and Lutzenhiser 2006; Swane- Intervene in a System.” Sustainability Institute,
Hartland, VT.
poel, Campbell, and Moffat 2003.)
Swanepoel, Lourette, Elisa Campbell, and Sebastian
Moffat. 2003. “Tools for Planning for Long-Term
Sustainability: The CitiesPLUS Design Char-
rettes.” Research report, Canada Mortgage and
Housing Corporation, Ottawa.
A C I T Y- B A S E D D E C I S I O N S U P P O RT SYST E M | 123
store, convert, regulate, separate, process, or
recycle any flow. A converter is on-site and
upstream of all service demands, while a
reconverter is on-site and downstream of at
least one service demand. In the example
shown, the majority of water flowing through
this parcel arrives as rain, about 60 percent of
which passes directly through the site to be
absorbed in the ground. The remaining rainwa-
ter is captured by the roof and stored in a cistern,
from which it is mixed with a neighborhood
groundwater system and used to supply many
household needs. The greatest single use of
Figure 2.8 A Sankey Diagram freshwater is the cooling system. The diagram
Source: Author elaboration (Sebastian Moffatt). quickly reveals advanced looping systems:
Note: A Sankey diagram is comprised of partitions, nodes, edges, and arrows. A partition
represents the transitions or stages within the flow where transformations may occur. water from the kitchen and baths is reclaimed
The nodes are the divisions within a partition; they represent processes or events that and used for toilet flushing, and water from the
regulate or transform the quality of flows. Edges are the paths (or noodles) that emerge
from nodes and that direct flows to nodes on the next partition. The width of the edges septic tank is reused for pipe irrigation.
is proportional to the flow quantity. Arrows indicate flow direction.
Meta diagrams constructed at the parcel
level, such as the one shown, may be summed
lar to the metabolism of a living organism that to create a Sankey for a collection of parcels,
consumes natural resources to stay alive. If the neighborhood, or a city. An example of a
Sankey diagrams are used to illustrate these citywide meta diagram shows baseline water
nature-to-nature flows, they are referred to as flows for Irvine, California, a community of
meta diagrams. Flows of resources may be il- 180,000 people south of Los Angeles (figure
lustrated for individual developed sites or for 2.10). The climate in Irvine is dry (13 inches of
whole cities. Flows are typically averaged over rain per year), and the city has developed one
one year, although both the time period and of the most complex and advanced water sys-
the spatial scale may be selected to answer tems in the United States. The diagram pro-
whatever questions are of the most interest. vides all the key information on a single page.
Figure 2.9 provides an example of a meta
diagram for water flows through a parcel (a Five Reasons for using meta diagrams in
house site) in New Delhi. The Sankey has five systems analysis and design
preestablished partitions: sources, converters,
demands, reconverters, and sinks. Converters 1. Understanding the whole picture. A meta
and reconverters are general terms for the diagram may be designed to convey quickly
on-site urban infrastructure or appliances that many aspects of a system to people of diverse
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Figure 2.10 Baseline Water Flows for Irvine, California
Source: Author elaboration (Sebastian Moffatt), with approximate data provided by Mike Hoolihan and the Irvine Ranch Water District (2008).
Note: This diagram illustrates the effective use of reclaimed water for the irrigation of commercial and public land (average cubic feet per day). Irvine
has the most advanced city water system in the United States. Note the diversity of water sources, including water harvested off-site and stored in
an artificial lake and large amounts of piped water in the metropolitan water district imported from northern California. Freshwater is stored in
ground aquifers and then harvested by the Irvine Ranch Water District, combined with expensive imported water, and used for hygiene, cooking,
surface washing, and so on. Most of the water flowing through the city’s land is rainfall, which is treated in constructed wetlands and released into a
creek. A second large flow of water is reclaimed wastewater, which is used to irrigate landscapes on public and commercial properties during the
driest periods. The most significant use of fresh water (imported and groundwater) is in the irrigation of the lawns around private homes. This diagram
illustrates the importance of finding a way legally and safely to use reclaimed water to irrigate residential properties, a strategy the water district is
now exploring.
2. Creating a common language for interdis- pattern language for physical flows at any
ciplinary groups. Meta diagrams help scale (figure 2.12). The first pattern, tradi-
everyone understand infrastructure as a tional, is typical of the oldest and also the
whole system and then focus on those parts poorest houses in China and India. Total
of the system in which resource use is high resource use is relatively small, but the mix
and in which opportunities may exist for of primary resources is complex. For exam-
significant efficiency, reuse, or substitution. ple, among energy flows, each fuel is care-
The diagrams provide a common language fully matched to the requirements of the
for exploring the key opportunities for inte- end use for optimum efficiency and lowest
grated, holistic solutions. cost. Thus, coconut husks are used for heat-
By compiling and comparing a diversity ing water; liquefied petroleum gas is used
of meta diagrams, one may identify a simple for stove cooking; wood is used for open
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Figure 2.13 Meta Diagram Figure 2.14 Meta Diagram for Jinze, Shanghai: An Advanced System
for Jinze, Shanghai: The Source: Author elaboration (Sebastian Moffatt) with approximate data provided by Professor Jinsheng Li, Tongji
Current Energy System University, Shanghai. More details available at www.bridgingtothefuture.org
Note: This meta diagram provides a scenario for an advanced system that helps reduce emissions and costs and in-
Source: Author elaboration crease local jobs and energy security. The advanced system represents a substantial change. For example, a local
(Sebastian Moffatt) with approximate electricity generation facility is powered by liquefied natural gas and provides a majority of the electricity needs and
data provided by Professor Jinsheng hot and cool water for industry (cascading).
Li, Tongji University, Shanghai.
More details available at www.
bridgingtothefuture.org.
Generating scenarios with meta dia- meta diagrams may be joined. For example,
grams may be rather simple once base cases it is easy to combine parcels to create a sys-
are completed. A new energy source or tems perspective on resource use in a spe-
converter may be added and connected to cific neighborhood, development project,
parcels. The population of each category of or category of housing. A parcel may be any
parcel may be adjusted to reflect plans for discrete surface area (for example, a park, a
upgrading buildings. For example, we house on a private lot, a shopping mall, a
might replace 1,000 older dwelling units sewage treatment plant, or a roadway). All
with 1,000 retrofitted dwelling units and parcels are connected. Each parcel de-
instantly see the impacts on water, energy, mands resources from other parcels, and if
and material flows and on total economic infrastructure is distributed, the infra-
costs and carbon emissions. Because every structure may provide other parcels with
parcel uses the same database structure, resources.
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Figure 2.16 Meta Diagrams on Energy for a Proposed New Town
Source: Author elaboration (Sebastian Moffatt).
Note: This series of energy meta diagrams was used to guide development plans for a proposed new town near Poona, India. The first diagram represents a business-as-usual sce-
nario. It shows how current development practice in southern India encourages greater use of coal-generated electricity. The second meta diagram portrays an advanced system
with biomass brought by train and used in a local district energy plant, with the cascading of energy. The third meta diagram includes the transportation energy that was ignored
by the designers and is missing from the other meta diagrams. Note that, because residents are expected to commute, transportation-related energy exceeds all other energy uses
combined. The third meta diagram suggests that a reduction in the need for commuting and the provision of incentives for the creation of quality transit systems must be a prior-
ity in urban design in affluent new towns.
particular use may be clearly subdivided into be used to draw the diagrams automatically.
off-site potable water, on-site water (the roof The difficulty arises in collecting baseline data
catchment), and reclaimed water. Without to portray existing conditions or to construct a
this type of separation, it is impossible to business-as-usual scenario. Two kinds of base-
understand a water consumption indicator. line information may be used (figure 2.18).
By standardizing the meta diagram format,
1. Top-down data establish how much of any
one may directly compare results from differ-
given resource (energy, water, and material)
ent locations or time periods and create com-
was actually sold, delivered, or imported
parable benchmarks for assessing system
during the most recent period. If one is deal-
performance and trend lines. Comparable
ing with a greenfield development, then
benchmarks also help in the important
top-down data may be used from a neigh-
process of establishing long-term targets for
boring site as a proxy for business as usual.
resource use. For example, authorities in the
Once the inputs are known, the rest of the
resort municipality of Whistler, which repre-
database may be constructed using popula-
sents one of Canada’s leading examples of
tion data and default values for demand by
sustainable planning, were unable to agree on
end-use category. For example, we might
long-term performance targets for a set of
imagine a situation in which the population
indicators until they benchmarked their
is 10,000 and the average person uses 200
current performance relative to other leading
liters per day of municipal water, divided
resorts in North America (figure 2.17).
into toilets (40 percent), showers (5 percent),
surface washing (8 percent), and so on.
Creation of meta diagrams if data are lacking
Creating meta diagrams is easy once the data 2. Bottom-up data aggregate the flows of any
are properly stored in a database or spread- given resource by beginning with detailed
sheet. In fact, simple software applications may flows generated at the scale of various types
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of parcels or discrete pieces of land with parcels was audited and used to create an
their attendant buildings and end uses. energy meta diagram for the whole region.
This approach provides much greater pre-
cision and is preferred in dealing with ex- Tools for aggregation
isting stocks of buildings. Parcels are In the development of a reference database on
grouped into categories based on land use existing stock, all data collection occurs at the
and demand profile, (for example, prewar level of an individual parcel. Flows are re-
low-rise multiunit residential or recent corded in a predefined matrix that corre-
strip mall commercial). Aggregating parcel sponds with the Sankey diagram structure.
information requires that experts visit and Thus, the flows for each node on the parcel
audit several typical parcels within each are connected with nodes upstream or down-
category and use these parcels to create a stream to account for all sources and destina-
solid reference database. Reference parcels tions. By cross-referencing flows in and out of
are then used to create proxy values for all each partition and node, the matrix functions
the parcels within each category. The total as the numerical equivalent of the meta dia-
(aggregate) flow for the meta diagram is gram. A matrix may be automatically generated
calculated simply by multiplying the proxy either from empirical (field) data collected on
flows by the population of parcels within each archetypal parcel or from hypothetical
each category. Using such shortcuts, it is data deduced from a theoretical parcel design.
possible to determine an accurate baseline Field data and hypothetical data for refer-
flow quickly (+/− 10 percent). Figure 2.19 ence parcels need to be converted into flows
shows an example from Squamish, Canada, of resources. The conversion is accomplished
where a diverse collection of reference using standard models for predicting thermal
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WATER DEMAND
WATER DEMAND Units
Units Values
Values List of Options
List of Options
Laundry
Laundry
Full size Full size, side Compact (<45 Advanced
stnd top load or short (<45 liters) liters) side water
Clothes washing system None None loading cycle top loading load efficient
Number of full loads created per person week 0 0 0.5 1 1.5 2 2.5
Washing appliance liters per load 0
Personal Hygiene
Shower use per person week 0 0 1 2 3 4 5
Bath use per person week 0 0 1 2 3 4 5
Standard Standard
long (8 Short (5 Low Flow Low Flow
Shower system and length None None minutes) minutes) Long Short Bucket
Bath None None Full Normal Bucket
Tap off
Tap on Tap on except
constantly & constantly Tap on when
Hand & face, shaving, brushing None None long short constantly essential
Showering system liters per shower 0
Bath liters per bath 0
Hand & face, shaving, brushing liters per person 0
Kitchen
meals per person
Cooking Frequency day 0 0 1 2 3 4 5
Basin or Water Eff.
Dishwashing System None None Sink Stnd Machine Machine
Number of full loads created per person week 0 0 0.5 1 1.5 2 2.5
Dishwashing system liters per load 0
Toilets
Irrigation
Cummulative operating time for
all irrigation pipes & outdoor
watering taps (excluding reuse of hours per month 0 0 0.5 1 1.5 2 2.5
Potted Plants and Pools
Typical quantity of water per liters per month 0 0 2 4 6 8 10
Interior Surface Cleaning
Frequency of interior surface times per week 7 0 1 2 3 4 5
Quantity of water used
(excluding reuse of wash water) liters per event 4 0 1 2 3 4 5
Exterior Surface Cleaning
Days per month exterior number of days 0 0 1 2 3 4 5
minutes per
Duration of watering cleaning 0 0 5 10 15 20 30
Vehicle Cleaning
Number of 4 wheel vehicles number of
cleaned on-site vehicles 0 0 1 2 3 4 5
Number of 2 wheel vehicles number of
cleaned on-site vehicles 0 0 1 2 3 4 5
per vehicle each
Frequency of cleaning week 0 0 1 2 3 4 5
Evaporative Cooling
Typical frequency of use during hours per month 0 0 50 100 150 200 250
Small
(residential), Multi-unit, no Small with Multi-unit
Category of cooling system None None no bleed bleed Large bleed with bleed
Consumption of water by cooler liters per hour 0
Humidification
Typical monthly water liters of water per
consumption month 0 0 5 10 15 20 25
Client Demand
Table 2.2 Sample Forms for the Collection of Standardized Data on Water Flows
Source: Author compilation (Sebastian Moffatt).
Note: The table shows a complilation of sample computerized forms used to collect standardized data on water demand and water flow connec-
tions at the level of a land parcel.
may be combined with air photos (for example, the simple nature of the tool and its role in plan-
Google Earth) to produce three-dimensional ning. Without lots of advance notice and direc-
imagery. Such techniques provide planners tion, GIS departments produce maps that are
and others with the ability to fly through a dig- complex and colorful, but provide little added
ital landscape that has acquired the look and value. To realize the great potential of overlay
feel of a proposed development. With addi- mapping, one may find it helprul to consider
tional training, specific objects in the GIS data- the following suggestions.
base may be given attributes related to resource
consumption, and GIS may evolve into a sce- Provide clarity on the key questions decision
nario development tool (for example, Commu- makers are asking
nityViz; see elsewhere below). For example: Where are the ecological assets?
Where are the threats to urban systems?
Getting real value from mapping Integrated design workshops depend on the use
One of the challenges in overlay mapping is of maps to inform interdisciplinary groups about
avoiding the common problem of GIS for the many factors that influence the performance of
sake of GIS. Traditionally, GIS work has been infrastructure systems. For instance, maps may
far removed from decision making and has help create an integrated understanding of the
been surrounded by a mystique that obscures potential for taking advantage of existing eco-
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Figure 2.21 Layering Data
Source: Author elaboration (Sebastian Moffatt), with assistance from Lex Ivy, Terra Cognitio GIS Services.
Note: This example illustrates how a number of layers of information on the natural capital of a region have been visually integrated on a single map.
This information may be useful for strategic land use decisions and in identification of infrastructure system design options.
logical assets inside or near a city. A map might the most vulnerable to natural or constructed
show the locations with potential for generating hazards. The GIS consulting team has com-
renewable energy from wind, microhydro, bio- piled one of the largest and most detailed
mass, geothermal, tide, industrial process, and digital GIS databases ever prepared in India
other sources. Overlay mapping also provides a and then generated an atlas that reveals the
useful way of evaluating existing infrastructure relative risks to life and capital from earth-
systems and comparing their capacity in specific quakes, cyclones, storm surges, floods, chemi-
locations relative to the projected demand aris- cal accidents, and droughts.
ing from growth in populations and economic An example of overlay mapping on risk is
activities. With such information consolidated shown in figure 2.23. In this example, regional
on a single map, groups may integrate local growth planning for energy and transportation
energy assets relatively easily as they plan new in the City of Squamish is informed by the dis-
energy infrastructure systems and urban settle- tribution and intensity of risks on the landscape,
ments (figure 2.22). The same overlay process including risks associated with landslides,
works in all sectors. earthquakes, floods, and unstable soils. All risks
An example of hazard mapping at a larger have been consolidated as layers on a single
scale is the work recently completed by Guja- multihazard risk assessment map. This commu-
rat State Disaster Management Authority in nity is located in a flood-prone and geologically
India on a composite risk atlas aimed at active area, and the map reveals few locations
assisting the various departments involved in for the safe development of land for residential
disaster mitigation planning in areas that are and commercial uses. Moreover, the existing
natural gas and electricity infrastructure sys- assets, ecological functions (such as rainwater
tems and the major transportation routes for catchment, food production, and wind protec-
rail and road are already exposed to significant tion), and unique or ecologically sensitive areas
risk because they are located in the fan of pro- that contribute to local biodiversity and ecologi-
jected debris from landslides off the east slope cal health. Design teams and policy experts are
of the mountains. Even the electrical substa- able to adapt their policies and designs to this
tion has been incorrectly located in this haz- information only if it is available in a timely and
ardous area because of the lack of prior overlay easy-to-understand format.
mapping. A more common and especially useful ap-
Another example of innovation in overlay plication of overlay mapping involves mapping
mapping is the collection of maps in figure 2.24, the capacity of existing infrastructure and
which displays a series of maps for the same comparing this with the projected demand for
Squamish region. Each map focuses on a dif- services. Many urban regions are now using
ferent renewable energy asset. By overlaying this type of overlay mapping to assist in growth
the energy asset maps, one produces a tool that management. Areas with surplus capacity
makes it easier to plan development based on within their infrastructure systems are the
local renewable energy resources. For example, most appropriate locations for new develop-
a new residential development may be located ment or infill, all other factors being equal.
in areas in which the sunshine permits year- Areas with especially high demand may be
long use of solar water heaters and in which appropriate for localized infrastructure sys-
new buildings stay clear of the windy ridge tems; for example, high energy demand makes
north of town, where average wind speeds are district energy systems cost-effective. Because
sufficient to support a wind farm. maps are available on such areas, one may more
It is not unusual for land use and infrastruc- easily implement the policies that make build-
ture plans to proceed without any reference to ings suitable for hooking up to a local network.
the risk of natural disasters or to other critical This kind of forward-looking policy helps
landscape relationships such as local resource create a municipal ecology in which many
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Earthquakes
locations function as both supply and de- However, inventorying resources is not so sim-
mand nodes for flows of resources. ple. A substantial investment is sometimes
required to survey resources and document
Focus on quality inputs conditions throughout a region. The process in-
Similar to the case of meta diagrams, the volves experts in many disciplines. Because ev-
difficulty in overlay mapping is the scarcity ery location is unique, there are few shortcuts.
of reliable data. Maps may be beautiful, but One technique for speedy data collection is the
their utility depends on the accuracy and use of photography from the air, in combination
scope of the data that have been supplied. with a global positioning system, to create data
In fact, the mapping of ecological resources rapidly on the length and area of the natural
within and around a city, for example, is a and built elements of a region, including build-
relatively simple task that may be per- ing footprints, the length of key streets and
formed by any recent college graduate. shorelines, and the characteristics of open
spaces. The information collection and storage dents in the mapping work. Workshops may be
plan are the most important elements of the organized for tapping into this information and
method and need to be addressed as part of an creating maps that are far more informative
Eco2 pathway. A good example of how a broad through a process that is more inclusive.
information strategy leads to more effective Recently, this sort of community mapping has
mapping tools is found in the World Bank’s been successfully applied in many locations.
primer for cities on climate change, which in- Communities often have a truly surprising
cludes a step-by-step approach to identifying amount of information to contribute, much of
hot spots that are especially vulnerable and which cannot be obtained in any other fashion.
then exploring mitigation options (see Prasad
and others 2009). Take advantage of technologies for
sharing results
Integrate local knowledge The use of Web-based GIS applications is an
Another key part of an information strategy is emerging technology that leverages the benefits
engagement with knowledgeable local resi- of mapping. Colorful maps and images on the
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Internet offer greater potential for public and ple is CommunityViz, a software package de-
stakeholder participation and help decision veloped for cities and made available at a mini-
makers collect diverse viewpoints on how to mal cost through the Orton Family Foundation,
improve the quality and the acceptability of a charitable foundation. CommunityViz greatly
plans. Also, the maps are open to scrutiny by a reduces the time required to create plausible
wider audience that may provide ideas for ad- scenarios for urban system design and for es-
ditional spatial inquiry, have access to more in- tablishing a standard protocol for the use of in-
formation or updated information, and point dicators and benchmarks (figure 2.25). It also
out inadequacies in the maps. provides a convenient basis for sharing data
and integrating results across departments or
Work toward scenario-based GIS institutions. In the Squamish application de-
As capacity builds within a city, overlay map- scribed above, CommunityViz has been used as
ping methods may evolve to include powerful a common platform by three separate design
scenario-based GIS. Such applications can rap- teams: smart growth (urban form and transpor-
idly alter maps to reflect changes in design and tation), pathways (risk management and natu-
automatically generate precise calculations of ral hazards), and bridging to the future (30-year
spatial indicators and resource flows. An exam- pathways for sustainability).
Note: CommunityViz is a GIS application based on scenarios and indicators that may be used in concert with other methods to produce much of the
information required for assessing development options.
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CHAPTER 10
Methods for
Investment Planning
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Figure 2.26 The Life Cycle of a Building
Source: Brick (2008).
Note: The life cycle of a building is long and complex and influenced by many different professionals.
This method may be applied in demonstra- part of investing in resilience and sustainability.
tion projects because it helps reveal the whole A fourth method is the overall valuation of a
picture; life-cycle environmental accounting city’s performance on an Eco2 pathway and on
helps identify areas in which the problems are a long-term and project-by-project basis; this
the greatest. For example, ecological priori- involves using a holistic set of indicators to
ties among rapidly industrializing countries assess costs and benefits. It is important for
include cutting back on the excessive amounts cities to review ways to select performance
of heavy masonry used in construction, con- indicators that are useful to decision makers
verting the inefficient and polluting energy at varying levels and that cover the full range
systems used to produce materials, and en- of assets within a city: manufactured capital,
hancing the durability of concrete and other natural capital, human capital, and social
key materials that affect the lifetimes of build- capital. It is important that these indicators
ings and infrastructure. The challenges in- include qualitative attributes such as historic,
volved in undertaking environmental ac- traditional, or cultural dimensions that cannot
counting on projects are centered on the time be represented monetarily. The challenge is
and effort needed to consider all the inputs to find ways to measure these assets that
and outputs, including those that are embod- are balanced, affordable, dependable, and com-
ied in the materials and services procured for parable and to present the results in a format
the project. that may be easily understood by decision
A third method is risk assessment, which is makers.
especially important during times of rapid
change and, yet, is largely ignored by urban pro-
fessionals. A full assessment of risk requires that Life-Cycle Costing
cities consider a variety of future possibilities
and research the likely impact of trends in many One of the most significant factors influenc-
areas, from climate change to technology. Sce- ing decision making on urban area develop-
nario planning and adaptation are difficult, but ment is the long-term impact on city finances
they are also rewarding exercises and are a key and the costs for residents and businesses.
and the assumption may be that change is based on a tool developed by the
costly, at least until a financial analysis is com- Canada Mortgage and Housing Cor-
plete. The debate over costs has two dimen- poration, a Canadian public agency,
sions: What are the true costs over the long for use in integrated design exer-
term? And how equitably are costs and bene- cises. The tool, the life-cycle costing
fits distributed? An LCC method is the only tool for community infrastructure planning, al- Life-cycle costing
way to address both these questions. lows users to compare alternative development software is available
from Canada Mortgage
LCC for urban infrastructure applies to all scenarios and to estimate the major costs of
and Housing
components, from buildings to roads; path- community development, particularly the costs Corporation.
ways; rights-of-way; parking lots; wires; pipes; that change depending on the form of urban www.cmhc-schl.gc.ca.
ditches; bridges; and the associated treatment development (for example, linear infrastruc-
plants, substations, open spaces, and facilities. ture). The tool is geared toward estimating
Most of these infrastructure elements have ex- planning costs and the revenues associated
ceptionally long lifetimes and may account for with the residential component of a develop-
large quantities of life-cycle material and en- ment. The financial impacts of commercial de-
ergy flows. By adopting LCC, one may adjust velopment and other types of development
the design and purchasing choices to optimize may be incorporated, provided infrastructure
the system over its entire life. The composition requirements have been specified correctly.
of sewerage pipes, for example, may be changed The tool is suited to assessing development
from concrete to welded steel if due consider- projects ranging in size from a collection of
ation is given to durability, cleaning, mainte- houses to a block-by-block infill development
nance, and other recurring costs over the full to an entire subdivision or neighborhood. A
life of the system and to the potential for adapt- good measure of the applicability of the tool to
ability and recycling. Road surfaces may be a given project is whether or not alternatives
changed from asphalt to concrete if due con- may be conceived that would result in signifi-
sideration is given to the improved efficiency cantly different densities or infrastructure re-
and fuel savings achieved by truck tires on con- quirements or make use of different green in-
crete. Linear in-ground infrastructure grids frastructure alternatives.
may reflect the adoption of combined trench- The tool is a spreadsheet-based application
ing and easily accessed utilidors if these are (Microsoft Excel) that makes the estimation of
shown to offer greater adaptability and lower life-cycle costs quick and easy for almost any
operating costs over the long life cycle of such type of land use and infrastructure alternative.
systems. LCC can produce even greater chang- It includes costing variables with default values
es in practice in terms of spatial planning, as that may be adjusted to match local or national
described in part 1. costs according to a city’s location. Outputs in-
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clude integrated financial assessments with mon- transit, private vehicle use, fire protection,
etary values for the following major categories: and police. Interest rates for lending, tax rates,
and service revenues are also calculated. Life-
• Hard Infrastructure, including roads, sew-
cycle costs are annualized (converted into an
erage, storm water facilities, schools, and
annual cost) over a 75-year period and allow
recreation centers
for the operation, maintenance, and replace-
• Municipal services, including transit ser-
ment of all utilities. All costs may be allocated
vices, school transit, fire services, police
on a per household basis.
services, and waste management services
All cost and service demand assumptions
• Private user costs, including driving costs
were the same for the two calculations. The
and home heating costs
only differences were that the sustainable
• External costs, including air pollution, cli-
neighborhood scenario has a smaller neighbor-
mate change, and motor vehicle collision
• Green infrastructure alternatives hood street width, green storm water infra-
structure, green roofs on public buildings
Two scenarios for Fort St. John (reducing the size of the storm water infra-
In 2008, Fort St. John, Canada, conducted a structure), and higher energy efficiency build-
design charrette to create a sustainable neigh- ing standards. The sustainable neighborhood
borhood concept plan for a 37-hectare green- scenario also has a higher density and greater
field site on the edge of the urban area. The mix of housing types and land uses. Table 2.3
city had three goals: compares the two scenarios.
1. Adopt a more proactive and engaging plan- Baseline scenario: low-density, primarily
ning process for managing growth. single-family residential and apartment
2. Create a new demonstration neighborhood A simple mask method was used to assess the
that embodies the community’s long-term road and lot layout and the number of units
goals and objectives.
that would typically be developed on this site.
3. Field-test new approaches for guiding
A scaled mask was created and placed over an
future mixed use development throughout
existing neighborhood near the site (figure
the region.
2.27). The neighborhood has parks, mostly sin-
As part of the design charrette, the develop- gle-family homes, and so on. The approximate
ment costs and value of the sustainable neigh- number of lots and the length and type of
borhood concept plan were compared against streets captured inside the mask were counted;
a baseline scenario that was grounded on the allowance was made for the inclusion of a
typical low-density neighborhoods currently school and community center. Three elements
existing in Fort St. John. The sustainable were then added: a small strip of commercial
neighborhood scenario is an alternative incor- use buildings, some duplex lots, and several
porating the principles and recommendations small three-story apartment buildings. Public
that arose from the charrette process. The open space was limited to parks, school
analysis using the LCC tool for community grounds, and street rights-of-way.
infrastructure planning allowed the scenarios
to be run for an entire neighborhood. The Sustainable neighborhood scenario: medium-
calculations are comprehensive, including density, varied housing forms, and mixed use
typical capital and operating costs for utilities The sustainable neighborhood plan developed
and services such as roads, water, sewerage, in the 2008 charrette was the basis of the sec-
garbage, schools, recreation facilities, public ond scenario. A three-dimensional model was
SUSTAINABLE NEIGHBORHOOD
FACTOR BASELINE SCENARIO: LOW DENSITY SCENARIO: MEDIUM DENSITY
Site area 37 hectare (93 acre) 37 hectare (93 acre)
Residential area (a %) 94 90
Commercial and community (%) 6 10
Service area of parks approximately 2.7 hectare not estimated; multiuse open space
Total residential units 368 932
Single-family units 188 56
Duplex units (large lot) 72 0
Minilot duplex units 0 84
Townhouses (two stories) 0 1 08
Townhouses (three stories, stacked) 0 1 38
Apartments (three or four stories) 1 44 516
Apartments above commercial 0 30
Commercial units 8 15
Gross unit density, units/hectare (units/acre) 1 1 (4) 28 (12)
Total population 888 1,922
Adult population 682 1 ,542
Child population 206 380
Total Population 888 1,922
Total roads (linear meters) 4,120 5,260
Neighborhood roads, compact (meters) 0 2,410
Collector roadsb (linear meters) 3,200 1 ,930
Arterial roads (linear meters) 920 920
Source: Fort St. John (2009).
a. Residential area includes roads, parks, schools, and so on.
b. Collector roads includes two types: one with a 17-meter right-of-way and one with a 15-meter right-of-way.
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developed from the workshop sketches using a • A school and a community center
variety of the housing forms listed in the resi- • A public lookout at the water tower
dential section (see above). Though a precise, • Energy-efficient homes
detailed neighborhood design was not estab-
Open public space is integrated and multiuse,
lished, zoning areas, building forms, street
including greenways, community gardens, bi-
types, and public buildings were scaled accu-
cycle paths, cross-country ski trails, and a
rately so that the outcome was a plausible re-
large commons around the school and com-
sult. Generally, this is a much more compact
munity center.
plan than the baseline scenario. Buildings are
more tightly packed, and there are more open,
Analysis of Costs and Value in the
intermediary public spaces. There are several
Scenarios
more uses and building types than the case in
the baseline scenario. Neighborhood streets
Baseline scenario: Costs and value
and roads are also narrower, in line with Cana-
Using typical costs for roads, sewerage, water
dian Alternative Development Standards.
supply, schools, and other services, one sees
The sustainable neighborhood plan includes
that the baseline scenario results in about
the following:
US$36,000 in initial capital costs for each res-
• A small area of large-lot single-family resi- idential unit (figure 2.28). The estimated cost
dences of a storm water pond is included under green
• A number of small areas of minilot duplexes infrastructure. The estimated cost of a water
• A few small areas of two-story townhouses pumping station is included under user-
• Several areas of three-story stacked town- defined costs. Note that roads dominate in the
houses capitals costs. Using these capital costs, the
• Three- or four-story apartment buildings baseline scenario results in about US$6,500 in
along the east part of the 112th Avenue ex- operating costs for each residential unit (fig-
tension ures 2.29 and 2.30).
• A seniors-oriented district of three- or four- All infrastructure assets depreciate; so, a true
story apartment buildings to the east of the representation of the costs must include replace-
hospital site ment costs over time, including inflation in
• A row of mixed use commercial units with construction costs. Figure 2.31 illustrates the
apartments above and along the 112th Ave- annual operating costs for all types of infra-
nue extension, slightly north of the hospital structure if these are spread over a 75-year life-
site
Figure 2.30 Baseline Scenario: Graphic Representation of Initial Capital Costs and Annual Operating Costs
per Unit
Source: Fort St. John (2009).
Figure 2.31 Baseline Scenario: Representation of True Life-Cycle Costs, Including Replacement
Source: Fort St. John (2009).
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Figure 2.32 Baseline Scenario: Graphic Representation of True Life-Cycle Costs
Source: Fort St. John (2009).
Figure 2.35 Sustainable Neighborhood Scenario: Annual Operating Costs per Unit
Source: Fort St. John (2009).
Figure 2.36 Sustainable Neighborhood Scenario: Graphic Representation of Initial Capital Costs and Annual
Operating Costs per Unit
Source: Fort St. John (2009).
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Figure 2.37 Sustainable Neighborhood Scenario: Representation of True Life-Cycle Costs, Including
Replacement
Source: Fort St. John (2009).
Figure 2.38 Sustainable Neighborhood Scenario: Graphic Representation of True Life-Cycle Costs
Source: Fort St. John (2009).
Figure 2.41 Comparison of Baseline and Sustainable Neighborhood Scenarios: Annual Operating Costs
Source: Fort St. John (2009).
Figure 2.42 Comparison of Baseline and Sustainable Neighborhood Scenarios: Annual Municipal Costs and
Necessary Revenues over 75 Years
Source: Fort St. John (2009).
Insights from the LCC Case Study specifics of development are not sufficiently
certain at this conceptual level to obtain highly
Specific development cost inputs must be accurate results. Furthermore, the way in
updated as design continues which Fort St. John, as the landowner, will
There are many hard and soft cost assumptions handle development costs and municipal ser-
built into the model that are fairly reliable be- vice costs by recovering them through sales
cause they are taken from national databases and development cost charges has not been de-
and localized to Fort St. John. However, the termined. For the moment, it has been assumed
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Figure 2.43 Comparison of Baseline and Sustainable Neighborhood Scenarios: Annual Life-Cycle Costs per
Household
Source: Fort St. John (2009).
that the city will carry approximately 20 per- 1. Land price: this is approximately 25 per-
cent of the service costs and pass 80 percent on cent below a single-family lot because of
to the developer. Municipal costs and revenues the smaller land area and lower servicing
are thus preliminary. However, once the costs.
spreadsheet model has been set up, it may
2. Home price: this is approximately 35 per-
readily be updated to test more detailed sce-
cent below a single-family lot because of
narios before decisions are finalized.
the smaller home size and the economies
LCC helps clarify the greater affordability of duplex construction. This also accounts
and value of sustainable options for the slightly higher cost of higher-quality
In the sustainable neighborhood scenario, the energy-efficient construction.
effects on home prices and operating costs are 3. Operating cost: for a minilot duplex home
not explored in detail. Clearly, the compact de- may, this be about 50 percent less than the
velopment form results in savings on municipal corresponding cost of a single-family home
services per household that may be passed on to because of energy efficiency, water savings,
residents through lower purchase prices or more durable construction, and the re-
rents. In addition, the sustainable neighborhood duced yard area to maintain.
scenario assumes smaller home sizes that re-
duce capital costs per household. For example, a In today’s world of economic uncertainties
typical minilot duplex may be around 120 to 200 and unstable costs for energy and services,
square meters (1,300 to 2,200 square feet); this one may confidently say that the more com-
compares with 220–300 square meters (2,400– pact, more energy-efficient, and more durable
3,200 square feet) for a typical detached single- home is likely to retain its value much better
family home (median 60 percent less floor area). than the large, inefficient homes of the past.
Furthermore, green, energy-efficient building
standards are proposed for the sustainable LCC is especially effective in helping the
neighborhood that will result in lower operating municipality cope with future costs
costs and lower repair and replacement costs Every established city today is facing trouble
(because these are more durable homes). managing the replacement costs of declining
It has been estimated that the median price infrastructure. Some are in a more serious
of a minilot duplex is lower than the price of a situation than others because of low revenues
standard single-family lot in the following or- in a declining economy and deferred replace-
der of magnitude: ments that are long overdue. At the same time,
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As part of the RETScreen Clean Energy primary benefits is the fact that the RETScreen
Project Analysis Software, an emission analysis software facilitates the project evaluation pro-
worksheet is provided to help the user estimate cess for decision makers. The financial analysis
the greenhouse gas emission reduction (miti- worksheet covers financial parameter input
gation) potential of the proposed project. A items (for example, the discount rate and the
cost analysis worksheet is used to help the user debt ratio) and calculated financial viability
estimate the costs (and credits) associated with output items (the internal rate of return, simple
the proposed case. These costs are addressed payback, net present value, and so on) and
from the initial or investment cost standpoint allows project decision makers to consider var-
and from the annual or recurring cost stand- ious financial parameters with relative ease.
point. The user may refer to the RETScreen A sensitivity and risk analysis worksheet is
Product Database for supplier contact infor- provided to help the user estimate the sensitiv-
mation to obtain prices or other required infor- ity of important financial indicators in relation
mation. to key technical and financial parameters. This
A financial analysis worksheet is provided standard sensitivity and risk analysis work-
for each project evaluated (figures 2.45 and sheet contains a settings section and two main
2.46). This financial analysis worksheet con- sections: sensitivity analysis and risk analysis.
tains six sections: financial parameters, annual Each section provides information on the
income, project costs and savings–income relationship between the key parameters and
summary, financial viability, yearly cash flows, important financial indicators, showing the
and cumulative cash flow graphs. One of the parameters that have the greatest impact on
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Figure 2.47 The Environmental Load Profile
Source: Brick (2008).
Note: Environmental loads are quantified for different services and levels, and the results may be totaled to reflect any combination of concerns.
The main strength of the ELP is that the tool materials, personal transportation, and the
is flexible and dynamic, which makes it suit- transport of goods). By aggregating all factors,
able for application both as a planning tool the environmental load of the whole city dis-
and as an evaluation tool. By factoring in vari- trict may be analyzed. If each factor is analyzed
ables, one may use the ELP to calculate the separately, the various activities of the city may
environmental loads that various planning de- provide useful information for city planning.
cisions will generate at various project phases, The ELP enables comparisons among alter-
including construction, use, demolition, and native designs, construction, and infrastruc-
redevelopment (figure 2.47). It is also possible ture. The ELP encompasses two life-cycle
to test scenarios. For instance, one may com- calculations:
pare the environmental performance of differ-
• Effects from each of the life-cycle stages:
ent construction methods prior to making a
construction, operation, and dismantling
decision on which method to use. Hence, it is
possible for decision makers to include envi- • Effects from the life cycle of the building
ronmental concerns early in the process. materials and electricity flowing in and out
The ELP may also be used to evaluate the of buildings and the city district
environmental performance of an existing city
district or building based on the consumption The ELP in the follow-up to
of resources such as water and energy during Hammarby Sjöstad
the usage phase. The ELP enables analyses of In Stockholm’s Hammarby Sjöstad project, the
environmental performance at multiple levels. city imposed tough environmental require-
The tool takes into account activities associat- ments on infrastructure solutions and technical
ed with individuals (for example, cooking and installations in buildings. Since 2002, when the
laundry); buildings (such as building materials, first area, Sickla Udde, was completed, environ-
district heating, and electricity); the unbuilt mental goals and performance have been moni-
real estate area (materials, working machines, tored using the ELP’s different indicators. Fig-
and so on); and the common area (for instance, ure 2.48 illustrates the results from four of the
areas. Relative to a reference scenario, the results propriate societal and financial environmental
were a 28–42 percent reduction in nonrenew- measures in the continued development of the
able energy use, a 41–46 percent reduction in district. The results of the monitoring may also
water use, a 29–37 percent reduction in global be useful in planning or undertaking similar
warming potential, a 33–38 percent reduction projects.
in photochemical ozone creation, a 23–29 per-
cent reduction in acidification potential, a 49–53 The ELP in the planning process
percent reduction in eutrophication potential, Environmental planning has not been the
and a 27–40 percent reduction in radioactive norm in the past, and it is apparent that there
waste. is still much room to improve the environ-
The overall environmental goal set for Ham- mental impacts of urban development initia-
marby Sjöstad is to reduce environmental loads tives. The availability of a proactive approach
by half relative to urban development loads in and the ability to analyze the potential for en-
the early 1990s. Even though this goal of twice hancement in the planning process make it
as good has not yet been reached, the reduc- more likely that one will adopt cost-effective
tions in the environmental loads in the area are measures that contribute significantly to in-
significant. The main contributor to the im- creased sustainability. Improvements may be
provements has been effective planning in the possible in three areas: (1) the upstream sys-
area, such as planning for district heating, ur- tem (streams of materials and services flow-
ban transportation, waste, and wastewater ing into the area), (2) the core system (the
management. project), and (3) the downstream system (the
Monitoring in the Hammarby Sjöstad envi- management of waste flows and the reuse of
ronmental program has contributed to the materials), as follows:
technical and economic understanding of ap-
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1. Improvements in the upstream system may Foresight Workshops and
be realized through enhanced energy pro- Resiliency Planning
duction (electricity and heating) and raw
materials production. A method for mitigation and adaptation
2. Improvements in the core system may be is needed
realized through advances in construction Credible forecasting is essential for all devel-
and maintenance; the installation of solar opment planning. All cities require the capac-
cells or heat recovery systems; and human ity to forecast. A city’s land use plan is typi-
behavioral change, particularly by promo- cally driven by population and economic
tion of energy conservation. demand and relies on plausible forecasts of
the demand for land and services. Thus, cred-
3. Improvements in the downstream system ible forecasting is a necessary part of direct-
may be realized through improved waste ing public investments and is essential for
and wastewater management, including gaining support from potential financial part-
recycling and reuse. ners and other stakeholders.
By using the ELP in the planning process, one Forecasting is always a challenge. The de-
may analyze various options and vet various mand for services of any type may vary greatly,
interventions from an environmental point of depending on the assumptions made regarding
view (figure 2.49). By adding the cost of envi- population growth, occupant lifestyles, new
ronmental impacts to the analysis of alterna- technology, and the pace of development.
tives, one may visualize the life-cycle perspec- Transformative forces may also influence de-
tive. The ELP allows for comprehensive mand. For example, population migration, cli-
assessments and more precise target setting. mate change, and globalization may lead to
By following up on outcomes and providing large-scale changes in the local demand for
feedback to stakeholders and actors, the ELP land and services. A rise in sea level might alter
also contributes to building knowledge and the location of shorelines and dislocate neigh-
fostering improvements. It is becoming more borhoods and infrastructure. The increased
important to have good decision-making tools frequency of wind storms might require more
such as the ELP. space dedicated to tree breaks, pedestrian shel-
ters, and underground services. A global eco-
nomic crisis, fuel price increases, or changes in
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involve stakeholders in more intense, time- and then discussed at a nontechnical level
limited exercises such as design charrettes with a view to reinforcing a systems perspective.
and foresight workshops. These diagrams may also provide a foundation
A foresight workshop consists of a progres- for more complex modeling among groups.
sive series of presentations and exercises An example template for an influence dia-
intended to introduce designers and planners gram is shown in figure 2.50. Each unique
to the potential for proactive risk management chain of cause and effect leads to potential
through resilient land use and infrastructure impacts on the economic, social, and environ-
design. Typically, it begins with an exploration mental features of the region. With help from
of the possible impacts of external forces on specialists, subteams may use such diagrams to
urban and rural systems within the region. A map chains of cause and effect and the impacts
summary presentation or a set of papers may be on the four capitals in the case of each major
provided that covers the local context in terms force and urban system.
of the five major forces: demographic, climate Through influence diagrams, the interdis-
change, technological change, globalization, ciplinary subteams may then explore specific
and sudden shocks. Foresight papers review interventions or alternative designs for miti-
the patterns and trends in each force and exam- gating any significant negative impacts. In
ine how this force might affect the urban region. this way, the influence and intervention dia-
As part of the workshop, subteams may ex- grams become a framework or mind-map,
plore the possible influences of the forces on helping interdisciplinary groups to explore
various urban systems: mobility, housing, build- the longer-term vulnerabilities of the region
ings, land use, energy, materials and waste, water, and then to develop mitigation strategies. A
health, information and communications, secu- foresight workshop may orient design teams
rity, agrifood, and the economy. The subgroups to unfamiliar topics, such as security and re-
may use graphical tools to assist in forecasting. siliency. Such a workshop also initiates capac-
Decision trees, influence diagrams, and be- ity building in the larger field of resiliency
lief nets are examples of tools that support the planning. Most designers and planners have
front end of a decision analysis. A particularly little understanding of future studies, includ-
effective technique is to use influence dia- ing on such topics as technology scans, S
grams to structure and facilitate dialogue. For curves and innovation cycles, risk manage-
many people, an influence diagram is the easi- ment, and the accelerating pace of change in
est way to understand a series of chains of many urban systems. While many of these
cause and effect, although, strictly speaking, concepts are difficult to grasp and integrate
the causality is not always direct or restricted into daily practice, the foresight workshop ex-
to the elements shown. Thus, terms such as ercises allow pragmatic issues to be discussed
influence or relevance are used. These diagrams and complex concepts to be presented in vi-
are easy to draw, and they are intuitive; they sual formats that are easy to understand and
allow straightforward numerical assessments. reference.
Most important, they visually communicate A foresight workshop also creates the pos-
independencies among variables. By visually sibility for generating initial design solutions
displaying changing assumptions, they allow that promote resiliency. The workshops repre-
groups to focus on internal dependencies as sent opportunities to explore adaptable designs.
a whole, rather than in disjointed sections. Designs that are versatile and durable favor
Aspects of inference, prediction, and decision simplicity, factor in redundancy, allow up-
may be drawn using simple nodes and arrows grades, opt for independence, and minimize
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destructive change. The workshops are also References
chances to demonstrate the benefits of ecologi-
cal design solutions, such as compartmental- Bilderbeek, Rob H., and Ida-Elisabeth Andersen. 1994.
ization and modularization, which help reduce “European Awareness Scenario Workshops:
Organizational Manual and Self-Training
the vulnerability of systems to the failure of Manual.” Report STB/94/045, Sustainable Cities
any single part. Program, Center for Technology and Policy
Studies, Apeldoorn, the Netherlands.
Brick, Karolina. 2008. “Barriers for Implementation
of the Environmental Load Profile and Other
Note LCA-Based Tools.” Licentiate thesis, Royal
Institute of Technology, Stockholm.
1. InfraCycle is another example of a commercial
Fort St. John. 2009. “Sustainable Neighbourhood
spreadsheet application that helps cities calculate
Concept Plan.” Prepared by Sheltair Group,
the capital, maintenance, replacement, and
LCC analysis by David Rosseau. http://www.
operating costs of all municipal infrastructure
fortstjohn.ca.
and estimate future revenues. See http://www.
Levin, Per, and Therése Rönnkvist-Mickelson. 2004.
infracycle.com/.
Rapportsammanfattning—Uppföljning av
miljöbelastning och ekonomi i Hammarby Sjöstad,
Sickla Udde. Stockholm: Carl Bro AB.
| 167
CASE 1
Curitiba, Brazil
Curitiba
• The capital of the State of Paraná, in the south of Brazil BRAZIL
• Land area: 432 km2 PERU
• Population (2008): 1.83 million
Brasília
• Annual population growth rate: 1.86 percent BOLIVIA
PA C I F I C
• The city is bordered by the Iguaçu River to the east and Passaúna Park to the OC E A N
west. PARAGUAY
• The city is located at the center of Brazil’s largest economic corridor, which in- Curitiba
cludes Brasília, Porto Alegre, Rio de Janeiro, and São Paolo, and near major cities, BRAZIL ARGENTINA AT L A NTI C
such as Buenos Aires and Montevideo, in other South American countries. OC E A N
URUGUAY 500 km.
Changing growth
patterns to linear
growth
The 2004
Plan
Metropolitan
Vision
Figure 3.3 Urban Growth Axes in Curitiba Figure 3.4 Density of Curitiba, 2004 Figure 3.5 Zoning in Curitiba, 2000
Source: IPPUC (2009a). Source: IPPUC, http://ippucnet.ippuc.org.br Source: IPPUC, http://ippucnet.ippuc.org.br (accessed
(accessed January 15, 2009). January 15, 2009).
center area, the zone ZC category allows the permitted only in areas reachable by public
development of residential apartments and transportation. Because Curitiba was designed
commercial and service facilities (except su- for people, not cars, public transportation
permarkets) subject to specific parameters: coverage and service frequency are critical. Bus
floor area ratios up to 5, first-floor building-to- service reaches almost 90 percent of the city
land ratios up to 100 percent, and no limit on area, and all users may access public transpor-
building heights in most areas. (However, to tation services by walking less than 500 meters
ensure aesthetics, buildings are normally lim- (figure 3.6) (IPPUC 2009a). Bus routes are
ited to 20 floors, and some areas are subject to serviced nearly every five minutes. Curitiba
building height limitations to secure flight initially acquired land and reserved rights-of-
routes.) In addition, many zones facing struc- way along the strategic axes, which enabled the
tural axes (that is, zone SE) allow the develop- city to build social housing in these areas. Sub-
ment of residential apartments and commer- sequently, major economic activities and urban
cial and service facilities with floor area ratios functions, including residential neighborhoods
up to 4, first-floor building-to-land ratios up to and schools, were reorganized densely along
100 percent, and no limit on building heights in these axes.
most areas. (As in zone ZC, buildings are nor- To accommodate BRT routes and fulfill
mally limited to 20 floors to ensure aesthetics, transportation needs along the axes, the city
and some areas are subject to building height designated functions to existing roads under its
limitations to secure flight routes; see Hattori trinary road system. The five major axes now
2004, Prefeitura Municipal de Curitiba 2000.) accommodate both dedicated BRT lanes and
To shift the land use and growth pattern roads to access buildings. Cars that do not need
into linear forms and to provide good access to to access services along the axes may bypass
transportation services, new development was these areas by using roads parallel to the axes
Figure 3.6 Evolution of the Integrated Bus Network in Curitiba, 1974–95 and 2009
Source: IPPUC (2009a).
(figure 3.7). In addition, to avoid concentrated efficiently controlled and defined. Traffic is di-
traffic in the city center, a previous mayoral ad- verted from the city center or the axes thanks
ministration transformed selected streets in to an effective mixture of land use planning
the city center into pedestrian walkways on and a well-conceived public transportation
which cars are prohibited. network. Because housing, service facilities,
Through these measures, Curitiba’s spatial and job centers have been incrementally devel-
growth and urban land use patterns have been oped along the axes and linked to the BRT sys-
CURITIBA, BRAZIL SÃO PAULO, BRAZIL RIO DE JANEIRO, BRAZIL UNITED STATES TOKYO, JAPAN
LOSS 2002 2002 2002 2000 1994
Time loss
Total, US$ millions/year 1.20 79.94 27.48 — —
Per capita, US$/year 0.67 7.34 4.51 — —
Fuel loss
Total, US$ millions/year 0.93 73.23 13.47 — —
Per capita, US$/year 0.52 6.72 2.21 — —
Time and fuel losses
Total, US$ millions/year 2.1 3 153.17 40.94 900a 49,000b
Per capita, US$/year 1.19 14.07 6.72 — 4,1 00b
Sources: For Brazil: CNT (2002), Vassoler (2007); for the United States: Downs (2004); for Tokyo: TMG (2000).
Note: Data are for reference only. Calculation methods for Brazil, United States, and Tokyo may be different and are not necessarily comparable. — = not available.
a. Average across 75 metropolitan areas. The total for these areas was US$67.5 billion.
b. Calculation based on the loss of travel speed from 30 kilometers per hour to 18 kilometers per hour.
Green Line
Future Challenges for Curitiba
Downs, Anthony. 2004. Still Stuck in Traffic: Coping ———. 2009. “Curitiba: Economic Changes.” Prefeitura
with Peak-Hour Traffic Congestion, rev. ed. Municipal de Curitiba, Curitiba, Brazil.
Washington, DC: Brookings Institution Press. http://www.curitiba.pr.gov.br/siteidioma/
mudancaeconomica.aspx?idiomacultura=2.
Friberg, Lars. 2000. “Innovative Solutions for Public
Transport: Curitiba, Brazil.” Sustainable Develop- Rabinovitch, Jonas, and Josef Leitmann. 1993.
ment International, 4th ed., ed. Anna Pink, 153–56. “Environmental Innovation and Management
Brighton, U.K.: ICG Publishing. http://www. in Curitiba, Brazil.” Working Paper 1, Urban
brtchina.org/old/ReportE/Sustainable%20 Management Programme, United Nations Human
Development.pdf. Settlements Programme, Nairobi.
Guimarães, Eduardo. 2009. “Curitiba: Liveable City; TMG (Tokyo Metropolitan Government). 2000. “TDM
Transit and Sustainable Development.” Presenta- koutsuu jyuyou management Tokyo koudou plan”
tion at the “Transportation Forum 2009,” World (TDM 交通需要マネジメント)東京行動プラン
Bank Group, Washington, DC, March 31. [Transportation demand management, Tokyo:
Action plan]. Report, February, TMG, Tokyo.
HARC (Houston Advanced Research Center). 2004.
“Cool Houston! A Plan for Cooling the Region.” Vassoler, Ivani. 2007. Urban Brazil: Visions, Afflictions,
HARC, Woodlands, TX. http://files.harc.edu/ and Governance Lessons. New York: Cambria Press.
Projects/CoolHouston/CoolHoustonPlan.pdf. Vaz Del Bello, Giovanni, and Maria Terezinha Vaz.
Hattori, Keiro. 2004. “Ningen toshi Curitiba: Kankyou, 2007. A Convenient Truth: Urban Solutions from
koutsuu, fukushi, tochiriyou wo tougou shita Curitiba, Brazil. DVD. Directed by Giovanni Vaz
machizukuri” 人間都市クリチバ―環境・交通・福 Del Bello. Felton, CA: Maria Vaz Photography, in
祉・土地利用を統合したまちづくり [Human City association with Del Bello Pictures.
Stockholm, Sweden
SWEDEN
Profile of Stockholm
Stockholm
• The capital of Sweden, located in the northern
nia
AT L AN T I C
SWEDEN
Both
part of Europe O CE AN FINLAND
Gulf of
• Total area: 209 km2 NORWAY
(land: 188 km2; water: 21 km2)
• Population (2008): 795,000
• Expected increase in population by 2030: 150,000. Stockholm ESTONIA
Source: USK (2008).
North LATVIA
Sea DENMARK
LITHUANIA
500 km. RUSSIAN
FED.
GERMANY POLAND
Stockholm’s Approaches to able land and water use, (5) waste treatment
Sustainable Development with minimal environmental impacts, and (6) a
healthy indoor environment (City of Stockholm
Stockholm pursues comprehensive sustain- 2008).
able development policies. In 2007, the city In addition, Stockholm has implemented ac-
adopted a strategic project, Vision 2030, that tion programs on greenhouse gas emissions and
charts the way forward to strengthen sustain- climate change. The plans invite wide coopera-
able urban development (City of Stockholm tion from public and private organizations and
2007). This project indicates that, by 2030, individuals who live and work in the city. Vari-
the population of Stockholm will have grown ous measures have already been taken, includ-
to more than 1.0 million people, while the ing the adoption of biofuels, the expansion of
greater Stockholm region will have grown to districtwide heating and cooling management,
nearly 3.5 million. The city is expected to face and the promotion of vehicle driving behavior
new demands from globalization, trade shifts, that is environment friendlier (City of Stock-
migration, an increase in the number of the holm 2003). As a result, emissions of green-
elderly, and environmental challenges. Based house gases fell from 5.3 tons to 4.0 tons of
on the Vision 2030 project and other strate- equivalent carbon dioxide (CO2e) per person
gies, Stockholm has adopted an approach to between 1990 and 2005 (City of Stockholm
urban development that recognizes the stra- 2009). The city recognizes the importance of
tegic level and local levels (City of Stockholm energy efficiency to reduce emissions and tack-
2007). le climate change, but also prioritizes cost-
Aligned with Vision 2030, the Stockholm effectiveness through resource conservation.
Environment Programme established six envi- Devising ways to engage stakeholders in actions
ronmental goals or principles for 2008–11: that are environmentally and economically sus-
(1) environmentally efficient transport, (2) safe tainable remains a challenge. Stockholm’s long-
goods and buildings free of dangerous sub- term target is to be free of the use of fossil fuels
stances, (3) sustainable energy use, (4) sustain- by 2050 (City of Stockholm 2009).
• Water and sewerage: Storm water is uncon- • District heating and cooling: Treated waste-
nected to sewerage systems to improve the water and domestic waste become sources
quality of wastewater and sludge. Rainwater for heating, cooling, and power. A combined
from streets or nondomestic storm water is heat and power plant uses domestic waste as
collected, purified through a sand filter, and fuel to produce district heating and electrici-
released into the lake. This reduces pressure ty. Wastewater from the treatment plant fuels
on the wastewater treatment plant. Rainwa- the production of district heating in the Ham-
ter from surrounding houses and gardens marby heat plant. Cooled by heat pumps, the
flows through open drains to the channel. treated and cooled wastewater may also be
This water runs through a series of basins, used in the district cooling network.
known as an equalizer, and then to the lake.
• Electricity (solar energy): Solar energy is
Hammarby Sjöstad has its own wastewater
transformed into electrical energy in solar
treatment plant built to test new technology.
cells. The energy from a single solar cell mod-
Four new and different processes for purify-
ule covering one square meter provides
ing water are currently being tested.
around 100 kilowatt-hours per year, which is
• Biogas: Biogas is produced in the wastewa- equivalent to the energy used by three square
ter plant from the digestion of organic waste meters of housing space. There are solar pan-
and sludge. The wastewater from a single els on many roofs used to heat water. Solar
household produces sufficient biogas for panels on residential buildings often provide
the household’s gas cooker. Most biogas is sufficient energy to meet half of the annual
used as fuel in eco-friendly cars and buses. hot water requirements of the buildings.
• Green spaces: Roofs covered in stonecrop or Hammarby Sjöstad has its own Environmental
sedum plants are attractive. In addition, the Information Center, GlashusEtt. This center
plants absorb rainwater that would other- facilitates communications on environmental
wise drain into the sewerage system, adding considerations to area inhabitants and show-
pressure on the wastewater treatment plant. cases Hammarby to international visitors.
er
at
W
The environmental load profile suitable for application under any conditions in
An environmental assessment tool, the ELP, has planning, simulation, and evaluation. By factor-
been developed through a cooperative effort ing in well-constructed variables, one may use
by the City of Stockholm, the Royal Institute of the ELP to calculate the environmental loads of
Technology, and the consultancy firm Grontmij various planning decisions during a project’s
AB. The ELP assesses environmental perfor- construction, operation, demolition, or redevel-
mance and follows up on the targets set in the opment. The tool thus facilitates a life-cycle ap-
project’s environmental program. It is a life-cycle proach. Testing scenarios are facilitated. For
assessment tool that defines relevant activities instance, different construction methods may
from an environmental perspective and quanti- be compared prior to taking decisions. Hence,
fies the environmental loads originating from decision makers understand environmental is-
these activities, such as emissions, soil pollut- sues early in project planning. The ELP may
ants, waste, and the use of water and nonrenew- also be used to evaluate the environmental per-
able energy resources. It accounts for all project formance of existing city districts or buildings
development and implementation activities, based on the consumption of resources such as
including material acquisition, the transport of water and energy. The ELP enables analyses of
inputs and people, construction methods, elec- environmental performance at multiple levels.
tricity, heating, and materials recycling. The tool takes into account the activities and
The main strengths of the ELP are that the impacts of individuals (for example, cooking
tool is flexible and dynamic, which makes it and laundry), buildings (building materials, dis-
Figure 3.22 Monitoring Major Reductions in Environmental Loads, Hammarby Sjöstad, Stockholm
Source: Grontmij AB.
Singapore
for businesses and commercial entities, but tion ridership also means Singapore has been
also for residential structures. High density able to recover all public transportation operat-
lends itself to higher economic productivity ing costs from fares, a feat achieved only by
per unit of land and facilitates the identifica- Hong Kong, China, and by Singapore among
tion of green spaces and natural areas for pres- modern, highly developed cities (LTA 2008).
ervation. Indeed, Singapore is known as the Singapore imports most of its natural re-
garden city. Furthermore, high-density develop- sources, including food, water, and industrial
ment has translated into greater use of public materials. Careful resource planning is thus
transportation as major business, commercial, critical. For example, Singapore has adopted
and residential areas are well connected to an the comprehensive management of water re-
integrated public transportation network. In sources by looping and cascading water, which
2004, public transportation as a share of all represents a closed water cycle integrated into
transportation modes during morning peak one system, rather than a water supply system
hours reached 63 percent. The significant use based on once-through flows. Water efficiency
of public transportation helps reduce green- is integrated into the activities in other sectors
house gas emissions. High public transporta- as a result of cross-sector coordination among
servation tax is levied to reinforce water conser- environment is thus a critical issue. The Minis-
vation. In addition, a waterborne fee is charged try of the Environment and Water Resources
to cover the costs of wastewater treatment and issued the Singapore Green Plan 2012 in 2002
the maintenance and extension of the public and updated it in 2006. The plan addresses six
sewerage system. This represents a financial main areas: air and climate change, water, waste
disincentive on household water consumption. management, nature, public health, and inter-
Consequently, as water bills are raised (inclu- national environmental relations (MEWR
sive of all taxes), water consumption decreases 2006). The plan builds on the 1992 Singapore
(table 3.3). The tariff system has significantly in- Green Plan. Since 1992, local officials have ac-
fluenced water usage. Although annual water tively tackled environmental issues by imple-
use in Singapore increased from 403 million cu- menting various activities involving a range of
bic meters in 1995 to 454 million cubic meters stakeholders, including citizens and public and
in 2000, these demand control policies helped private sector entities. In 2009, the Sustainable
lower demand to 440 million cubic meters in Singapore Blueprint—“A Lively and Livable
2004 (Tortajada 2006b). Singapore: Strategies for Sustainable Growth”—
was launched by the Inter-Ministerial Commit-
Social considerations and awareness raising tee on Sustainable Development to ensure that
To ensure equity, the government provides di- Singapore not only met the target set in the
rect subsidies to lower-income families. Lifeline Green Plan, but also would go beyond this to
tariffs subsidize all water consumers, not only achieve economic growth and a good living en-
those who cannot afford to pay high tariffs. As vironment in an integrated way (IMCSD
such, Singapore provides subsidies only to tar- 2009).
geted poor households. Targeted subsidies are Energy: To avoid overconsumption, Singa-
widely considered more efficient in socioeco- pore does not subsidize energy. Electricity sup-
nomic terms relative to subsidies on the initial plies are established by market demand and
amount of water consumed by all households competition, and industries are encouraged to
irrespective of economic status. The tariff sys- find better solutions and to be energy efficient.
tem makes clear that those who consume more For improvement of cost-effectiveness, natural
water will be penalized (through basic tariffs gas–based electricity generation has recently
and taxes) even more heavily than commercial surpassed oil-based generation. The share of
and industrial uses. electricity produced using natural gas rose from
19 percent in 2000 to 79 percent in 2007. In
Other environmental approaches addition, energy consumption per unit of GDP
Singapore supports intense economic activity has been reduced, and the efficiency of electric-
in the small island-state. Maintaining a quality ity generation has been enhanced (IMCSD
Yokohama, Japan
Waste Reduction by Engaging Yokohama has been able to shut down two
Stakeholders in the Private Sector incinerators because of the significant reduc-
and Civil Society tion in waste. The incinerator closures have
saved US$6 million4 in annual operating costs
For Eco2 cities, the case of Yokohama offers and US$1.1 billion that would have been needed
information on ways to realize significant to renovate the incinerators (table 3.4) (City of
environmental and economic benefits by engag- Yokohama 2006). Around 5 percent of the fiscal
ing private sector and civil society stakehold- year 2008 budget of the Resources and Wastes
ers. Yokohama is the largest city in Japan Recycling Bureau, the city’s waste management
(figure 3.28).1 It reduced waste by 38.7 percent entity, was derived from the sale of recycled
between fiscal years2 2001 and 2007, despite material (US$23.5 million). In addition, the city
the growth of 165,875 people in the city’s raises US$24.6 million annually by selling the
population. This reduction in waste is attribut- electricity generated during the incineration
able to the city’s success in raising public process (City of Yokohama 2008a).
awareness about environmental issues and the Yokohama’s success demonstrates that a city
active participation of citizens and businesses may achieve waste reduction through the coop-
in Yokohama’s 3Rs program (reduce, reuse, eration of its stakeholders, particularly citizens.
and recycle).3 Reducing waste also results in significant cuts
C H IN A RUSSIAN
FED.
Profile of Yokohama
Yokohama DEM. PEOPLE’S Sea of
• The largest city in Japan after Tokyo REP. OF KOREA
Japan
• Population (2009): 3.65 million
• Land area: 435 km2 PACIFIC
REP. OF
• Population density (2009): 8,409 persons per km2 KOREA OCEAN
JAPAN
• The Port of Yokohama was opened to international trade in 1859, the year the Tokyo
Yokohama
government of Japan decided to abandon its isolationist policy and initiate mod-
ernization and the opening to foreign cultures. The city is celebrating the 150th
anniversary of the port’s opening in 2009. JAPAN
• In 2005, about 21 percent of the population was commuting out of the city for
purposes of employment or education.
• The population becomes quite involved in participatory civil activities.
• In 2008, the city was selected as one of Japan’s Eco-Model Cities. Map 3.6 Location of Yokohama
Source: Map Design Unit, General Services
Department, World Bank.
Table 3.4 The Power of Stakeholder Engagement in Yokohama, ated more waste, and this has put pressure on
Fiscal Years 2001–07 the city’s landfill sites, which have limited ca-
Total waste reduction 623,000 tons (−38.7 percent) pacity. In 2000, the city had seven incinerators
Economic benefit US$1.1 billion in capital costs saved
(of which six were in operation) and two land-
because of two incinerator closures fill sites (an inland site and a sea reclamation
US$6 million in operating costs saved site). To reduce the environmental impact of in-
because of two incinerator closures cineration and landfill disposal and to nudge
Life of landfill sites was extended Japanese society toward a zero waste cycle,
CO2 reduction 840,000 tons Yokohama started the G30 Action Plan in 2003.
Source: Author compilation (Hinako Maruyama). The G30 plan aims to reduce waste by 30 per-
cent by fiscal year 2010, using fiscal year 2001
in greenhouse gas emissions. In addition, a city waste quantities as baselines.
may cut expenditures by reducing waste, while The G30 plan identifies the responsibilities
generating revenue from the recyclables and of all stakeholders—households, businesses,
by-products resulting from waste treatment. and the city government—to reduce waste
Encouraged by these achievements, Yokohama through the 3Rs based on polluter pay schemes
now aims to reduce greenhouse gas emissions and extended producer responsibility princi-
to lead Japan toward the national reduction tar- ples (City of Yokohama 2003). The plan pro-
get and demonstrate its place as one of the Eco- vides integrated approaches to reduce waste
Model Cities.5 that are supported by detailed action pro-
grams. For example, Yokohama citizens must
separate waste into 15 categories and properly
Background and Approaches to dispose of each category of waste at designat-
Waste Reduction ed places and times. Businesses are requested
to provide products and services that produce
Yokohama’s population has increased slowly by less waste and to implement the 3Rs actively.
0.5 to 1 percent per year. Population growth and The city, which is one of the largest entities
the associated economic activities have gener- producing waste, is committed to decreasing
in savings from obviated annual operating costs, under competitive tendering; and 2.4 percent
minus US$24 million in expected annual ex- was harnessed by nearby public facilities, such
penditures for intermediate waste treatment as a sewage treatment plant, sludge recycling
and separation costs, recycling, contracting, and facility, and seaside line railway. In fiscal year
so on) (City of Yokohama 2006). 2007, US$24.6 million was earned by selling
Yokohama has two landfill sites. When the 200 million kilowatt-hours of electricity, which
G30 was planned in 2003, it was forecast that is equivalent to one year of electricity for 57,000
the landfills would have 100,000 cubic meters households (City of Yokohama 2008a).
of capacity remaining in 2007 and would be Yokohama began earning revenue by selling
full by 2008. However, owing to the waste re- recyclables, such as cans, bottles, paper, furniture,
duction achieved, the two sites had 700,000 and electronic appliances, as well as reusable
cubic meters of capacity remaining in 2007. metal and material produced from incinerated
The value of the additional capacity of 600,000 ash. Collected recyclables are sold to private
cubic meters is equivalent to US$83 million companies for additional treatment and reuse.
(City of Yokohama 2006). In addition, the de- Incineration ash is recycled into construction
velopment of a new landfill site or reclamation materials. About US$23.5 million in revenue is
area in the sea has been postponed. secured by selling recyclables to treatment com-
panies (City of Yokohama 2008a).
As a result of these measures, about 10 per-
The Economic Benefits of cent of the US$480 million budget of the
the Efficient Use of Resources Resources and Wastes Recycling Bureau in fis-
cal year 2008 came from selling recyclables
The city’s five incinerators produce heat and (US$23.5 million) and electricity generated
steam during the incineration of waste. The from incineration (US$24.6 million) (City of
heat and steam are used to operate the incinera- Yokohama 2008a, 2008c).
tors, including the heating, cooling, and genera- To promote efficient waste management,
tion of hot water, and to power adjacent public the city also began contracting key activities
facilities, including an indoor pool and elder (such as waste collection and transportation)
care facilities. Turbines in the incinerators to the private sector, which often provides
produce electricity from the steam. In fiscal higher-quality services at lower cost. Between
year 2007, the incinerators produced 355 mil- 2003 and 2005, the city saved US$26.4 million
lion kilowatt-hours of electricity. Of this power, in operating costs by contracting services to
42.2 percent was reused by the incinerators; the private sector (City of Yokohama 2006).
55.4 percent was sold to electricity companies
G30, Yokohama now aims to continue to re- 5. The government launched the Eco-model Cities
Initiative in 2008. A total of 13 cities were selected
duce greenhouse gas emissions to lead Japan to serve as model cities. The selection was based
and demonstrate its qualities as one of the on (a) achievement of a difficult target in the
country’s Eco-model Cities. In Yokohama’s reduction of greenhouse gases, (b) a comprehen-
sive and original approach that may be replicated
2008 Climate Change Action Policy, CO-DO 30,
by other cities, (c) appropriate local conditions and
the city aims to reduce greenhouse gas emis- features, (d) the feasibility of the target and the
sions by more than 30 percent by fiscal year plans and wide stakeholder participation, and
2025 and by more than 60 percent by fiscal (e) long-term and sustainable implementation.
Apart from Yokohama, the cities of Iida, Kita-
year 2050 (relative to the levels in fiscal year Kyushu, Kyoto, Minamata, Miyakojima, Obihiro,
2004) (City of Yokohama 2008d). Action plans Sakai, Toyama, and Toyota; the towns of Kasihara
are being established on the basis of seven and Shimokawa, and the Tokyo Ward of Chiyoda
approaches to realize the plan’s targets.6 In were selected.
6. The seven approaches are (a) living: to change
addition, Yokohama aims to increase its use of
society with anti-climate-change actions among
renewable energy by a factor of 10 relative to individuals; (b) business: to change society with
fiscal year 2004 baselines. Citizens are actively anti-climate-change business styles; (c) building:
participating in these activities, including by to plan and develop a city through energy-efficient
building construction; (d) transportation: to
purchasing city-issued bonds to fund the con- promote city planning and development to create
struction of a new wind power generator. an attractive city where people may travel on foot,
Finally, in light of Yokohama’s reduced waste by bicycle, or on public transportation and to
and the need to soon undertake costly renova- promote anti-climate-change measures with
regard to automobiles; (e) energy: to increase
tions of an aged incinerator, the city is plan- recyclable energy ten-fold; (f ) city and green areas:
ning to close one more incinerator by fiscal to plan and develop a green city through urban
year 2010 and, henceforth, use only four incin- heat island measures and so on; and (g) city hall:
to develop an anti-climate-change city hall.
erators. More reductions in CO2 emissions and
operational savings are expected.
Brisbane, Australia
Actions on Climate Change and highlighting the need to shift to a new form
in a Rapidly Growing City of water management.
in a Subtropical Region In 2007, the Brisbane City Council issued
Brisbane’s Plan for Action on Climate Change
With 2 percent population growth in 2006–07, and Energy, which delineates the selected
Brisbane, the capital of the State of Queensland, actions to be achieved in the short term (about
was one of the most rapidly growing capital cit- 18 months) and the long term (more than
ies in Australia (ABS 2008). The population of five years) (see Brisbane City Council 2007b).
Brisbane in 2007 was approximately 1.01 million, Brisbane has three major challenges: climate
making it the first local government area in Aus- change, high peak oil demand, and greenhouse
tralia to exceed the milestone of 1 million people gas emissions (see Brisbane City Council 2007c).
(ABS 2008). Brisbane is among the top 10 most Analyses suggest that, if Brisbane responds
rapidly growing cities in the countries of the intelligently to these challenges, the city may
Organisation for Economic Co-operation and generate significant economic benefits by
Development and the second most rapidly grow- developing sustainable industries, while saving
ing city in the western world (Brisbane City resources. Brisbane is actively introducing vari-
Council 2006). Brisbane’s population is expect- ous approaches to sustainable development.
ed to continue to grow over the next two decades In addition, in the city’s “Our Shared Vision:
(Brisbane City Council 2006).1 Living in Brisbane 2026” policy document, au-
Since 2000, Brisbane has experienced in- thorities have committed to cutting greenhouse
creased electricity consumption and annual gas emissions in half, reusing all wastewater,
growth in peak electricity loads (Brisbane and restoring 40 percent of the natural habitat
City Council 2007a).2 Because the city has a by 2026 (Brisbane City Council 2006).
subtropical climate, increased domestic air-
conditioning has been a major factor prompting
higher demand for electricity, along with poor The Ecological and Economic
housing design, an energy-intensive economy, Benefits of the CitySmart Program
and growth in population and disposable income
(Brisbane City Council 2007a). The demand for To implement actions in Brisbane’s Plan for
electricity is expected to rise consistently through Action on Climate Change and Energy, officials
2030. Brisbane is also experiencing a shortage have initiated the Green Heart CitySmart Pro-
of potable water during a period of growth and gram (Brisbane City Council 2009a). The pro-
climate change that is straining water resources gram introduces residents and businesses to
| 213
I N D O N E SI A PAPUA NEW GUINEA
1000 km.
PA C I F I C
OCE A N
Profile of Brisbane
Brisbane
• Capital city of the state of Queensland, Australia AUSTRALIA
• Population (2007): 1.01 million Brisbane
• Population increase (2006–07): 2.0 percent
• The largest populated local government area in Australia
Canberra
• Brisbane is located on a coastal plain in southeast Queensland. The eastern
suburbs line the shores of Moreton Bay, and the city’s central business AUSTRALIA Tasman
district is only 27 km from the mouth of the bay. I ND I AN Sea
OC EAN
• Brisbane is a subtropical river city and has hot, humid summers and dry,
IBRD 37447
JANUARY 2010
mild winters.
Map 3.7 Location of Brisbane
Source: Map Design Unit, General Services Department, World Bank.
practical and affordable ways to implement ac- 4.5 tons by 2026. To encourage household par-
tions indicated in the climate change action ticipation, the city offers rebates and grants sup-
plan. These practical tips help residents and porting environmentally sustainable projects
businesses become energy and resource effi- (box 3.3). The city recommends that homes re-
cient, thus improving the environment and sav- duce their greenhouse gas emissions, particular-
ing money (box 3.2). ly by installing solar hot water systems (rebates
For instance, residents are offered tips on hot available) to reduce up to 3 tons of CO2, under-
water use, heating and cooling, waste disposal, taking energy audits and monitoring (rebates
lighting and electronic appliances, bathroom and available) to reduce up to 3 tons of CO2, and con-
laundry facilities, house renovations, urban gar- necting to GreenPower (renewable energy from
dening, the installation of rainwater tanks, and so government accredited sources) to save up to 9
on. Moreover, Brisbane aims to reduce the an- tons of CO2.
nual carbon footprint of an average household Brisbane’s trees are vital in protecting and
from 16 tons of carbon dioxide (CO2) in 2006 to improving the urban environment. Trees pro-
Table 3.7 Greenhouse Gas Emissions and Electricity Use by the Brisbane City Council, Fiscal Years 2005–2008
INDICATOR 2005 2006 2007 2008
Net greenhouse gas emissions (tons of equivalent carbon dioxide) — 441,850 376,471 —
a
Direct emissions — 1 99,284 180,255 —
Indirect emissions arising from the consumption of electricity, heat, and steam — 218,988 205,669 —
Other indirect emissions — 30,1 48 40,864 —
GreenPowerb — (6,570) (53,31 7) —
Offsets — — (95,000) —
bus rapid transit systems also affect land devel- Brisbane City Council. 2006. “Our Shared Vision:
Living in Brisbane 2026.” Brisbane City Council,
opment. Along the South East Busway, property Brisbane, Australia. http://www.brisbane.qld.gov.
values within six miles of bus stations have risen au/bccwr/about_council/documents/vision2026_
as much as 20 percent; moreover, the rates of final_fulldocument.pdf.
growth in property values have been two to ———. 2007a. “Brisbane Long Term Infrastructure
Plan.” Brisbane City Council, Brisbane, Australia.
three times higher in these areas than in areas http://www.brisbane.qld.gov.au/bccwr/plans_
farther from stations (Currie 2006). and_strategies/documents/brisbane_long_term_
infrastructure_plan.pdf.
———. 2007b. “Brisbane’s Plan for Action on Climate
Change and Energy.” Brisbane City Council,
Lesson Learned in the Brisbane Case Brisbane, Australia. http://www.brisbane.qld.gov.
au/bccwr/environment/documents/brisbane_
Brisbane has responded to its unique local situa- climate_change_and_energy_action_plan.pdf.
tion as a subtropical city under growth pres- ———. 2007c. “Climate Change and Energy Taskforce
sures. Climate change has already started to Report; Final Report: A Call for Action.” Maunsell
Australia Pty Ltd, Milton, Queensland, Australia,
affect the city. Water is scarce, and temperatures March 12.
are higher. Responding to its natural conditions, ———. 2007d. “Know Your Creek; Moggill Creek:
Brisbane protects water resources, plants trees Improving Our Waterways from Backyard to Bay.”
to improve its urban ecology, and promotes a Brisbane City Council Information, Brisbane City
Council, Brisbane, Australia. http://www.brisbane.
sustainable built environment. These actions qld.gov.au/bccwr/environment/documents/
save money for the city and its residents. Many know_your_creek_moggill_2008.pdf.
developing-country cities are in tropical and hot ———. 2009a. “Green Heart CitySmart Home.” Brisbane
climates and may be vulnerable to climatic City Council, Brisbane, Australia. http://www.
brisbane.qld.gov.au/BCC:CITY_SMART::pc=
change. Some cities may be highly dependent on
PC_2796.
air-conditioning, which is relatively energy con- ———. 2009b. “Message from the Lord Mayor.” Brisbane
suming compared with other viable strategies. City Council, Brisbane, Australia. http://www.
In this context, Brisbane’s measures and actions brisbane.qld.gov.au/BCC:CITY_SMART::pc=
may provide good examples for how cities might PC_2803.
———. 2009c. “Grants and Rebates.” Brisbane City
respond to such challenges, while remaining
Council, Brisbane, Australia. http://www.brisbane.
ecologically and economically vibrant. qld.gov.au/BCC:CITY_SMART::pc=PC_5014.
———. 2009d. “2 Million Trees Project.” Brisbane City
Council, Brisbane, Australia. http://www.brisbane.
Notes qld.gov.au/BCC:CITY_SMART::pc=PC_2645.
———. 2009e. “What Council Is Aiming For.” Brisbane
City Council, Brisbane, Australia. http://www.
1. The State of Queensland will have to accommo-
brisbane.qld.gov.au/BCC:CITY_SMART::pc=
date 1 million new residents over the next two
PC_5475.
decades, 25 percent of whom will arrive in
Brisbane.
500 km.
economic development, and transportation PAC I FI C
OC EAN
planning have been devised. However, they do Auckland
• To provide methods to adapt business-as- national levels since the adoption of the ASF.
usual scenarios, for example, the 10-year com- Many new council members have not been in-
munity investment plans of a local council volved in the development of the framework,
• To identify strategic responses that must be and the national government has redefined sus-
undertaken to achieve sustainability goals tainability into the narrower concept of natural
resource management.
The ASF “will provide direction so that our lo-
Nonetheless, the ASF has been used to
cal authorities and central government agencies
develop a collective investment plan, which is
can work together with a common purpose to
referred to as the One Plan, as well as a number
embrace the opportunities and face the chal-
of local council plans, including the Manukau
lenges associated with developing a truly sus-
City Council’s 2060 Strategic Framework and
tainable region” (ARC 2008).
the Waitakere City Council’s social strategy.
Stretched thinking
Keys to Success
The framework and, especially, the participatory
process have stretched the thinking of many par-
Extended peer communities
ticipants with regard to the following topics:
The overall process created considerable buy-in
at political and administrative levels, and the • Recognizing that the world and Auckland
resulting framework is owned by all parties. are going to experience exponential change
However, there has been a considerable change over the next 50 years and that they have
in political representation at the local and limited time to prepare for this change
open meetings and because they require a pro- ———. 2008. “Auckland Sustainability Framework.”
Auckland Regional Council, Auckland, New
cess that is especially efficient. Zealand. http://www.arc.govt.nz/auckland/
After the ASF was adopted, the region quickly sustainability/auckland-sustainability-
focused on new priorities. As a consequence, framework.cfm.
one component of the framework—winning CitiesPlus. 2002. “Canada’s 100-Year Plan for a
Sustainable Region.” CitiesPlus, Vancouver,
hearts and minds—did not achieve progress Canada. http://www.citiesplus.ca/index.html.
(see figure 3.35). Winning hearts and minds Frame, Bob. 2008. “‘Wicked,’ ‘Messy,’ and ‘Clumsy’:
acknowledged the importance of the social Long-Term Frameworks for Sustainability.”
learning that council members, key staff mem- Environment and Planning C: Government
and Policy 26 (6): 1113–28.
bers, and stakeholders experienced through the
RGF (Regional Growth Forum). 2007. “Auckland
development of the ASF. Continued dialogue Sustainability Framework. An Agenda for
and education on the challenges and solutions the Future.” Auckland, New Zealand. http://
involved in achieving sustainability are required www.aucklandoneplan.org.nz/auckland-
among these key decision makers and the public. sustainability-framework/sustainability-
concepts-and-challenges/sustainability-
While the ASF has been adopted as a guiding concepts-and-challenges_home.cfm.
framework, no hard targets have yet emerged
We will now look at important urban infrastructure issues in more detail through the lens of each sec-
tor. Ideally, this leads to a kaleidoscopic view of the city that recognizes the interrelationships of en-
ergy, water, transportation, and solid waste. These interrelationships apply across sectors and with
respect to the built form of the city. In this context, the final note in part 3, “Managing the Spatial
Structure of Cities,” provides important lessons on how spatial planning and land use regulations may
powerfully influence mobility and affordability.
It is clear that many of the operational and jurisdictional boundaries of sectors impede innovation
and creativity in the effort to achieve better outcomes. It is also clear that investments made in one
sector may result in savings in another sector ( for example, investments in water efficiency usually
result in large energy cost savings). Pooling scarce resources to invest in multifunctional and multi-
purpose common elements may also benefit urban residents ( for instance, through single-purpose
underground infrastructure corridors).
What emerges from a closer analysis is an understanding of how these infrastructure systems inter-
act with a city’s spatial form. Infrastructure investments trigger and enable urbanization. However,
urban planning and spatial development establish the locations, concentrations, distributions, and na-
ture of demand nodes for sector infrastructure systems. Urban and spatial planning also identifies the
physical and economic constraints and parameters of infrastructure systems, including capacity limits,
service delivery technologies, and cost recovery requirements. Good urban planning and spatial devel-
opment provide proactive demand-side management and improve resource efficiency by identifying
and assessing the viability of technology and infrastructure options. For instance, public transporta-
tion is financially viable only at certain threshold urban densities and forms and under good coordina-
tion of urban land use.
In addition to illustrating the opportunities and strategies for realizing benefits within and across
sectors, the following notes shed light on critical sector-specific issues that are not under the direct
control of city authorities, but nonetheless influence city sustainability. These issues may need to be
addressed on a sector-by-sector basis. Moreover, identifying critical pressure points beyond the direct
control of city authorities is important in devising an expanded platform for collaboration.
| 225
SECTOR NOTE 1
Key dimensions of urban energy City and local government Desirable outcomes:
planning and management: sustainable energy actions: • Access to all
• Demand characteristics • Investing in sustainable • Secured supply
• Supply options and technologies energy retrofits and supplies • Reliable services
and spatial and temporal in the public sector • Affordable costs
considerations • Promoting energy • Air-quality compliance
• Institutional and regulatory efficiency and renewable • Regional and global
responsibilities energy technologies
environmental
• Stakeholder dynamics in urban built environment
stewardship
• Economic, financial, social, and • Promoting energy
environmental aspects efficiency and renewable
energy in land use planning
and development
Desirable impacts:
• Reduced life-cycle cost of energy services
• Strengthened city finances
• Improved social equity
• Reduced local pollution and greenhouse gas emissions
• Improved city competitiveness and local job creation
Figure 3.36 A Stylized Framework for Urban Energy Planning and Management
Source: Author compilation (Feng Liu).
serve more interests rather than to serve more energy planning and practice that the chapter
people more effectively.4 While cities must examines.
actively engage in the promotion of sustainable
energy solutions, urban leaders need the sup-
port and cooperation of regional and national Energy Use in Cities
governments to be successful. Substantial donor
support, knowledge, and finance are also A city’s energy profile—the level of use, mix of
required to encourage cities to enact sustain- energy types, and patterns of use by sector or
able energy actions in these three areas. end use activity—is determined by many factors,
This chapter reviews the general urban including population, income, economic struc-
energy landscape, particularly in cities in devel- ture, energy prices, end use efficiencies, climate
oping countries. It reviews activities linked to conditions, urban forms, built environments,
basic energy consumption; the options in ener- and access to regional and national energy mar-
gy services and supplies; factors affecting urban kets. Understanding the dynamics or constraints
energy planning and management; and good imposed by these factors is the starting point of
practices, lessons, and challenges in urban sustainable urban energy planning. The amount
energy planning and management. Figure 3.36 of energy used is not a good indicator of the level
illustrates the aspects of sustainable urban of energy service supply or demand (for example,
Table 3.9 Energy Consumption in Cities: Key End Use Activities and Energy Types
COMMON ENERGY TYPES USED
NATURAL GASOLINE, FIREWOOD,
MAIN ENERGY END-USE ACTIVITIES ELECTRICITY GASa LPGb KEROSENE DIESEL COAL CHARCOAL
Lighting
Cooking
Water heating (domestic hot water)
Appliances (refrigerators and so on)
Home and office electronics
Air conditioning
Space heating (cold climate)
Motorized transportation
Motive power (stationary)
Processing heat or steam
Source: Author compilation (Feng Liu).
a. In some cities, gas supplies are still provided by coal-gasification or coking facilities, but in general, town gas is no longer an attractive energy supply option in cities.
b. LPG = liquefied petroleum gas.
BOX 3.5
Energy Planning in the City of Mannheim By avoiding parallel gas and district heating networks,
least cost energy provision is achieved. In zones served by
To strengthen energy planning, Mannheim, Germany
district heating, gas is no longer offered. Electricity and dis-
has been divided into zones based on the type of en-
trict heat are produced by a combined heat and power
ergy network. A utility owned by the municipality sup-
plant in the city. The same utility operates public transpor-
plies natural gas, electricity, and district heating. Elec-
tation and supplies water. In this way, energy demand and
tricity is universally supplied. Space heating is supplied
production may be optimized to meet the most impor-
using natural gas, district heating, or electricity. In areas
tant needs of the city.
with greater heat loads, district heating is provided and
An important result of Mannheim’s plan has been
is the least costly option. In areas with medium -size
the conversion to cleaner energies. In 1983, 37 percent
heat loads, natural gas provides decentralized heating.
of all residential buildings were heated by coal or oil-
Areas with low heat demand are supplied using off-
fired heating units. In 1995, this share had dropped to
peak electrical heat storage devices. Large customers
less than 10 percent. In addition, sulfur dioxide emis-
such as department stores, hotels, and office buildings
sions have been reduced by about 85 percent, mono-
are cooled using absorption chillers linked to the dis-
nitrogen oxides by 40 percent, and carbon dioxide by
trict heating system.
about 30 percent.
Source: Bernd Kalkum.
BOX 3.6
Figure 3.38 New York City: Key Stakeholders in Electricity Supply and Consumption
Source: City of New York (2007).
BOX 3.7
one set reflecting the long-term strategic goals ment are generally inflexible to new approach-
of sustainable urban energy planning and prac- es; and (3) constrained annual budgets restrict
tice and the other highlighting the performance funding for capital upgrades, while restrictions
and efficiency of energy consuming sectors in on public financing and typical one-year budget
the cities. Table 3.12 represents a preliminary appropriations mean that the amortization of
list of sustainable energy metrics or categories costs is difficult. A list of typical barriers catego-
of metrics proposed for cities. rized by stakeholder is provided in table 3.13.
Many sustainable energy actions may be justi- The development of modern interconnected
fied solely on the basis of cost-effectiveness. energy systems over the past century or so has
However, for various reasons, many invest- gradually reduced the capacity of cities to
ments are unrealized because of administrative, understand and plan for their energy needs.
policy, and market barriers. Key issues include Cities have become passive participants in the
the following: (1) government agencies are urban energy agenda, leaving most responsibili-
typically unresponsive to price signals because ties to regional and national governments and
they lack a commercial orientation; (2) public the private sector. To pursue a sustainable urban
procedures for equipment and service procure- energy agenda, cities need to become more
assertive and involved in decisions that affect waste management, public transportation, and,
energy demand and supply options. City gov- in cold climates, district heating.10
ernments need to become stronger partners of Government-owned buildings and facilities:
regional and national governments and to guide Buildings consume about one-third of global
and mobilize private sector participation. Most energy and present significant potential for en-
important, cities need to act within their own ergy savings. Government buildings, particu-
authority to implement sustainable energy larly those in developing countries, tend to be
solutions. older and use more inefficient equipment, un-
derlining the potential for energy efficiency
Energy efficiency and renewable energy gains. Measures to realize gains may focus on
solutions in the public sector building envelopes (windows and insulation),
Energy costs often constitute a significant por- electrical appliances (lighting, pumping, and
tion of the operating budget of city govern- heating and cooling) and office equipment
ments. In the State of California, for instance, (computers, copiers, and printers). Though
energy is the second largest expenditure item in measures are beneficial, public facilities are of-
city government operations, after employee ten subject to rigid procurement practices that
salaries and benefits (Lantsberg 2005). The focus heavily on costs and lack discretionary
share of public sector consumption is particu- budgets with which to make meaningful im-
larly high in electricity and heating. The public provements. In addition, principal-agent rela-
sector accounts for 9 percent of Brazil’s elec- tionships or split incentives complicate invest-
tricity use. Public agencies account for 20 per- ments. For example, a parent budget agency
cent of Eastern Europe’s electricity and heating may determine a subsidiary’s capital budget
loads, and about 10 percent of the European and even specify equipment, despite the subor-
Union’s electricity and heating demand arises dinate agency’s responsibility for paying month-
from the public sector.9 As a first step, city gov- ly energy bills.
ernments should consider initiating sustainable Energy efficiency programs often initially
energy solutions within city boundaries because support relatively low-cost modulated mea-
this may produce rapid benefits and may be sures, such as lighting retrofits, or the replace-
implemented more easily. Common targets for ment of old equipment, such as heating, ventila-
improvements include government-owned tion, and air-conditioning systems. In public
buildings and facilities; water supply and waste- building complexes, such as city halls, schools,
water treatment; public lighting and traffic and hospitals, a whole-building approach may
lights; and municipal services such as solid be needed to achieve cost-effective control of
Improving Energy Efficiency, Reducing Energy Costs, and Releasing Municipal Budgets
With partial support from a World Bank loan in 1991–99, the cities of of households. Households subsequently began to use heat more
Gdansk, Gdynia, Krakow, and Warsaw, Poland, undertook renovations efficiently. Households or companies operating as the agents of
in heat supply systems distributed heating meters for buildings, and households invested in thermostatic radiator valves, heat allocation
reformed heat pricing from a tariff based on square meters of ser- meters, better windows, and insulation. A key result was that the
viced area to a two-part tariff calculated per building. costs of heating a given apartment area fell by 55 percent because
The government of Poland implemented energy sector reforms of consumer-driven efficiency improvements and technical, opera-
requiring that payment for heat gradually become the responsibility tional, and management improvements in the heat supply compa-
nies. This reduction helped to make the removal of subsidies less
Results in Four Cities burdensome to households.
INDICATOR 1991/92 1999 CHANGE, % Nationwide, household heating subsidies, provided by munici-
Household heat bill subsidy (%) 67 <5 (1994) n.a.a pal governments, were reduced from 78 percent in 1991 to zero by
Heat bill charged to households, 13.7 6.2 –55 the end of 1997. The installation of building heat meters has been
1999 (US$ per square meter) mandatory in all buildings since 1999. The use of heat allocation
Heated floor area, square meter 63.8 68.6 7 meters has become a popular method to allocate heat bills within
(millions) buildings; 5.5 million such meters had been installed as of 1997,
Heat energy sold (gram calories 0.27 0.22 –18 covering about 30 percent of dwellings nationwide. More than 10
per square meter) companies have been formed and compete in the market for bill-
Energy savings n.a. n.a. 22 ing services, including allocation meter installation, meter reading,
Note: n.a. = not applicable. billing, and maintenance. The energy savings reflected in customer
a. Nationwide, household heat subsidies, provided by municipal governments, fell heating bills stemming from the reform, including savings from pri-
from 78 percent in 1991 to zero by the end of 1997.
vate investments spurred by the reform, typically range from 20 to
Source: World Bank (2001). 40 percent.
ence the nature of the sustainable energy solu- oping countries. In 1995, the first mandatory
tions adopted in the urban built environment. energy efficiency standard was introduced for
This is especially important in rapidly growing new residential buildings in cold climates in
cities in developing countries, where inaction China. Among large northern Chinese cities,
leads only to future energy waste. Officials the compliance rate was a meager 6 percent in
should focus primarily on the features and func- 2002. Since then, the national government has
tions of new buildings that affect energy con- increased the assistance to local governments
sumption, especially heating and cooling systems. for enforcement and inspections. The rate of
Other factors include site plans, building lay- compliance rose to about 40 percent in 2005
outs, building envelopes, lighting fixtures, and and 70 percent in 2007. Compliant buildings, on
water heaters. Much relevant experience has average, lose 35 percent less heat than conven-
been accumulated in developed countries over tional buildings. The national government will
the past 30 years. Matured technologies and soon promulgate a revised energy efficiency
efficient materials may be applied to create standard for new residential buildings in cold
buildings with low or near zero energy use for climates that will cut heat losses by an additional
heating and cooling (Rosenthal 2008). Imple- 30 percent. This time, many cities are ahead of
menting energy efficiency standards requires the national government. For example, in 2005,
coordination among national, regional, and city Beijing and Tianjin adopted energy efficiency
efforts, but local enforcement is critical. China standards for buildings similar to the pending
provides a good example of the success of energy revised national standards. In 2007, the provinces
efficiency programs in rapidly urbanizing devel- of Hebei and Liaoning did the same.
and equipment, improving city planning and 5. Electric lighting is a good example. By the time the
electricity has reached a light bulb, an average of
design processes, strengthening land use about 70 percent of the energy content of coal has
schemes, and so forth. already been lost through conversion, transmission,
and distribution. A compact fluorescent lamp
• Seek options to bundle city programs. For ex- delivers the same amount of lighting service (that is,
ample, combine the procurement of equip- brightness per square meter) using about 20 percent
ment to negotiate better prices, combine of the electricity of an incandescent lamp.
6. Passive houses using ultralow energy for space
similar services across cities, and boost the
cooling and heating have been successfully
city’s influence at the national level. demonstrated in Europe and the United States
(Rosenthal 2008).
• Seek ways to incentivize public agencies and
7. Distributed energy resources also exist in urban
staff on sustainable energy options. Offer en- areas. These are based on parallel, stand-alone
vironmentally sustainable awards, publish electricity generation units within electricity
agency energy and environmental perfor- distribution systems. The units are located at or
near end users. Examples include gas microturbine
mance records, provide incentive grants, and systems, wind turbine systems, fuel cells, and
so on. rooftop photovoltaic systems. Distributed
generation may be beneficial for electricity
• Create mechanisms for sharing cities’ experi- consumers and, if properly integrated, the
ences across the country. This could be done electricity utility.
through associations, case studies, newslet- 8. Market barriers to investment in energy efficiency
ters, and so forth. refer to factors, usually social and institutional,
that prevent the realization of the full economic
potential of energy efficiency opportunities. The
barriers help explain the difference between
Notes observed energy efficiency choices and decisions
and the corresponding choices and decisions
predicted by economic theory. Some common
1. This sector note reflects the International Energy
market barriers include misplaced incentives, lack
Agency’s definition of cities as a general and
of access to financing, high transaction costs,
interchangeable reference for urban areas, which
regulatory price distortions, lack of information,
may be large metropolitan city-regions, such as
and misinformation.
New York City, or small urban settlements that
have only a few thousand people (see IEA 2008). 9. For additional information on those and other
The exact definition of urban areas varies by country. cases, see European Commission (2003) and
Taylor and others (2008).
10. District heating systems are the only modern
urban energy infrastructure that is entirely bound
Desired outputs
Dependent inputs Water sector interventions: (objectives to be maximized):
(controlled to some degree): A. Planning • Accessibility
1. Policy, legislation, and regulations B. Resource protection • Quality
2. Institutions and enhancement • Efficiency
3. Physical systems, technology, C. Infrastructure • Reliability
and spatial planning D. Services • Supply security and
4. Stakeholders E. Management sustainability
5. Economic and financial aspects • Environment
• Affordability
potential impacts include, but are not limited to Water Sector Policy, Legislation,
implementation time and life-cycle costs, water and Regulations
pollution, depletion of water resources, envi-
ronmental damage, health hazards, and local The policy, legislative, and regulatory frame-
and cross-boundary disputes. work defines the rules for managing the water
This sector note sheds lights on strategies for sector at the national and local levels. The
water sector management. It is designed to as- framework may expand beyond national bound-
sist urban decision makers in putting together aries and address cross-country issues if water
an optimal and well-coordinated set of pro- resources are shared or water management and
grams. A key challenge is the high degree of protection require international cooperation.
nonlinear interconnections among urban sec- The framework strives to satisfy myriad aims,
tors, including water, energy, solid waste, tele- including ensuring the adequate protection of
communications, and transportation, which water resources, developing and promoting
share many economic, environmental, and po- sustainable water services, ensuring equitable
litical constraints. Nonetheless, optimization of distribution and access, improving health and
the net benefits amid these sectors and links is environmental conditions, enabling economic
the defined objective. growth, and promoting efficiency and optimi-
zation in the use of water resources to enhance
the viability of the sector.
1. In scenario 2, the pump has been replaced by a smaller one, and the power demand has dropped to 71.5 kilo-
watts from 95.3 kilowatts (a 25 percent drop).
2. The annual energy savings is 209 megawatt hours, which may be equivalent to a savings of US$20,000 per year.
3. The capital investment to complete the loop and construct link 5–1 is less than US$100,000 and may be paid
back in about five years using the gain from energy savings.
4. Additional improvement may be achieved if a full optimization analysis is conducted to target the sizes of the
pipes (diameters), while maintaining other hydraulic parameters such as flow velocities and node pressures
within the recommended hydraulic design parameters.
Note: The hydraulic analysis has been conducted using EP-Net (enhanced prioritized Petri net) modeling software.
Figure 3.43 Area at Risk If There Were a 0.5-Meter Figure 3.44 Changes in the Annual Mean Daily
Rise in Sea Level in Asia Precipitation Expected by 2100
Source: World Bank (2007). Source: World Bank (2007).
Note: The values are expressed in millimeters.
Cooking &
Cleaning, Toilet, 5.9%
12.9%
Toilet, 20.6%
Showerhead,
Clothes 17.0%
washer,
13.2%
Reduction,
Dishwasher, Faucets,
52.0%
2.6% 10.6%
Dishwasher,
Faucets, 0.6%
14.7% Clothes
Showerhead, washer,
37.7% Cooking & 2.8%
Cleaning,
23.0%
These values are based on a family of four people, as shown in the table:
WATER CONSUMPTION
FIXTURE FAMILY USE CONVENTIONAL FIXTURE LOW-FLOW FIXTURE
Showerhead 8 minutes/person/day 15 liters/minute 7 liters/minute
Toilets 5 flushes/person/day 13 liters per flush 6 liters to flush solids
3 liters to flush liquids
Faucets 5 minutes/person/day 10 liters/minute 7 liters/minute
Kitchen (cooking and cleaning) 15 minutes/day 10 liters/minute 7 liters/minute
Conventional dishwasher 1 use/day 33 liters per use 8 liters per use
Clothes washer (top loader) 7 uses/week 170 liters per use 36 liters per use
The toilet is the most important source of water consumption in the home. Over 70 percent of water use occurs in the bathroom. Toilets
and showerheads thus represent the best opportunities for water reduction in the home.
Low-flow fixtures include dual-flush toilets. These toilets have two flush buttons: one provides a 3-liter flush for urine; the other pro-
vides a 6-liter flush for solids. Showerheads and faucets may be designed to reduce flows without a noticeable reduction in performance.
New appliances such as dishwashers and front-loading clothes washers have significantly lower water needs. Low-flow fixtures may reduce
water consumption in the home by over 50 percent, from approximately 1,200 liters per day (interior use) to 600 liters per day. This does
not include outdoor use for landscaping.
cultural activities are still common in parks, systems, such as drip irrigation, subsurface irri-
along streets, and in public and residential gar- gation, and sprinkler irrigation should be used.
dens. Efficient irrigation in these areas helps im-
prove water use and sector sustainability. Irriga- Wastewater treatment and sludge disposal
tion should be properly timed to avoid peak Location of the wastewater treatment plant:
daily temperatures and reduce evaporation and Wastewater treatment plants are not popular
evapotranspiration losses. Efficient irrigation facilities. While wastewater is generated within
Watergy efficiency Water supply systems Reducing demand by helping Looking at a water system
is cost-effective offer multiple oppor- the consumer use water more comprehensively and
delivery of water services, tunities to reduce water efficiently decreases the ensuring thay efficiency
while minimizing water and energy waste directly, required water supply, saving projects are designed in
and energy use. while serving customer both energy and water. tandem create greater
needs more effectively. efficiency opportunities.
= + + +
• Leak and loss reduction • Water-efficient household • Right-sizing pump
• Operations and appliances systems after reducing
maintenance • Low-flow toilets consumer demand
• Pumping systems • Low-flow showerheads • Avoiding wastewater
• Primary and secondary • Industrial water reuse treatment by promoting
wastewater treatment • Leak and water waste reduction and reducing demand
Source: Alliance to Save Energy (2002).
Box 3.12 illustrates a case study in Brazil. es. For instance, tariffs ensure sector sustain-
The study reveals that automating the water ability by furnishing revenues to finance sector
supply system and providing online control management expenses. Tariffs are usually set
saved 22 gigawatt hours per year, equivalent to at the municipality level, which represents the
US$2.5 million. The control system cost only local government, though, in some models,
US$1.1 million. tariffs are set by the central government. Tariffs
are eventually endorsed by policy makers at
the central level. Reviews of prices are carried
Stakeholders out when tariffs expire. Thus, there is a con-
stant need to analyze the real costs of service
The stakeholder dynamic illustrated in figure delivery thoroughly, including the rent value
3.45 is important to the water sector. This of any scarcity in water resources. The regulator
dynamic includes interfaces between customers, is responsible for conducting price reviews.
service providers, municipalities, regulators, and Calculations of the real costs are expected to
policy makers. Transparency, accountability, cover the shadow price of water, the cost of
and public participation are needed because carrying out treatment according to specified
the water industry is often highly monopolistic. standards, and the cost of distribution and deliv-
These factors allow strategic decisions to be ery. The shadow price of water is governed by
made using top-down and bottom-up approach- the demand of all users, and the policy affect-
ing resource allocations thus also affects my can afford to maintain the quality standards
various end users. The cost of treatment is and that service providers can achieve the stan-
influenced by the quality of the raw water and dards. Often, costly capital investment programs
relevant national standards. are needed, and private sector participation may
Customers should participate in setting be required. All costs should be checked against
standards. This requires a process of consulta- international good practice. The economic
tion and participation to ensure that the econo- regulator needs to set thresholds for operational
The desired outputs noted in table 3.17 may Sustainable transport interventions should be
be used to define project development objec- linked to a continuous and comprehensive plan-
tives and program indicators for monitoring ning process that involves incremental implemen-
and evaluation.1 Reducing undesired outputs or tation or a building block approach. The selection
outcomes is important in the effort to ensure and sequencing of interventions should depend
sustainable transportation interventions. For on enabling conditions and the implementation
example, international experience suggests that of complementary measures. In other words,
significant shares of private vehicles and low maximizing mobility and accessibility may be
urban densities boost fuel consumption (that is, achieved only if reasonable levels of safety, eco-
energy per capita), which increases travel ex- nomic viability, and financial sustainability have
penditures, infrastructure investment, and the been ensured. The World Bank Transport Strat-
emissions of local pollutants (mono-nitrogen egy emphasizes that clean, safe, and affordable
oxides, sulfur oxides, carbon monoxide, and infrastructure and services represent the main
particulate matter) and global pollutants (car- aims of urban transportation users. This chapter
bon dioxide [CO2] and other greenhouse gases). describes sustainable transport interventions
Table 3.18 provides sample transportation sec- under each of the five controllable inputs listed
tor outcomes in several cities around the world. (see figure 3.47), distinguishing between enabling
The spatial, physical, and technological factors conditions (stage I) and additional measures
contributing to these outcomes are described in (stage II) that are substitutes or complementary
subsequent sections. actions.
Funding for investments in transportation and, Many countries mandate road, vehicle, and
occasionally, operation and maintenance may be fuel standards to promote safety, efficiency, and
financed by vehicle and fuel taxes, bonds, and quality. The United States, for example, requires
government-backed loans. The funding of trans- automobile manufacturers to meet fuel efficien-
portation infrastructure typically requires par- cy targets under the law on corporate average
ticipation by national or subnational govern- fuel efficiency passed in 1975, but standards in
ments, while local governments typically provide many Asian and European countries are strict-
operations and maintenance with or without er, as illustrated in figure 3.48. Several countries
private sector participation. also require that domestically sourced ethanol
A fuel tax is arguably one of the most important be blended into fuels, but the efficiency of the
and effective fiscal measures because it directly lev- ethanol production process greatly depends on
ies users for consumption, but it is often politically the source of the fuel. Corn is the main fuel
difficult to pass or sustain. Fuel tax revenue is usu- source in the United States. However, corn is
ally collected by national governments and then inferior to sugar cane—a crop used in a success-
redistributed to fund roadway and transport in- ful ethanol program in Brazil—because corn is a
vestments. Most oil-importing countries impose major food crop that requires more resources to
a tax on transport fuels, but policies vary widely. produce.
In the United States, gasoline is taxed roughly Other considerations at the national level
US$0.12 per liter, but it is taxed several times include environmental protection laws, energy
more in European countries. The additional rev- policies, and participatory regulations. Environ-
enue collected in Europe has funded an arguably mental laws often require a detailed review
more sustainable mix of high-quality transport process to identify and mitigate project impacts
infrastructure and services, while encouraging on air, soil, water, and the environment (that is,
less dependence on automobiles. Opponents ar- impacts such as noise or visual intrusion). These
gue that a fuel tax is socially and economically rules influence transport policies or projects at
regressive because middle- and lower-income the subnational level. For example, air quality
groups spend a greater share of their total in- regulations linked to federal transport funding
comes on fuel. For these and other reasons, na- in the United States have driven cities and states
tional governments commonly adopt other taxes to implement vehicle inspection and mainte-
to raise revenue, including vehicle, registration, nance programs that mandate emissions and
and licensing fees. A carbon tax is analogous to a safety standards for motor vehicles. National
fuel tax because greenhouse gas emissions are di- policies also include targets for energy efficiency
rectly related to fuel consumption. or independence. China, for example, has tar-
BOX 3.16
Beijing: Travel Demand Management and the Legacy of the Olympic Games
Transportation operations during Beijing’s 2008 Olympics required will quickly overwhelm Beijing’s new infrastructure. Beijing’s popula-
not only massive infrastructure investments, but also a new paradigm tion of 18 million is growing by roughly a half million a year. Car own-
for travel demand management and unprecedented interagency ership is not merely a symbol of status, but increasingly a necessity.
coordination and public cooperation. According to transportation The number of motor vehicles is growing by over 10 percent per
officials, Beijing has spent over Y 100 billion (approximately US$14 year; the corresponding rate is over 20 percent for private cars. In-
billion) in the past five years on transportation infrastructure and ternational comparisons are few, but instructive. London, New York,
services. Temporary travel demand management measures have in- Paris, and Tokyo experienced rapid growth in car use and ownership
cluded prohibiting half of Beijing’s private vehicles from driving on in the 20th century, but motorization in Beijing appears to be pro-
city roads on alternating days based on the last digit of license plates gressing more rapidly than in any time in history. In Tokyo, 20 years
(the 50 percent restriction). One-third of the capital’s more than (1962 to 1982) elapsed before the number of motor vehicles in-
3 million vehicles were removed from roads, though the city ex- creased from 1 million to 3 million, but in Beijing, the same increase
empted government, emergency, public transportation, taxi, and took place in only 10 years (1997 to 2007). New cars in Beijing have
Olympics-related vehicles from the restriction. The movement of never been more efficient, but travel demand will overwhelm road
freight vehicles was also restricted, and centers for the distribution capacity despite the rapid and ongoing expansion of the network.
of goods and tolls on inbound routes were implemented to reduce Public opinion surveys undertaken since the Olympics have
traffic in the city center. The government also suspended activities shown that Beijing residents are now more aware of sustainable
at hundreds of factories and construction sites in and around Beijing. transportation and air quality issues. While about 70 percent of
As a result, the city’s notoriously poor air quality in August and Sep- residents are willing to live with certain car restrictions to sustain
tember 2008 was the best it had been in over 10 years. reductions in poor air quality and congestion, most car owners op-
Congestion, notoriously severe in Beijing, was significantly reduced pose the scope of the restrictions on vehicle use. Car owners remain
despite the Olympics-related traffic and the more than 260 kilometers a minority, but this may change because more than 1,000 vehicles
of lanes on arterials and ring roads reserved for Olympics, press, and are being added to Beijing’s roads every day. Moreover, officials have
government vehicles. According to transportation officials, the share grappled with questions about which measures should be kept and
of commuters riding public transportation rose by 35 to 45 percent to what degree. The Olympics experiment has represented a unique
largely because of restrictions on car use, the expansion of the pub- opportunity to implement change, but it has also heightened public
lic transportation network, and a recent reduction in bus and sub- expectations.
way fares. In the previous year, the city had opened three subway After the Olympics, the government announced that private
lines, a light rail line from downtown to the airport, new bus lines, cars would be allowed in the city, which includes the area within
and a new Beijing-Tianjin intercity express railway. Beijing’s transit Beijing’s Fifth Ring Road, on four out of five weekdays (a 20 percent
network now includes more than 200 kilometers of rail and 45 kilo- restriction). As before, the last digit of license plates determines the
meters of rapid bus lines. The improvements have diversified the restricted day. This policy was initiated in October 2008 for a six-
commuting options for millions of residents. month trial period. Similar one-day restrictions have been in place
However, more investment is needed. Returning to a pre- for many years in megacities such as São Paulo, Brazil, and Mexico
Olympics transportation paradigm and ignoring long-term demand City. Evidence suggests that these restrictions become less effective
• Efficiently allocating resources among modes and along integrated • Adopting the latest, proven technologies for vehicles and fuels
corridors—in Beijing, as in many of the largest cities, buses will • Improving the institutional system and planning processes
Figure 3.53 The Benefits under Speed Conditions of Select Highway Applications of
Intelligent Transportation Systems
Source: Matthew Barth, Center for Environmental Research and Technology, University of California–Riverside, Riverside, CA,
http://www.cert.ucr.edu/research/tsr/.
Table 3.28 Basic and Advanced Stakeholder Interests mizing personal expenses. These interests
STAGE I: ENABLING may be measured through user surveys. In-
CONDITIONS OR STAGE II: ADDITIONAL ternational experience shows that users
STAKEHOLDER MEASURES MEASURES
value participatory processes and the prin-
Decision makers • Windows of • Special events and larger ciples of universal accessibility.
(political) vision
opportunity • Quality of life issues • The public: The public, including nonusers,
• Economic feasibility
is generally interested in the performance
Users • User surveys • Participatory process
and cost-effectiveness of investments. Pub-
(on-board, intercept) • Universal accessibility
lic opinion surveys, including household
Public • Public opinion surveys • Transparent process
surveys, may form part of a transparent vet-
Operators • Financial sustainability • Social sustainability
ting process that also publishes public in-
Source: Author compilation (Georges Darido).
formation on Web sites and through other
media and channels of communication.
jing; see box 3.16). Key relevant issues for de-
cision makers: What will be the impacts of • Transport planners and operators: Trans-
the projects on key interests? Are the impacts portation officials usually strive to ensure
reversible if something goes wrong? May the financial and social sustainability of in-
projects be implemented if there is a window frastructure and services. Subsidies may be
of opportunity? Are they sustainable beyond required for some services or in areas in
the current term? which affordability is a main concern.
• Users or the riding public: The interests of • The business community: Transportation
this group include maximizing personal infrastructure lubricates a city’s economic
mobility and the accessibility, quality, safe- engine, and business leaders are often
ty, and affordability of services and mini- keenly interested in the development of
key projects.
– Start state (that is, to account for the cost or service that maximizes utility or minimizes
of delays) total cost. Utility comprises several variables,
– Revenue or demand variation (that is, including total travel time and total travel cost
less than expected traffic volumes or rid- (figure 3.55). Travel time may be monetized into
ership) a value of time among different users, and travel
purposes may be measured through surveys.
Forecasts of demand and mode choice are crit- Monetary estimates of time are valid only to the
ical elements of an economic analysis. Theoreti- extent that there is a real trade-off between
cally, an individual chooses an available mode time and money. Another limitation of mode
choice models is the valuation of other qualita- partners in return for the construction of
tive aspects of travel, such as comfort, safety, public transportation facilities and stations.
and convenience. Some of these factors may be The partnerships are not always the low-
monetized using surveying techniques to esti- est cost option; therefore, an appropriate
mate willingness to pay. allocation of risks (for example, construc-
Any large sustainable transportation invest- tion, economic, and traffic risks) and accurate
ment is a long-term financial commitment, and estimations of value are important. Good
its management requires long-term fiscal disci- examples include public transportation ter-
pline and institutional capacity. Examples in- minals financed by the private sector, such as
clude urban rail or metro investments that may cases in Brazil and Japan. Terminals also
cost hundreds of millions of dollars to construct represent good locations for leased retail
and millions per year to operate. The govern- space and other public services (figure 3.56).
ment finances public transportation infrastruc-
• Land development and value capture cover
ture in many cities, and services are often subsi-
techniques whereby the public entity sells
dized even if they are operated by the private
surplus land to developers ( joint developers)
sector. This is because local conditions often do
or develops land around transportation
not allow profitable operations, while fulfilling
investments. A good example is the public
social objectives. The financial indicators for
transportation system in Hong Kong, China.
transportation projects depend on the type of
project (that is, investment, reform, or public-
private partnership) and should measure liquid-
ity (working capital ratio), performance (oper-
ating ratio for public transportation companies),
and financial sustainability (debt service cover-
age ratio).
There are many innovative financing options
that may be considered:
• Transportation model. The data on origins • Road space allocation. Traffic engineers tend
and destinations may be applied to develop to focus on vehicle volumes on roadway seg-
and calibrate a four-step metropolitan trans- ments and intersections. Investments often
portation model, which encompasses trip thus optimize networks for moving vehicles
generation, trip distribution, mode choice, rather than people or goods. By considering
and network assignment. Officials may use vehicle occupancy and appropriately valuing
this model to support decisions on major passengers in high-capacity vehicles such as
transportation policies or investments in a buses, one may easily argue for an increased
metropolitan transportation plan. Carbon priority for the use of high-occupancy vehi-
footprint and greenhouse gas analyses also cles on streets and intersections. These con-
require recent survey data on origins and cepts are illustrated in figure 3.57.
destinations (preferably less than 7 years
• Energy consumption may be incorporated in
old) and a calibrated transportation model.
a city’s master planning process if modal
origins and destinations data and fuel con- ban utilities and national enterprises.
sumption data are systematically captured.
In sum, there are numerous approaches that
These data may be harnessed to develop
integrate transportation and other sectors and
multisector spatial plans and policies for
may improve the urban ecological and econom-
energy use and climate change mitigation
ic environment. Table 3.30 summarizes cross-
and adaptation (that is, infrastructure stan-
sector integration opportunities.
dards and codes and emergency proce-
dures).
Bank’s guidance available through “TRN-5 to Comune di Milano. 2009. “EcoPass: Meno traffico, più
TRN-26: Economic Evaluation Notes,” at http:// aria pulita.” Comune di Milano, Milan. http://www.
go.worldbank.org/ME49C4XOH0. TRN-5 comune.milano.it/dseserver/ecopass/index.html.
provides the context within which we use Dalkmann, Holger, and Charlotte Brannigan. 2007.
economic evaluation in the transport sector; “Transport and Climate Change.” Module 5e of
TRN-6 to TRN-10 provide criteria for the selection Sustainable Transport: A Sourcebook for Policy-
of a particular evaluation technique or approach; Makers in Developing Cities, rev. ed. Sustainable
TRN-11 to TRN-17 address the selection of the Urban Transport Project. Eschborn, Germany:
values of various inputs to the evaluation; and Transport Policy Advisory Service, Division 44,
TRN-18 to TRN-26 deal with specific problematic Environment and Infrastructure, German Agency
issues in economic evaluation. for Technical Cooperation.
Fraker, Harrison S., Jr., and William Wurster. 2009.
“Sustainable Neighborhood ‘Eco-blocks’ in China:
Qingdao Sustainable Neighborhood Demonstra-
References tion Project.” Urban Sustainability Initiative,
Berkeley Institute of the Environment, University
Cervero, Robert, and Jennifer Day. 2008a. “Residential of California–Berkeley, Berkeley, CA. http://bie.
Relocation and Commuting Behavior in Shanghai, berkeley.edu/ecoblocks.
China: The Case for Transit-Oriented Develop- Hidalgo, Dario, Paulo Custodio, and Pierre Graftieaux.
ment.” Working Paper UCB-ITS-VWP-2008–4, UC 2007. “A Critical Look at Major Bus Improvements
Berkeley Center for Future Urban Transport, in Latin America and Asia: Case Studies of Hitches,
University of California–Berkeley, Berkeley, CA. Hic-Ups and Areas for Improvement; Synthesis of
http://escholarship.org/uc/item/0dk1s0q5. Lessons Learned.” Presentation, World Bank,
————. 2008b. “Suburbanization and Transit-Oriented Washington, DC. http://go.worldbank.org/
Development in China.” Transport Policy 15 (5): W8FO3NQ680.
315–23. IEA (International Energy Agency). 2007. World Energy
Colin Buchanan and Partners. 2001. Key Sites Appraisal Outlook 2007: China and India Insights. Paris: IEA.
Methodology for Development Planning: Final Levinson, Herbert S., Samuel Zimmerman, Jennifer
Report. Edinburgh: Scottish Executive. Clinger, James Gast, Scott Rutherford, and Eric
• Aesthetics: Effective systems protect the vi- although infectious waste that has been
sual and sensory appeal of cities by ensur- rendered noninfectious through incinera-
ing that waste is effectively managed and tion and autoclave or microwave treatment
that practices do not unduly affect residents may be discarded in municipal landfills.
and visitors.
• Industry: Municipal landfills may receive
industrial waste, but hazardous waste must
What does solid waste comprise?
be managed separately.
Most people rightly attribute significant por-
• Construction and demolition debris: This
tions of municipal solid waste to residents and
waste comprises discards from new build-
commercial operations. However, municipal
ing construction and the renovation of older
solid waste includes other sources, some of
facilities and residue from structures that
which require special waste management ap-
have been torn down. Much of this debris
proaches:
may be recovered for recycling, which could
• Medical facilities: Hospitals and clinics gen- minimally include clean fill if problem ma-
erate solid waste. Medical facilities also terials such as wood mixed with lead paint
generate infectious waste and, occasionally, or asbestos are extracted.
radioactive waste. In general, infectious and
• Slaughterhouses: These facilities produce
radioactive waste material must be man-
animal waste and various excreta that must
aged separately from other medical waste,
be properly managed.
ditioner. Dried sludge, which is more suit- population of one million residents, a low-
able for storage and longer-distance trans- income city would generate 500 tons of waste
port to agricultural areas, may also be per day, but this would more than triple, to 1,600
applied to land. In addition, sludge may be tons per day, in a high-income city.
used as compost. Such uses require that Composition: The composition of waste also
sludge meet regulatory standards on pollut- varies according to the income level of the peo-
ants such as metals. The biological diges- ple producing the waste (table 3.32). The
tion of sludge at treatment plants may re- amount of food waste tends to be greatest
duce volatile organics by more than 50 among lower-income earners. As income in-
percent. Such digestion reduces the amount creases, food waste generally falls because con-
of sludge that must be treated or discarded. sumers purchase greater amounts of prepared
The digestion process, which is anaerobic, food relative to fresh food. Fresh food results in
also produces gas that may be up to 60 per- more waste from peels, pits, and other residue.
cent methane in composition. The gas may Waste composition helps determine the ap-
be used as an energy source. propriate approaches to waste management. A
city with a high level of food waste, for example,
• Combustion residue: This comprises ash
should provide more frequent collection to
from waste incineration or the combustion
minimize the potential to attract vermin, which
of solid fuels in central facilities or in house-
may transmit diseases to residents. Aerobic
holds (that is, ash generated from cooking
composting is also suggested for areas with sig-
and heating).
nificant food waste, which decays rapidly in
compost operations given its high moisture
What are the characteristics of waste?
content. Conversely, areas with significant food
The options for urban solid waste management waste are not good candidates for incineration
depend in part on the quantity and composition systems. Waste only autocombusts if the mois-
of the discarded waste.
Generation: The total quantity of discarded Table 3.32 The Composition of Waste by the Waste Producers’ Income
waste depends on the per capita generation percent
but with lower incomes. People with higher Paper 1– 10 15–40 1 5–40
incomes purchase more goods and services, Recyclables 4–25 5–26 1 1 –43
which results in more waste. Table 3.31 illus- Miscellaneous 15–50 15–50 5–20
trates the relationships between income level, Moisture 40–80 40–60 20–30
per capita waste generation, and total urban- Source: Author compilation (Charles Peterson).
generated waste. If one assumes a consistent
• Systematic programs to monitor and measure An effective policy, legislative, and regulatory
solid waste services: Such programs may be framework should be combined with institu-
valuable tools in evaluations of the perfor- tional measures to eliminate gaps and overlaps
mance of public or private waste manage- in the operational structure of the waste man-
ment systems. Such programs should be agement sector.
developed on the basis of appropriate metrics Government: An effective program should
and benchmarks that provide a basis for involve ongoing senior-level coordination
analyzing performance trends. A perfor- among municipal and national government of-
mance database might be considered that ficials and agencies. Local government pro-
would include historic data. Benchmark grams should involve more than merely those
information on other cities in the metropoli- people and agencies directly active in the city,
tan area, region, and country might be but, to encourage regional cooperation, also
collected for such a database. Evaluations of people and agencies in the wider metropolitan
trends might reveal positive or negative area. In the waste management sector, regional
performance or progress that is slower than cooperation could achieve efficiencies and
anticipated by local municipal officials. By economies of scale in treatment and disposal
evaluating trends, the programs would be programs. Efforts should also be undertaken to
able to respond effectively to shortfalls or strengthen regional coordination in strategic
poor performance. planning.
Operational structure: In many cities, a pub-
• Local and regional planning tools for waste
lic agency provides solid waste services, which
management: Regional collaboration should
may be an efficient means of achieving commu-
be actively pursued to promote the most
nity public health and environmental goals.
comprehensive solutions to waste manage-
However, promoting competition in delivering
ment and to achieve economies of scale.
waste management services may improve effi-
Though a city might be capable of reaching
ciency and services. Promoting private sector
suitable economies of scale without seeking
participation is an option for encouraging com-
BOX 3.18
Performance Metrics
Specific waste management metrics in cities vary depending on the • Average tons collected per stop
services provided. A waste collection operation might include the • Cost per stop
factors noted below. Waste collection is a good sample subsector • Population served per stop
because it is an integral part of a waste management system. • Cost per resident
• Population served Common indicators for GHG projects might include the following:
• Annual quantity of waste collected
• Average system GHG emissions per ton of collected waste trans-
• Annual quantity of recyclables collected
ported to a transfer station, treatment facility, or disposal site
• Annual total waste and recyclables collected
• Annual collection cost • Average system GHG emissions per ton of collected waste recy-
• Collection cost per ton cled, incinerated, or landfilled with or without gas recovery
• Collection routes per week These indicators may be used to calculate a collection cost bench-
• Total stops serviced per week (the number of times a truck stops mark that might then be used to track performance or assess eco-
to collect waste) nomic efficiency relative to other programs.
• Average stops per route
BOX 3.20
and Sweden and in large complexes such as • Formal and informal (that is, waste picking)
airports, shopping centers, and hospitals. In recycling: Recycling may take place at col-
many developing countries, particularly in lection points, treatment facilities, or dis-
slums, waste collection in urban areas with posal sites. In Curitiba, the city generated
narrow streets may be accomplished through employment and formalized informal ac-
innovative solutions. For instance, local resi- tivities through an innovative recycling
dents and the poor may become directly in- program (box 3.20).
volved in waste collection (box 3.19).
Figure 3.60 Waste Sorting Plant and Windrow Composting Operation, Cairo
Source: Photos by Charles Peterson.
BOX 3.21
BENEFIT AMOUNT
Total waste reduction, fiscal years 2001 to 2007 623,000 tons (−38.7 percent)
Economic benefit US$1.1 billion capital costs saved because of incinerator closure
US$6 million operating costs saved because of incinerator closure
Life of landfill sites extended
CO2 reduction, fiscal years 2001 to 2007 840,000 tons
Note: The calculations are based on an exchange rate of ¥100 = US$1.
The Clean Development Mechanism (http://cdm.unfccc.int/index. Waste management methodologies. Because landfill disposal is the
html), a provision of the Kyoto Protocol, allows industrialized coun- baseline for assessing emission reductions, potential emission re-
tries listed in annex 1 of the protocol to purchase emission reduction ductions may be estimated using a first order decay model that re-
credits from developing countries to meet their established emis- lies on multiple variables and default values. Critical variables include
sion reduction targets. More specifically, annex 1 countries generate the composition rates of organics in a waste stream (food, other
credits by supporting projects that reduce emissions in developing putrescibles, paper and textiles, and wood) and average annual pre-
countries, sometimes through new technologies in waste manage- cipitation and temperature. Areas with higher precipitation and
ment. Emission reductions under CDM programs may be traded temperature normally show higher decomposition rates based on
among buyers in annex 1 countries. Because emission reductions are data in the recent Intergovernmental Panel on Climate Change
tied to performance, carbon finance programs are a source of oper- guidelines (see http://www.ipcc-nggip.iges.or.jp/public/2006gl/vol5.
ating revenue rather than capital investment. html).
A range of methodologies has been approved by the CDM Ex- For liquefied petroleum gas projects, estimates may provide rea-
ecutive Board to help determine eligible projects, including those in sonable forecasts of emission reductions, but monitoring equip-
waste management. A common feature of all methodologies is the ment is needed to track actual gas flow and composition, which
requirement to establish the baseline emissions that would have oc- permits calculations of combustion efficiency and the methane
curred in the absence of a CDM project. In waste management, a captured and destroyed. The combustion of captured methane in a
common baseline assumes waste disposal exclusively in landfills flare or in the production of energy (commonly, electricity) releases
and in calculations of the associated GHG emissions based on this carbon dioxide. However, because the carbon dioxide is associated
assumption. with biomass, it is considered carbon neutral. Methane avoidance
A CDM intervention must also be additional (that is, it must projects such as aerobic composting depend entirely on calculated
create additional emission reductions that would not have been emission reductions because there is no way to measure methane
achieved without the intervention). The assessment of project ad- that is not produced.
ditionality is based on any of the following conditions: Investment There are two common types of methodologies in waste man-
analysis may demonstrate that the internal rate of return to a proj- agement projects (liquefied petroleum gas and methane avoidance).
ect without carbon finance revenue would be insufficient to jus- The specific methodologies for both large- and small-scale projects
tify the implementation and maintenance of the project. Addi- (less than 60,000 tons of equivalent carbon dioxide per year) are
tionality may also be demonstrated by showing that the applied described in box 3.23.
technology is not used in the country where the project is located Emission reductions may be gained by displacing conventional
or that the proposed CDM project is not a common practice in the (fossil fuel) power generation sources on the electricity grid. Meth-
host country. ane recovered from gas capture programs is used to generate elec-
tricity. The methodology described in box 3.23 has been applied in
the context of a small-scale power generation project (less than 15
megawatts).
BOX 3.23
muting trips. The challenge is to maintain a bal- market plays a fundamental role in determining
ance across modes to minimize the vulnerability urban form. Typically, a government’s sphere of
to a rise in energy prices and to reduce conges- action is limited to infrastructure, land use reg-
tion and pollution by harnessing the available ulations, and taxation. The sections below ad-
technology. dress how governments may use market forces
Cities have complex structures that constantly to influence the shapes of cities.
evolve. Technology also evolves, sometimes un- The interaction of market forces with govern-
predictably. Introduction of cars like the Tata ment taxation, transportation investments, and
Nano (a very small, two-cylinder car) and re- land and tenure regulations is complex. This in-
search in China to develop a low-cost electric car teraction affects spatial layouts. Table 3.33 sum-
may reverse some of these assumptions, but like- marizes the impacts of government measures on
ly not all of them. Moreover, individual cars, be- spatially linked market factors (that is, land sup-
cause of their space requirements, will always be ply and prices in city centers and suburbs) and
incompatible with high-density city centers, spatial development (that is, the dispersion and
such as those in Cairo, Mexico City, Mumbai, concentration of population and jobs).
New York, and Shanghai. It is neither good nor bad per se whether
government actions favor concentration or dis-
Spatial structures, regulations, and markets persion. Assessing value depends on a city’s
Urban spatial structures matter. However, gov- long-range policy and the starting point. Job
ernments are not the sole actors that influence dispersion would be negative in a city that has
spatial structures. For example, the real estate invested heavily in a radial transit system be-
cause many jobs would be out of reach of the in Bangalore, India, the local government has
transit system. However, dispersion might be a financed a bus rapid transit system that tends to
positive in a city that mostly relies on minibuses concentrate jobs in the city center. At the same
and cars because dispersion would likely relieve time, the government limits the floor area in the
congestion and provide cheaper land for hous- CBD to a ratio lower than in the suburbs, thus
ing and businesses. preventing the concentration of jobs that justi-
The government actions shown in table 3.33 fied the bus system.
are often implemented with insufficient con- This type of policy contradiction between
sideration of long-range objectives and im- two branches of local government—transport
pacts on land and overall urban form. For in- and land use planning—is typical. Transport
stance, the goal of building ring roads is engineers desire high job and population
usually to alleviate congestion by allowing densities along transit routes to ensure a
through traffic to bypass city centers. Howev- large number of transit passengers. Planners
er, little thought is typically given to the im- facing congestion in city centers find it easier
pacts on land supplies and on prices along ring to mandate decreased densities to alleviate
roads and in other affected areas. congestion.
Because local governments often support ur- Though regulations significantly affect city
ban regulations and investments focused on shape, market forces have the most influence on
short-term objectives, government actions and urban spatial structures in the long run. Market
goals may contradict each other. For instance, forces particularly affect the spatial distribution
rent controls to maximize the FAR, tend to pre- tions. Minibuses and collective taxis gradually
vent the recycling of land. become more efficient as ways to reach dispersed
Traditionally, CBDs become larger as cities locations.
develop. The inability of local governments to
manage the traffic in CBDs and to maintain Coordination between land use and
mobility often results in the deterioration of transit: The example of Singapore
the CBDs (Mexico City) or in the progressive Though most dense, monocentric cities have
abandonment of the CBDs (San Salvador, El Sal- become progressively less dense and polycen-
vador). As a result, jobs disperse into new loca- tric, a few cities have kept a large share of the
tions, and transit networks are unable to link jobs and amenities in CBDs despite population
residential areas adequately to these new loca- growth (for example, New York City, Shanghai,
©2010 Google™. Map data. 2010 Tele Atlas, GMS, AN, MapIT, Europa Technologies.
Map 3.9 Singapore Metro Network: Centered on Expansion in the Central Business District
Source: Author compilation (Alain Bertaud), Google Maps.
Figure 3.68 The Affordability of the Minimum Plot Size in Suburban Areas, Addis Ababa
Source: Author compilation (Alain Bertaud).
Note: m2 = square meter.
Figure 3.69 Sharing Larger Plots among Lower-Income Households, in Sebokeng, Gauteng, South Africa
Source: Author compilation (Alain Bertaud), Google Earth.
Note: ha = hectare; p/ha = persons per hectare.
FAR that may be calculated for an entire city. establish their objectives or the externalities
However, it is possible to calculate FARs for they are designed to correct. Though zoning
given prices of land and construction that pro- may be a useful tool, it must not obstruct the
duce the lowest cost of construction per square provision of affordable land and shelter in
meter. In many cities, such as Mumbai, FAR val- rapidly urbanizing cities.
ues are much too low, leading to urban decay in
the city center and favoring sprawl. Land subdivision regulations
Land subdivision regulations are mostly directed
Zoning plans at new greenfield developments. They establish
Zoning plans aim to separate incompatible land the standards for roads, block lengths, open
uses and prevent development in environmen- spaces, the areas to be reserved for community
tally sensitive areas. In addition, zoning plans facilities, and so on. The percentage of postde-
typically contain regulations for each zone that velopment salable land is arguably the most im-
limit the intensity of land use, including regula- portant parameter set by the regulations. Unfor-
tions on plot coverage, maximum heights, set- tunately, this parameter is seldom explicit and
backs, and FARs. must be derived from other regulatory parame-
Zoning is an important tool for preserving ters. In many countries, the share of such salable
sensitive areas. It may be used to mandate green land, including residential and commercial lots,
areas that absorb excess water and runoff. How- is below 50 percent. This figure should be higher,
ever, zoning plans often do not clearly which means new developments need to be land
The World Bank Group offers subnational governments various products and services through its
associated institutions: loans and concessional credits through the two arms of the World Bank,
the International Bank for Reconstruction and Development (IBRD), and the International De-
velopment Association (IDA); commercial financing through the joint International Finance
Corporation (IFC)–World Bank Subnational Finance Program; loan guarantees through the
Multilateral Investment Guarantee Agency (MIGA); loans through multidonor funds in which
the World Bank takes part (such as the Global Environment Facility); and “carbon finance” (such
as the purchase of greenhouse gas emission reductions) through market-based instruments. This
section discusses the major World Bank Group financial instruments relevant to financing Eco2
initiatives at the municipal level.
World Bank: IBRD Loans and policy and institutional reforms aimed at
IDA Credits achieving specific development results. Subna-
tional development policy lending (DPL) typi-
IBRD and IDA credits include specific invest- cally consists of series of two or three single-
ment loans and subnational development policy tranche loans—referred to as DPL 1, DPI 2,
lending. Specific investment loans are a major etc.—that may be released against the delivery
financial instrument of the IBRD and the IDA of policy and institutional reforms (table 3.35).
(table 3.34). They are disbursed to middle-in- The World Bank may provide this lending to a
come countries as loans in the case of the World national government or to subnational divi-
Bank and to the world’s 78 poorest countries on sions of a member country, which might in-
concessional terms in the case of IDA credits. clude state and provincial governments with
Development policy operations provide un- legislative and budget authority.
tied, direct budget support to governments for
Table 3.35 World Bank IBRD Loans/IDA Credits: Subnational Development Policy Lending (DPL)
ELIGIBILITY Eligible entities are jurisdictions with legislative autonomy and independent budgetary authority
immediately below the national government, including states, provinces, and other entities with similar
status (e.g., republics and regions of the Russian Federation and the federal districts [capital cities] of federal
countries in Latin America). Normally, municipalities and countries subject to state or provincial legislation
and oversight are not eligible. (Countries that have experience with Subnational DPL include Argentina,
Bolivia, Brazil, India, Mexico, Pakistan, Russia, and Ukraine.) Countries must be IBRD/IDA member countries.
FUNDING OBJECTIVE Support of sector reforms through
• development of specific policies and policy instruments;
• enforcement of policy implementation with legal instruments; and
• development of institutional capacities for effective implementation.
For a country’s own Eco2 program: Subnational DPLs could address major policy and institutional reforms
required for sustainable urban development, particularly in the areas of resource efficiency and energy saving.
INDICATIVE AMOUNT/TERMS IBRD Flexible Loan: same as table 3.34.
IDA Credit: same as table 3.34
Disbursement. Loans are provided directly to state or local government or agency, with a sovereign
guarantee, or to the country with proceeds onlent to the subnational unit. IDA credits are provided to
countries which lend on the proceeds.
Source: Author compilation.
Note: Information as of March 1, 2010. DPL = development policy lending. IBRD = International Bank for Reconstruction and Development. IDA = International Development
Association.
Other financing by World Bank Group institu- ing and services for investment in the private
tions includes joint subnational finance by the sector in developing countries (table 3.37).
World Bank and the IFC, the financing and ser- MIGA promotes developmentally beneficial
vices of the IFC, and guarantees by the MIGA. foreign direct investment in emerging econo-
Joint World Bank–IFC subnational finance mies by insuring investments against political
provides eligible states, provinces, municipali- risks, such as expropriation, breach of contract,
ties, and their enterprises with financing and war, and civil disturbance; by resolving invest-
access to capital markets, without sovereign ment disputes; and by helping developing coun-
guarantees, for investment in essential public tries attract private investment (table 3.38).
services (table 3.36). The IFC provides financ-
Table 3.36 World Bank Group Financing: Joint World Bank–IFC Subnational Finance
ELIGIBILITY Eligible applicants
• State, municipal, provincial, regional, or local governments and their enterprises (including water and
sanitation utilities)
• Financial intermediaries supporting local infrastructure
• Nationally owned enterprises operating in natural monopoly, infrastructure sectors (selectively)
• Public-private partnership entities (to cover commitments of the public partner)
Eligible projects must
• be located in a developing country that is a member of IFC;
• be in the public sector;
• be technically, environmentally, and socially sound; and
• benefit the local economy.
Eligible sectors are water, wastewater, solid waste, transportation, social infrastructure (e.g., health and
education), power, gas distribution, district heating, and other essential public services.
FUNDING OBJECTIVE Strengthening the borrowers’ ability to deliver key infrastructure services (such as water, wastewater
management, transportation, gas, and electricity) and improving their efficiency and accountability as
service providers.
Investment selection criteria include
• financial (predictability of cash flows to service debt without sovereign guarantee),
• socioeconomic (robust economic base),
• institutional (operational efficiency),
• regulatory (functional system), and
• development impact (essentiality of investment and strong economic benefits).
INDICATIVE AMOUNT/TERMS Products are commercially priced, tailored to client’s needs, and can be delivered in 3 to 6 months.
All products are provided without sovereign guarantee and may be available in local currency.
Products:
• Lending instruments (senior, subordinated, and convertible loans)
• Credit enhancement (partial credit guarantees, risk sharing facilities, and securitizations)
• Equity and quasi equity (other hybrid instruments)
Source: Author compilation.
Note: Information as of March 1, 2010. For details, see http://www.ifc.org/.
Multidonor Funds include climate investment Strategic Climate Fund (SCF)(table 3.40). In
funds and the Global Environment Facility. Cli- keeping with multilateral development bank
mate investment funds consist of the Clean practice, investment projects and programs
Technology Fund (CTF)(table 3.39) and the may include financing for policy and institu-
Program for Scaling-Up Renewable Energy in Low Income Countries (SREP): The SREP program aims to demonstrate in a small number of low
income countries how to initiate energy sector transformation by helping them take renewable energy solutions to a national programmatic
level. SREP offers a unique two-pronged approach. It is designed to support developing countries in their efforts to expand energy access and
stimulate economic growth through the scaled-up deployment of renewable energy solutions, and it provides a trigger for transformation of
the renewables market in each target country through a programmatic approach that involves government support for market creation, private
sector implementation, and productive energy use.
ELIGIBILITY To be eligible, a country
• must be low-income and eligible for MDB concessional financing (i.e., through IDA or a regional
development bank’s equivalent); and,
• be engaged in an active country program with an MDB.a
FUNDING OBJECTIVE Pilot and demonstrate, as a response to the challenges of climate change, the economic, social, and
environmental viability of low-carbon development pathways in the energy sector by creating new
economic opportunities and increasing energy access through the use of renewable energy.
INDICATIVE AMOUNT/TERMS Indicative total amount: about US$292 million (as of February 2010).
Source: CIF (2009a,b; 2010) and personal communication with CIF in March 2010.
a. An “active” program is one in which an MDB has a lending program and/or ongoing policy dialogue with the country.
Note: Information as of March 1, 2010. For details on Climate Investment Funds, see http://www.worldbank.org/cif.
tional reforms and regulatory frameworks. ganizations, and the private sector to address
This is the role of the Clean Technology Fund. global environmental issues, while supporting
The Strategic Climate Fund is broader and national sustainable development initiatives. It
more flexible in scope. It serves as an overarch- provides grants for projects related to six focal
ing fund that supports various programs to test areas: biodiversity, climate change, internation-
innovative approaches to climate change. It al waters, land degradation, the ozone layer, and
consists of three programs: the Pilot Program persistent organic pollutants. It works with sev-
for Climate Resilience, the Forest Investment en executing agencies and three implementing
Program, and the Scaling-Up Renewable agencies, including the World Bank. At the end
Energy Program for Low-Income Countries. It of 2007, the active portfolio of Global Environ-
provides financing to test new development ment Facility projects implemented by the
approaches or to scale up activities aimed at World Bank included 219 projects with total net
specific climate change challenges through tar- Global Environment Facility grant amount
geted programs. commitments of US$1.6 billion. In terms of
The Global Environment Facility (table 3.41) approval, the grant amount approved by the
is a global partnership among 178 countries, in- World Bank Board in fiscal year 2007 was
ternational institutions, nongovernmental or- US$220 million (22 projects).
of the Kyoto Protocol, which ends in 2012. The tial aspect of the Carbon Partnership Facility
objectives and business model are based on as the program moves from individual projects
the need to prepare large-scale, potentially to programmatic approaches, including meth-
higher-risk investments with long lead times odologies for such approaches. It is expected
that require durable partnerships between that the size of the facility will be €5 billion for
buyers and sellers and significant capacity the period 2012–16.
building for program development. They are The various climate change funds may be
also based on the need to support long-term used simultaneously or sequentially (box 3.24).
investments in an uncertain market environ- Carbon finance, in particular, offers attractive
ment, possibly spanning several market cycles. opportunities for cities to focus on reducing
Learning-by-doing approaches are an essen- GHG emissions (box 3.25).
Note: Projects need to be planned to avoid the double or triple counting of the same quantities of GHG among the Global Environment Facility, the Clean Technol-
ogy Fund, and the Carbon Partnership Facility.
BOX 3.25
A
Aalborg Charter for Local Action Planning ethnic diversity of, 219
description, 55 Government Urban and Economic Development
text (figure), 58 Office and, 222
Adaptability importance to the New Zealand economy, 220
an adaptable energy system (figure), 99 keys to success, 223–224
definition, 98 lessons learned, 224
durability and, 100 local government restructuring, 224 n1
an inflexible energy system (figure), 99 location of (map), 219
strategies for, 99 Mana Whenua Framework, 221, 224
Addis Ababa, Ethiopia Manukau City Council’s 2060 Strategic Frame-
the affordability of the minimum plot size in work, 223
suburban areas, Addis Ababa (figure), 323 Maori tribe involvement, 221, 224
impact of minimum plot size regulations on One Plan, 223
housing affordability, 323–324 population growth, 219
Africa. See specific cities and countries regional collaboration and, 219–220
Alliance to Save Energy stakeholder consultations and interagency
the Watergy case study in Fortaleza, Brazil (box), coordination, 221–223
263 the START logo (figure), 220
Watergy program, 64, 244, 248 n12 START (Sustaining The Auckland Region
Asia. See also specific countries and cities Together) program, 220–222
area at risk if there were a 0.5-meter rise in sea stretched thinking topics, 223–224
level in Asia (figure), 258 Waitakere City Council’s social strategy, 223
changes in the annual mean daily precipitation winning hearts and minds and, 224
expected by 2100 (figure), 258 Australia. See specific cities
fuel efficiency standards for vehicles, 270
shift from agriculture to industry, 15 B
urbanization projections, 14 Bangalore, India
water desalination, 199–200, 258 bus rapid transit system, 82–83
Atlanta, Georgia floor area ratio, 319
spatial planning, 73 Bangkok, Thailand
Auckland, New Zealand contribution to the country’s GDP, 15
Auckland Harbor viewed from the east (figure), Barcelona, Spain
219 spatial planning, 73
Auckland Regional Growth Forum, 219–220, 222 Beatley, Timothy
Auckland Sustainability Framework, 55, 222–224 role of city leadership in successful sustainable
the Auckland Sustainability Framework (figure), urbanization, 43
223 Beijing, China
Auckland Sustainable Cities Programme, 220 travel demand management and the legacy of the
case study, 219–224 Olympic Games (box), 280–281
eight goals direct the Auckland Sustainability Bogotá, Colombia
Framework (box), 222 Transmilenio bus rapid transit system, 272, 290
INDEX | 339
Bolivia Capacity building
poverty reduction association with urbanization, benefits of, 104
15 decision support system and, 44–45, 48, 108–109
Brisbane, Australia outlining a process for, 48
Brisbane City Council efforts, 215, 216 support for, 104
bus rapid transit systems, 216–217 Cascading resources
case study, 213–217 cascading and looping water in Singapore
drought and, 216 (figure), 67
electricity consumption, 213, 217 n2 water use (figure), 66
energy challenges, 213 Case studies
examples of grants and rebates for environmen- Auckland, New Zealand, 219–224
tally sustainable home projects (box), 214 Brisbane, Australia, 213–217
Green Heart CitySmart Program, 17, 213–215 Curitiba, Brazil, 169–182
greenhouse gas emissions and electricity use by executive summary, 7
the Brisbane City Council, fiscal years 2005/06- Singapore, 195–203
2008/09 (table), 215 Stockholm, Sweden, 183–193
GreenPower renewable energy source, 214 Yokohama, Japan, 205–210
lessons learned, 217 Catalyst projects
location of (map), 214 characteristics of, 117
the measures in the CitySmart Program (box), 214 collaborative design and decision making platform
“Our Shared Vision: Living in Brisbane 2026” and, 60, 117–119
policy document, 213 end-state goals and, 117–118
population growth, 213, 217 n1 focus of, 118–119
potable water shortage, 213, 216 function of, 117
practical tips for residents and businesses, 213–214 investment framework and, 101
profile of, 214 neighborhood catalyst project (figure), 118
subtropical climate issues, 213 paradigm change and, 118
suburban lifestyle, 215 a policy matrix (table), 120
tree plantings, 214–215 Charettes. See also Foresight workshops
urban planning, 215–216 Auckland, New Zealand’s START design workshop
Urban Renewal Brisbane program, 216 format, 221
urban sprawl and, 215 conducting a regional systems design charette, 119,
water cycle and water catchment management, 121–122
216 description, 119
design workshop: systems design charette (figure),
C 119
Cairo, Egypt Fort St. John, Canada, design charette for a
Al Mounira neighborhood’s residential density, 316 sustainable neighborhood concept plan, 146
California. See also specific cities multiday urban-systems design charette for the
energy as the second largest expenditure item in one-system approach, 87–88
city government operations, 243 process description, 121–122
energy conservation policies, 24 a regional design charette (figure), 121
green building standards, 247 Chicago, Illinois
intelligent transportation systems and, 284 parking space as real estate at Marina Towers
percent of energy budget spent on water and (figure), 315
wastewater pumping, 244 China. See also specific cities
public agencies with significant influence on air pollution in northern cities, 228–229
electricity production, distribution, and use, Beijing: travel demand management and the legacy
California (box), 237 of the Olympic Games (box), 280–281
Calthorpe, Peter codified standards for green buildings and for
emergence of the regional city as a crucial scale ecological cities, xviii
for long-term planning, 54 development of a low-cost electric car and, 317
Canada. See also specific cities district heating systems and, 233
conservation and domestic water consumption energy efficiency program success, 246
(box), 260 energy reduction target, 270–271
Canada Mortgage and Housing Corporation estimated cost of ambient air pollution in urban
life-cycle costing tool for community infrastruc- areas, 17
ture planning, 145–146 landfill gas capture projects, 306, 308
340 | INDEX
leading groups for transportation issues, 273 multiple stakeholders and, 33–34, 51
natural gas distribution and, 235 as a new approach to governance, 55
prioritization of public transportation, 269–270 outer tier: urban regions, 53–55, 58–59
ring road model, 275 political election cycle and, 34
solid fuel use, 234 predict-and-provide transportation planning
urban area contribution to GDP, 15 models, 53
urban sprawl reduction and, 319 process for, 59
value-based property taxes, 276–277 secretariats and, 59, 113–114
wastewater reuse, 258 shared long-term planning framework and,
City-based approach. See also Decision support 34–35, 55–59, 114–119
system stepping stones, 39, 59–60
as an action-oriented network, 44 tiers of, 34, 52–55
capacity building and, 44–45, 48 working groups for, 53, 54–55, 111–114
cities as the most influential institutions within Colorado
the modern state, 32–33 locality in the state of Colorado (figure), 277
city council commitment and, 46–47 Commission on Growth and Development
core elements, 39, 43–45 Urbanization and Growth, 311
description and focus, 32–33, 43 CommunityViz software
developing fluency with Eco2 concepts and, 48–49 graphic depiction (figure), 140
as a development program that supports cities, 43 overlay mapping and, 140
Eco2 Cities Initiative team composition, 44 Condon, Patrick
ecological assets and, 33, 44 charette description, 121
engaging the World Bank and other global Curitiba, Brazil
development partners in, 47–48 Barigüi Park (figure), 175
executive summary, 3–4 bi-articulated BRT bus and bus station (figure),
funding for, 47–48 174
green infrastructure, 33 bus rapid transit system, 170–174, 275–276
identifying local champions, 46 case study, 169–182
National Eco2 Fund Program, 47 citizen ownership and eco-consciousness, 181
national government and, 47 cityscape (figure), 169
physical flows and, 45 color-coded buses (figure), 174
as a planning philosophy that recognizes the role Coresda Cidade project, 180
of local ecological assets, 33, 44 cost issues in ecological and economic planning,
reviewing and adapting the Eco2 Cities Initiative, 169
45–46 culture and heritage preservation, 179–180
spatial form and, 45 demographics of, 170
stepping stones, 39, 45–49 density of Curitiba, 2004 (figure), 171
Clean Technology Fund evolution of the integrated bus network in
description, 333 Curitiba, 1974-95 and 2009 (figure), 172
Climate Investment Funds flat-rate “social” bus fares, 174, 179
Clean Technology Fund, 333 flood control, 175–176
description, 105 former slums in flood-prone areas (figure), 175
Strategic Climate Fund, 333 future challenges, 180–181
Collaborative design and decision making. See also Garbage That Is Not Garbage Program, 176, 303
Methods for collaborative design and decision green areas, 175–176
making Green Exchange Program, 177, 303
catalyst projects and, 60, 117–119 Green Line, 180–181
the city’s collaborative working group at three illegal occupancy in (figure), 178
tiers: corporate, municipal, and regional Industrial City of Curitiba manufacturing and
(figure), 53 industrial park, 177
the collaborative model (figure), 112 innovative approaches to urban planning, 21–23,
the collaborative working group (figure), 113 35, 38, 169–182
core elements, 39, 52–59 an innovative waste collection approach (box),
description and focus, 33–35, 51–52 303
executive summary, 4 Institute for Research and Urban Planning of
inner tier: departments of the city, 52 Curitiba, 23, 169, 176, 177, 181, xix
institutional champions and, 51–52, 113 integrated land use and transportation planning,
middle tier: municipal services, 52–53 170–173
INDEX | 341
integrated transportation network, 1974-95 and examples of, 64
2009 (figure), 22 implementation difficulties, 62, 64
“job lines” for poor people, 177–178 node and network integration and, 69
leadership issues, 181 one-system approach and, 62–64
lessons learned, 181–182 spatial planning and, 74–75
local character and, 181–182 spatial systems and, 64
location of (map), 170 Design with Nature (McHarg), 133
management of slums, 175, 177–179 Developed countries. See also specific geographic
Metropolitan Area Heritage Plan, 179–180 areas, countries, and cities
natural drainage system, 76, 175 energy and resource consumption and waste
pedestrian-friendly street (figure), 279 generation in, 25
pedestrian streets in the center of (figure), 179 Developing countries. See also specific geographic
pedestrian walkways and car-free zones, 169, 172, areas, countries, and cities
179 air pollution in, 227, 228–229
percentage of bus ridership, 169, 182 n1 capacity building, 104
policy integration (figure), 170 challenges in energy management, 229–230
profile of Curitiba and the Curitiba metropolitan challenges of the city-based approach, 45
region, 170 electricity consumption, 232
recycling programs, 176–177 end use energy patterns, 232
regional integration and, 181 energy supply options and, 234
road hierarchy, 173 environmental load profile applications, 192
social considerations, 177–179 government-owned building energy consumption,
social housing in (figure), 179 243
solid waste management, 176–177 growth of urban areas, 1, xiii
the structure of the integrated public transporta- industrial energy use in large cities, 231–232
tion network (figure), 276 new funding opportunities for city authorities, 26
time and fuel losses caused by congestion (table), peer-to-peer engagement with best practices
173 cities, 103
transfer of development rights for environmental percentage of the urban population living in, 16
preservation (figure), 176 projections for urbanization, 13–14
transfer of development rights for heritage solid fuel use, 232
preservation in (figure), 180 success of homegrown solutions and, 25
transfer of development rights for social housing technical assistance for, 103–104
in (figure), 179 tracking of energy consumption and, 233
transportation network, 169, 170–174 urban planning for energy efficiency, 228
tree plantings, 176 urban share of GDP, 14
the trinary road system (figure), 172 water supply and wastewater treatment capacities
urban growth axes (figure), 171 and, 245
waste program (figure), 177 Dhaka, Bangladesh
zoning in Curitiba, 2000 (figure), 171 Waste Concern’s composting and sale of solid
waste for fertilizer, 26
D Dresner, Simon
Dahlström, Kristina four capitals approach, 94–95
four capitals approach, 94–95 DSM. See Demand-side management
Decision support system DSS. See Decision support system
capacity building and, 108–109
city-based approach and, 44–45, 48, 108–164 E
description, 108 Eastern Europe
executive summary, 7 natural gas distribution and, 235
methods for analyzing flows and forms, 123–140 Eco2 Cities Initiative
methods for collaborative design and decision capacity building, 44–45, 48, 104
making, 111–122 case studies, 19–23, 169–224
methods for investment planning assessment, challenges to overcome, xvii
143–164 “Eco2 City” definition, xvi
purpose of methods, 108 “ecological cities” definition, xv
Demand-side management “economic cities” definition, xv–xvi
benefits of, 64 executive summary, 1–9
a different paradigm for urban design (figure), 76 financial resources, 104–105
342 | INDEX
focus of, 26 a comparative economic analysis of selected
historical background, xvii–xviii streetlighting systems (table), 245
knowledge sharing with best practice cities, cost implications for city governments, 228
104 cost of energy-efficient alternatives, 248 n4
lessons from best practices cities, 23–26 developed countries and, 25
message of, xiii distributed energy resources, 248 n7
overview of, 30–32, xv–xix district heating systems and, 228, 233–234, 243,
pathway diagram, 6 245, 246, 248 n10
possible government role: administering a economic justification, 239
National Eco2 Fund to support participating electric lighting example of energy efficiency, 248
cities (figure), 48 n5
principles and pathways (table), 39–40 Emfuleni, South Africa, project and, 24, 228
principles of, 2–6, 32–38, xvi–xvii end use energy patterns, 232
process of, xvi–xvii energy consumption in cities: key end use
purpose of, 2 activities and energy types (table), 232
questions that need to be addressed by, 1–2 energy consumption in cities: main sectors and
real world application of, xviii–xix clusters (table), 231
role of, 19 energy efficiency and renewable energy solutions
selection criteria, 210 n3 in the public sector, 243–245
structure of the book, xxiii–xxiv energy efficiency assessment, 230–231
technical assistance resources, 103–104 energy planning in the City of Mannheim,
World Bank Urban Strategy and, xiii Germany (box), 235
Ecological footprints energy policies and regulations and links to cities
description, 92–93 (table), 236
design assessment matrix (table), 94 environmental sensibility, 241
methodological problems with, 93–94 an extensive solar water heating program in
usefulness of, 93 Rizhao, China (box), 241
Ecological systems fees and charges for network-based energy
characteristics of, 36 services, 236
city-based approach and, 33, 44 financial viability, 239–240
ecological footprints and, 92–93 government-owned buildings and facilities and,
lack of government budgeting for ecological 229, 243–244
assets, 37 improving energy efficiency, reducing energy
services and economic benefits of urban green costs, and releasing municipal budgets (box),
areas, 37 246
strategies for managing change, 36 indicative economics of sustainable energy options
Ekins, Paul (table), 240
four capitals approach, 94–95 indicators and benchmarks and, 241–242
Electricity use. See Energy resources an inflexible energy system (figure), 99
ELP. See Environmental load profile innovative energy infrastructure (figure), 72
Emfuleni, South Africa institutional interactions and, 236–238
demand-side management and, 62 integration of energy and water systems and,
energy and water conservation project, 24, 228 69–70
Energy resources International Energy Agency accounting of urban
an adaptable energy system (figure), 99 energy use, 231
addressing cities’ multidimensional energy International Energy Agency definition of cities,
challenges, 227–228 227 n1
Alliance to Save Energy’s Watergy program, 244, land use planning and land development policies
248 n12, 263 and, 229
barriers to investing in sustainable energy, 242 LEED (Leadership in Energy and Environmental
Brisbane, Australia, case study, 213–214, 217 n2 Design) and, 244, 248 n11
built environment and, 229, 231, 245–247, 248, local government influence on, 228, 248 n2
248 n3, 248 n6 market barriers to investment in, 242, 248 n8
bundling city programs and, 248 minimum energy performance standards, 236
city government role, 237–239, 242–247 national and regional government role, 236–237
city’s energy profile factors, 230–231 New York City: key stakeholders in electricity
combined water and energy activities in supply and consumption (figure), 238
water supply management (box), 262 overlapping energy supply networks and, 234–235
INDEX | 343
overview, 227–230 energy consumption and urban planning in, 25
passive houses, 248 n6 fuel efficiency standards for vehicles, 270
policies, legislation, and regulations, 235–236 fuel taxes, 270
public agencies with significant influence on peak load management and, 65
electricity production, distribution, and use, European Cooperation in Science and Technology
California (box), 237 assessment of environmental effects, 93–94
public buildings and, 243–244 Towards Sustainable Urban Infrastructure:
public lighting and, 228, 245 Assessment, Tools and Good Practice, 94
recommendations for promoting sustainable European Union
energy and increasing energy efficiency, electricity and heating demands from the public
247–248 sector, 243
renewable energy supply technology, 234, 239–240
sanitary and energy systems integration in F
Shanghai, China, 78 FARs. See Floor area ratios
sector note, 227–249 Financial resources
Singapore’s management of, 201–202 financial instruments (figure), 105
social equity and, 240–241 importance of, 105
solid fuel use, 232, 233, 234 market-based instruments, 335–336
spatial and temporal considerations, 234–235, 247 multidonor funds, 333–334
stakeholder dynamics and, 238–239 World Bank Group, 104–105, 329–332
Stockholm, Sweden’s Hammarby Model, 20–21, Flood management
187–192 area at risk if there were a 0.5-meter rise in sea
a stylized framework for urban energy planning level in Asia (figure), 258
and management (figure), 230 climate change and, 258
supply- and demand-side measures, 244–245 Curitiba, Brazil, flood control, 175–176
supply options, 233–234 Floor area ratios
sustainable energy actions of city governments, mobility of people and goods and, 319, 322
242–247 regulations limiting, 324–325
sustainable urban energy indicators and bench- Foresight workshops. See also Charettes
marks: preliminary proposal (table), 242 challenges of forecasting, 160–161
traditional urban energy planning and, 227 components of, 162
typical barriers to public sector sustainable energy developing the capacity for forecasting land use
investments (table), 243 demand and, 161
urban density and transportation-related energy external force impact and, 161–162, 164
consumption (figure), 75, 247 influence diagrams and, 162
urban energy supply sources and systems: a mitigating and adapting plans, 160–161
stylized sketch (figure), 234 population growth forecasting, 161
urban spatial development and, 247 resiliency and, 162, 164
use in cities, 230–233 supply forecasting, 161
waste disposal services and, 245 template for an influence diagram (figure), 163
water supply and wastewater treatment and, Fort St. John, Canada
244–245 analysis of costs and value in the scenarios,
water use and, 261–262 148–152
Environmental load profile baseline low-density scenario developed using a
application in developing countries, 192 mask (figure), 147
description, 157 baseline scenario: annual operating costs per unit
the environmental load profile (figure), 158 (figure), 149
life-cycle calculations, 158 baseline scenario: estimate of taxes, user fees, and
opportunities to reduce environmental impacts initial development cost charges (figure), 150
(figure), 160 baseline scenario: graphic representation of initial
planning process and, 159–160 capital costs and annual operating costs per unit
Stockholm, Sweden, case study, 103, 157–160, 183, (figure), 149
189–190, 192 baseline scenario: graphic representation of true
strengths of, 158, 189–190 life-cycle costs (figure), 150
Europe. See also specific regions, countries, and cities baseline scenario: initial capital costs (figure),
combined heat and power plants, 68 148
district heating systems and, 233 baseline scenario: representation of true life-cycle
costs, including replacement (figure), 149
344 | INDEX
baseline scenario for low-density, primarily single- subsidized low-income settlement, 324
family residential and apartment neighborhood, a three-dimensional representation of the spatial
146, 147, 148–150, 153–154 distribution of population, Gauteng, South
City of Fort St. John, Canada: comparative Africa, and metropolitan Jakarta, Indonesia,
statistics for two scenarios (table), 147 2001 (figure), 317
clarification of the greater affordability and value Geddes, Patrick
of sustainable options, 154 urban planning and, xviii
comparison of baseline and sustainable neighbor- Geographic information systems
hood scenarios: annual life-cycle costs per description, 133
household (figure), 154 overlay mapping and, 133, 135–136, 139–140
design charette for a sustainable neighborhood GHGs. See Greenhouse gases
concept plan, 146 GISs. See Geographic information systems
insights from the case study, 153–157 Glen Rock, New Jersey
life-cycle costs example, 90–91, 146–157 street space per person, 316
sustainable neighborhood scenario: annual Global Environment Facility
operating costs per unit (figure), 151 description, 333, 334
sustainable neighborhood scenario: estimate of Goa, India
taxes, user fees, and initial development cost sustainable urban design in, 79
charges (figure), 152 Green infrastructure
sustainable neighborhood scenario: graphic description, 76
representation of initial capital costs and annual examples, 76
operating costs per unit (figure), 151 integrating the benefits of natural systems in
sustainable neighborhood scenario: graphic communities (figure), 77
representation of true life-cycle costs (figure), Greenhouse gases
152 citywide greenhouse gas emission reduction and
sustainable neighborhood scenario: initial capital Carbon Finance (box), 338
costs per unit (figure), 151 reduction of, 306, 308
sustainable neighborhood scenario: representation Grontmij AB
of true life-cycle costs, including replacement environment load tool development, 103, 183
(figure), 152 Gujarat, India
sustainable neighborhood scenario for medium- Gujarat State Disaster Management Authority, 136
density, varied housing forms and mixed use, land pooling and land readjustment project, 84
146, 148, 150–157 Shantigram township: final serviced land parcels
updating development cost inputs, 153–154 for sale (figure), 86
Fortaleza, Brazil Shantigram township before the land readjust-
water distribution and sanitation service access ment scheme (figure), 85
improvement, 64, 244
the Watergy case study (box), 263 H
Four-capitals approach Hamilton, Canada
description, 94–95, 101 life-cycle costs example, 90
as a good choice for Eco2 cities, 95–96 Hammarby Sjöstad project
sample indicators in the four-capitals approach aim of, 185–186
(table), 96 City District Administration and, 193 n1, 193 n2
France City Planning Administration and, 190, 193 n1, 193
Paris Climate Protection Plan, 228 n2
Freiburg, Germany description, 20–21, 67, 92, 157, 158–159, 183
alignment of transit services with land develop- Development Administration and, 190, 193 n2
ment planning, 83 Environment and Health Protection Administra-
land use plans to address storm water runoff, 76 tion and, 193 n1, 193 n2
Fulton, William B. Fortum and, 187
emergence of the regional city as a crucial scale goals for sustainability, 187
for long-term planning, 54 Hammarby Model, 187–192
highlights, 288
G historical background, 186–187
Gauteng, South Africa Housing Service Company and, 193 n2
sharing larger plots among lower-income local investment subsidy program funding across
households, in Sebokeng (figure), 325 types of projects in Sweden (figure), 191
spatial distribution of populations, 316 master plan (figure), 187
INDEX | 345
monitoring major reductions in environmental World Bank loans and International Development
loads (figure), 190 Association credit: subnational development
National Road Administration and, 190 policy lending (table), 330
national subsidy program for, 191 International Energy Agency
profile of Hammarby Sjöstad, 186 accounting of urban energy use, 231
project management, 187, 190–191 definition of cities, 227 n1
public transportation and, 187 International Finance Corporation
Real Estate, Streets, and Traffic Administration description, 104, 331
and, 193 n1 World Bank Group financing: joint International
Stockholm Local Transport Authority and, 190 Finance Corporation-World Bank subnational
Stockholm Waste Management Administration finance (table), 331
and, 187 Investment framework. See also Methods for
Stockholm Water Company and, 187, 193 n2 investment planning
Traffic Administration and, 193 n2 benefits of investing in sustainability and resil-
Waste Collection Administration and, 190–191 iency, 37–38
Hong Kong, China catalyst projects and, 101
land management practices, 276 city green areas and, 37
public transportation system, 275, 289 core elements, 40, 89–100
value-based property taxes, 276 cost-benefit analysis and, 92
Housing issues cost-effectiveness and, 92
Curitiba, Brazil, case study, 178–179 description and focus, 37–38, 89
land and housing affordability, 321–326 ecological footprints and, 92–93
Singapore’s high-density development, 195, executive summary, 5–6
196–197, 203 expanded framework for accounting, 92–97
slums and, 15–16, 25–26, 178–179 forecasting the impact of plausible changes, 101
spatial planning and, 70, 73–76 four capitals approach, 94–96, 101
traditional dwelling supply systems (figure), 72 government budgeting for ecological assets and, 37
urban form, land use mix, density, connectivity, indicators for target-setting and monitoring
and proximity and, 70, 73–76 impacts, 96–97
Houston, Texas life-cycle costing, 89–92, 101, 101 n1, 144–157
broad view of the city center (figure), 74 protection and enhancement of capital assets and,
energy-saving benefits of trees, 182 n2 94–96
urban sprawl example, 73 protective risk management for all threats, 97–100
Howard, Ebenezer sample indicators in the four-capitals approach
Garden City concept, xviii (table), 96
stepping stones, 40, 100–101
I IPPUC. See Institute for Research and Urban
IEA. See International Energy Agency Planning of Curitiba
India. See also specific regions and cities Irvine, California
meta diagram on energy for a proposed new town baseline water flows (figure), 126
(figure), 130 target for the comprehensive coverage of re-
Indicators for monitoring capital assets claimed water for commercial properties, 116
choice of, 97
feedback on, 101 J
sample indicators in the four-capitals approach Jakarta, Indonesia
(table), 96 spatial distribution of populations, 316
targeted indicator type, by level of city personnel a three-dimensional representation of the spatial
(figure), 97 distribution of population, Gauteng, South
InfraCycle Africa, and metropolitan Jakarta, Indonesia,
software for life-cycle costing, 164 n1 2001 (figure), 317
Institute for Research and Urban Planning of Japan. See also specific cities
Curitiba, 23, 169, 176, 177, 181 cities in Japan selected for the Eco2 Cities
International Development Association Initiative, 210 n3
World Bank-International Development Associa- peak load management of transportation systems,
tion financing, 329–330 65
World Bank loans and International Development wastewater reuse, 258
Association credit: specific investment loans
(table), 330
346 | INDEX
K Lerner, Jaime
Kabul, Afghanistan urban planning achievements, 23
informal houses, 324 Life-cycle costing
Kyoto Protocol annualization of costs, 90
Clean Development Mechanism, 304, 306, 308, benefits of, 145
335 case-by-case application of, 155
the Clean Development Mechanism and waste complex integrated designs and, 145
management (box), 307 costs included, 89
ending date of, 337 description, 89, 101 n1, 143, 144–145
Fort St. John, Canada, example, 90–91, 146–157
L future cost management and, 154–155
Land pooling importance of, 90
description, 84 InfraCycle software, 164 n1
Land readjustment integrated land use and community infrastructure
description, 84 planning applications, 145–146
Land use the life cycle of a building (figure), 144
affordability of land and housing, 321–326 life expectancy and rate of deterioration for assets
the affordability of the minimum plot size in and, 90
suburban areas, Addis Ababa (figure), 323 operating and maintenance costs for long-lived
coordination with transit, 320–321 elements and, 90
Curitiba, Brazil, case study, 170–173 reserve funding and, 91–92
floor area ratios and, 319, 322, 324–325 RETScreen Clean Energy Project Analysis
green infrastructure and, 76 Software, 155–157
the impact of government on land markets, the software for, 145–146
informal sector, and the spatial structure of tools for, 90, 143
cities (table), 318 uses for, 101
impacts of government actions on land markets, London, United Kingdom
the size of the informal sector, and the spatial congestion and road pricing schemes, 271
structure of cities (table), 82 ecological footprint of, 93
incorporating energy efficiency and renewable forum for transportation decision making, 273
energy in land use planning and land develop- report on sustainable urban infrastructure, 112–113
ment, 228, 229 smog disaster of 1952, 227
land subdivision regulations, 325–326 summary of resource flows through London, 2000
macroplanning, 277 (figure), 93
microplanning, 277, 279 Long-term planning framework
minimum plot sizes and apartment sizes, 322–324 Aalborg Charter example, 55, 58
new development needs, 83 catalyst projects and, 117–119, 120
recycling of land into new densities, 319–320 characteristics of, 114–115
regulations’ effect on the supply and price of land city profiles and, 115
and floor space, 322–326 combining forecasts and backcasts to achieve
rent controls and, 319–320 resiliency and sustainability (box), 56–57
retrofitting and redevelopment of existing areas, defining boundaries and, 115
83–86 developing a shared framework, 114–119
shared parcel design, 323–324 end-state goals for, 115–116, 117–118
Singapore’s high-density development, 195, enhancement of communications and coordina-
196–197, 203 tion and, 114–115
slums and, 15–16, 25–26 evaluating alternative scenarios, 116–117
subsidized housing regulations and, 324 focus of, 58
transportation and, 267, 271, 275–280 “framework” definition, 55, 114
types of regulations, 322 goals for, 115–116
urban form, land use mix, density, connectivity, hierarchical structure of, 55
and proximity and, 70, 73–76 implementing key strategies, 117–119
urban land pooling and land readjustment (box), integrated design teams for, 56, 119
84 locally specific set of external forces and, 59
water resources and, 265 a long-term planning framework (figure), 115
zoning and, 325 matrix of stakeholders and policies for, 119
Latin America. See specific countries and cities perspectives on, 55
LCC. See Life-cycle costing rapid process for, 59
INDEX | 347
regional growth strategy and, 116–117 Meta diagrams
scope of, 115 aggregation tools, 132–133
software tools, 59 approaches to the development of (figure), 131
target setting, 116 auditing reference buildings to create a meta
vision statements and, 115–116 diagram (figure), 132
Looping resources bottom-up data for, 130, 132
as the aim of environmental technologies for calculating performance indicators in transparent
cities, 67 and comparable ways, 129–130
cascading and looping water in Singapore (figure), combination of, 125
67 communicating alternative development scenarios
closed loop, 67, 198 and, 127–128
closed water loop in Singapore (figure), 199 creating a common language for interdisciplinary
description, 66 groups and, 126–127
graphic depiction (figure), 67 data collection issues, 130, 132
strategic investment opportunities, 67 definition, 123
Los Angeles, California an example of a countrywide meta diagram
planting of trees along the streets to conserve (figure), 127
energy, 76 field data and, 132–133
Low-income persons hypothetical data and, 132–133
access to all city areas and, 312 material flow analysis, 123–124
housing affordability and, 323–324 meta diagrams patterns: physical flows (figure),
“job lines” for poor people in Curitiba, Brazil, 127
177–178 reasons for using, 124–130
land and housing affordability and, 321–326 sample forms for the collection of standardized
low-density, polycentric cities and, 316 data on water flows (figure), 134
sharing larger plots among lower-income sample universal flow matrix for water (figure),
households, in Sebokeng, Gauteng, South Africa 135
(figure), 325 Sankey diagrams and, 123–124, 132
social equity in access and affordability of energy setting priorities for research and design and, 129
resources, 240–241 top-down data for, 130
targeted water subsidies for poor households in traditional, modern, and ecological patterns for
Singapore, 201 physical flows, 126–127
urban planning benefits, 25–26 typical construction, 125
urban poor as stakeholders in the city, 113 visualization dimension, 123
urbanization and, 15–16 Methods for analyzing flows and forms. See also
One-system approach
M meta diagrams and material flow analysis, 123–133
Madrid, Spain overlay mapping, 133–140
forum for transportation decision making, 273 overview, 108
Mannheim, Germany Methods for collaborative design and decision
energy planning (box), 235 making
Maps the collaborative working group (figure), 113
Auckland, New Zealand, 219 the core team and sector advisers (figure), 114
Brisbane, Australia, 214 organizing and managing collaborative working
Curitiba, Brazil, 170 groups, 111–114
Singapore, 196 overview, 108
Stockholm, Sweden, 184 regional systems design charette, 119, 121–122
Yokohama, Japan, 206 secretariats and, 113–114
McHarg, Ian shared long-term planning framework for, 114–119
Design with Nature, 133 Methods for investment planning
Meadows, Donnella environmental load profile, 143–144, 157–160
catalyst projects, 118 foresight workshops and resiliency planning,
Medhurst, James 160–164
four-capitals approach, 95 life-cycle costing, 144–157
Mehndiratta, Shomik the life cycle of a building (figure), 144
transportation issue discussion, 291 n2 performance valuation on an Eco2 pathway and on
Melbourne, Australia a long-term and project-by-project basis, 145
Council House 2 building, 239 risk assessment, 145
348 | INDEX
Methods for investment planning assessment N
overview, 108 National Eco2 Fund Program
Milan, Italy city-based approach and, 47
Eco-Pass project, 279 possible government role: administering a
emission-based road pricing in Milan, Italy (box), National Eco2 Fund to support participating
280 cities (figure), 48
polluter pays principle, 271 Natural gas. See Energy resources
Mobility of people and goods. See also New Delhi, India
Transportation meta diagram of water flows (figure), 125
car space requirements and available space New York City
densities (figure), 315 car space requirements and available space
central business districts and, 313, 314, 319, 320 densities (figure), 315
commuting mobility of workers and consumers, key stakeholders in electricity supply and
312 consumption (figure), 238
composite city model and, 314 PlaNYC 2030, 228
congestion disadvantages, 311–312 street space per person, 315–316
coordination of land use and transit, 320–321 New Zealand. See also Auckland, New Zealand
floor area ratio regulation and, 319, 322, 324–325 zero waste landfill target for cities, 116
government regulations and, 317–320 19th century urban planning models
importance of maintaining, 311–312, 316–317 description, 31, xviii
job dispersion and, 317–318 influence on present-day planning, 31–32
location mobility among firms and households, 312 Node and network integration
low-density, polycentric cities and, 313, 316 benefits of, 68–69
mixed use neighborhoods and, 314 cluster management of waste (figure), 68
mobility infrastructure hierarchy (table), 282 distributed systems (figure), 70
mobility management, 281, 283 one-system approach and, 68–69
monocentric cities and, 313, 319, 321 viability of distributed energy systems, 68–69
multimodal transportation systems and, 312 North America. See also specific countries and cities
parking and traffic space requirements and, energy consumption and urban planning in, 25
314–316
parking space as real estate at Marina Towers, O
Chicago (figure), 315 OECD. See Organisation for Economic Co-operation
real estate market and, 317, 318–320 and Development
real estate transaction costs and, 312, 327 n1 One-system approach
spatial structures and trip patterns (figure), 313 alignment of policies in the planning framework,
Tata Nano car example, 317, 327 n2 81–83, 88
trip patterns and, 312–313 benefits of integration, 36
urban village model and, 313–314 capacity building and, 87
zoning issues, 312 cascading resource use, 65–66
Monte Carlo assessment colocation of new structures and rights-of-way,
description, 98 77–78
Multifunctionality of common spaces and structures combining flows and forms to create a transdisci-
combined trenching for infrastructure systems plinary platform (box), 8, 63
(figure), 73 coordination of instruments for, 80–81
description, 69 core elements, 40, 62–86
ecological footprints and, 93 creating social amenities as intrinsic attributes, 78
multiple uses of a public school (figure), 77 demand-side management and, 62–64
Olympic Village, Vancouver, Canada, example, demand versus supply approach, 64
69–70 description and focus, 35–36, 61–62
traditional dwelling supply systems (figure), 72 enabling implementation of integration strategies,
West Coast Environmental Law study, 70 79–80
Mumbai, India executive summary, 4–5
Null Bazar’s residential density, 316 government actions and, 81–83
Municipal services green infrastructure, 76
collaborative design and decision making platform impacts of government actions on land markets,
and, 52–53 the size of the informal sector, and the spatial
structure of cities (table), 82
integrated implementation, 78–86
INDEX | 349
integrating flows, 62–70 simple contour maps and, 133, 135
integrating forms with flows, 70–78 suggestions for using, 135–140
integration of key subsystems, 35, 62–70
integration of nodes and networks, 68–69 P
just-in-time training for professional staff, 86–87 Paris, France
layering of uses, 77 forum for transportation decision making, 273
looping resource use, 66–67 Parking
multiday urban-systems design charette for, 87–88 space for as real estate, 314–315
multifunctionality of common spaces and space requirements for, 314–316
structures, 69–70, 71–73 subsidies for, 314
new development needs, 83 Peak load management
omnidirectional flows, 68–69 description and goals, 65
peak load management, 65 Performance monitoring
preparatory integrated design workshops and, 87 budget allocation for data collection, analysis, and
retrofitting and redevelopment of existing areas, publication, 101
83–86 feedback on key indicators, 101
sanitary and energy systems integration in integrated approach to, 100
Shanghai, 78 integrating into regular reporting, 100
sequencing and, 78–79 Poland
Singapore case study, 195–203 improving energy efficiency, reducing energy
spatial planning and urban design, 70–78 costs, and releasing municipal budgets (box),
stepping stones, 40, 86–88 246
Stockholm, Sweden, case study, 183–193 Pollution
synchronization of policies among all stakehold- air pollution in developing countries, 227, 228–229
ers, 81 air pollution measures in Singapore, 202
systems theory and, 36 estimated costs of, 17
urban form, land use mix, density, connectivity, health impacts of air pollution, 228
and proximity, 70, 73–76 slums and, 16
Ontario, Canada solid fuel use and, 232
analysis of money spent on services, 73 Poverty. See Low-income persons; Slums
Organisation for Economic Co-operation and Principles for the Eco2 Cities Initiative
Development city-based approach, 3–4, 32–33
funding of project-based greenhouse gas emission core elements and stepping stones, 38–40
reductions in developing countries and Eco2 Cities: principles and pathways (table), 39–40
countries with economies in transition, 335 expanded platform for collaborative design and
sustainable development indicators, 101 decision making, 4, 33–35
top 10 most rapidly growing cities, 213 function of, 32
Overlay mapping interrelation of, 32
challenges of, 135 investment framework that values sustainability
CommunityViz software and, 140 and resiliency, 5–6, 37–38
an example of an overlay map of renewable energy one-system approach, 4–5, 35–36
sources (figure), 139 Public lighting
an example of an overlay map used for risk streetlamp retrofits, 245
assessment (figure), 138 Växjö Municipality, Sweden’s replacement of
geographic information systems and, 133, 135–136, streetlights with high-efficiency lamps, 228
139–140
graphic depiction (figure), 137 R
hazard mapping example, 136 RAND Corporation
history of using maps to convey complex relation- Delphi forecasting technique, 161
ships, 133 Redevelopment
integrating local knowledge, 139 of existing urban areas, 83–86
layering data (figure), 136 Regional growth strategy
mapping the capacity of existing infrastructure adoption of best practices from successful regions,
and comparing it with the projected demand for 117
services, 137 benefits of, 117
quality inputs and, 138–139 description, 116–117
risk assessment and, 136–137 length of the process, 117
350 | INDEX
Republic of Korea. See also specific cities S
land management practices, 276 San Diego, California
Reserve funds target for the comprehensive coverage of
aim of, 91 reclaimed water for commercial properties, 116
importance of, 91 Sankey diagrams
sufficient amount for, 91–92 description, 123–124
Resiliency graphic depiction (figure), 124
definition, 98 recording flows, 132
elements of resilient design, 98–99 Secretariats
measurements of, 99 characteristics of effective secretariats, 114
redundancy and, 99 collaborative design and decision making and, 59,
risk assessment and, 98 113–114
self-reliance and, 99 Sector notes
Retrofitting energy consumption, 227–249
of existing urban areas, 83–86 executive summary, 7, 9
streetlamp retrofits, 245 solid waste, 295–309
RETScreen Clean Energy Project Analysis Software transportation, 267–292
cost analysis worksheet, 156 water resources, 251–265
description, 155 Sensitivity analysis
emission analysis worksheet, 156 description, 98
an example of a RETScreen financial summary Seoul, Korea
(figure), 156 urban village model and, 314
an example of a RETScreen financial summary Sequencing
visual (figure), 157 description, 78–79
financial analysis worksheet, 156 time rings (figure), 79
graphic representation (figure), 155 Shanghai, China
Product Database, 156 meta diagram for Jinze: an advanced system
sensitivity and risk analysis worksheet, 156–157 (figure), 128
RGS. See Regional growth strategy meta diagram for Jinze: the current energy system
Richa, Mayor Carlos (figure), 128
popularity of, 23 a schematic for a downtown neighborhood
Risk assessment (figure), 129
description, 144 Shanghai Municipal Sewage Company plans to
an example of an overlay map used for risk construct a large-scale incineration plant for
assessment (figure), 138 sludge drying, 78
expansion of to include resiliency and adaptive Singapore
capacity, 98–99 air pollution measures, 202
Monte Carlo assessment, 98 appropriation of land for public use, 196
overlay mapping and, 136–137 car ownership controls, 321
performance monitoring, 100, 101 cascading and looping water in Singapore (figure),
sensitivity analysis, 98 67
standard practices, 97–98 case study, 195–203
Rizhao, China cityscape (figure), 195
an extensive solar water heating program in (box), closed water loop in (figure), 199
241 demographics, 195, 196, 203
solar energy systems in, 69 desalinated water, 199–200
Rocky Mountain Institute distance-based through-fare structure, 197
viability of distributed energy systems, 68–69 E2 Singapore energy efficiency plan, 202
Royal Institute of Technology electronic road pricing, 197–198, 202, 271
environmental load profile and, 103, 157, 189 energy resources and, 201–202
Rural areas forum for transportation decision making, 273
including in the urban region, 58 Four National Taps water strategy, 198–199
migration to urban areas and, 16 Garden City campaign, 195, 203
urban areas as markets for the agricultural output a green area in (figure), 197
of, 15 green areas, 197, 203
water resources and, 259–260 Green Plan 2012, 201
high-density development, 195, 196–197, 203
Housing and Development Board, 199, 203
INDEX | 351
importance of resource planning, 195 the affordability of the minimum plot size in
importation of water from Malaysia, 198, 199 suburban areas, Addis Ababa (figure), 323
integrated water resource management strategy, alignment of policies in the planning framework,
66 81–83
Inter-Ministerial Committee on Sustainable Atlanta and Barcelona (box), 73
Development, 201 car space requirements and available space
land area, 195 densities (figure), 315
land management practices, 276 economic advantages of concentrating economic
Land Transport Authority, 197 activities in large cities, 311
land use planning, 196–197 economic competitiveness and, 75
lessons learned, 195, 196–197, 203 energy resources and, 234–235, 247
location of (map), 196 floor area ratio and, 319
Marina Bay development, 196–197 the impact of government on land markets, the
Ministry of the Environment and Water Resourc- informal sector, and the spatial structure of
es, 201 cities (table), 318
National Recycling Program, 202 impacts of government actions on land markets,
NEWater, 200 the size of the informal sector, and the spatial
profile of, 196 structure of cities (table), 82
public satisfaction with public transportation, 203 importance of, 311, 316–317
n1 land and housing affordability, 321–326
Public Utilities Board and, 198–201 macrolevel planning, 275
rainfall totals, 198, 203 n2 managing the spatial structure of cities, 311–327
rainwater catchments, 199 methodology and training for urban planners and
river cleanup and, 202 managers, 326
share of nonrevenue water, 200, 203 n3, 259 mobility of people and goods and, 311–321
Singapore metro network: centered on expansion monitoring departments and, 327
in the central business district (figure), 321 new development needs and, 83
Sustainable Singapore Blueprint: “A Lively and objectives and targets for, 327
Livable Singapore: Strategies for Sustainable one-system approach and, 70–78
Growth,” 201 operational departments and, 327
targeted water subsidies for poor households, 201 parking space as real estate at Marina Towers,
transportation issues, 197–198, 203 n1, 271, 275 Chicago (figure), 315
Urban Redevelopment Authority, 196 a plan for the active management of constantly
value-based property taxes, 276 evolving urban spatial structures, 326–327
vehicle quota system, 196, 197, 202 the profile of densities of built-up areas in 12 large
waste management, 202 metropolises (figure), 320
wastewater reuse, 258 reorganization of urban planning departments,
water consumption and water bills per household 326–327
in Singapore, 1995, 2000, and 2004 (table), 201 retrofitting and redevelopment of existing areas
water resource management, 195–196, 198–201 and, 83–86
water tariff in (table), 200 sharing largest plots among lower-income
water tariffs, 196, 200–201 households, in Sebokeng, Gauteng, South Africa
Slums. See also Housing issues (figure), 325
basic human requirements and, 15 Singapore metro network: centered on expansion
Curitiba, Brazil, management of, 175, 177–179 in the central business district (figure), 321
land and housing issues, 15–16, 25–26 spatial structures and trip patterns (figure), 313
pollution and, 16 a three-dimensional representation of the spatial
Software distribution of population, Gauteng, South
InfraCycle software for life-cycle costing, 164 n1 Africa, and metropolitan Jakarta, Indonesia,
life-cycle costing, 145–146 2001 (figure), 317
long-term planning framework tools, 59 transportation issues, 275, 281
overlay mapping, 140 trends in, 319
RETScreen Clean Energy Project Analysis urban form, land use mix, density, connectivity,
Software, 155–157 and proximity, 70, 73–76
Solid waste. See Waste management Squamish, Canada
South Africa. See also specific cities annual energy use as an indicator in (figure), 131
informal plot subdivisions, 324 an example of an overlay map used for risk
Spatial planning. See also Urban planning assessment (figure), 138
352 | INDEX
risks on the landscape, 136–137 Chuo Ward reserve fund for school facilities,
Stern Review on the Economics of Climate Change 91–92
loss of global GDP in business-as-usual scenarios, Tokyo Waterworks, 91
17–18 value-based property taxes, 276
Stockholm, Sweden Towards Sustainable Urban Infrastructure: Assess-
brownfields development, 185 ment, Tools and Good Practice, 94
case study, 183–193 Transportation. See also Mobility of people and
city-owned land, 185 goods
cityscape (figure), 183 amount of roadway used by the same passengers
congestion and road pricing schemes, 271 traveling by car, bicycle, or bus (figure), 291
demographics of, 184 average new vehicle fuel economy standards
development strategies (box), 185 (figure), 271
ELP-related achievements in Hammarby Sjöstad balancing investments in, 283
(figure), 159 Bangalore, India, bus rapid transit system, 82–83
environmental load profile and, 103, 157–160, 183, basic and advanced stakeholder interests (table),
189–190, 192 286
future plans, 191–192 basic and advanced transport interventions
Hammarby Model, 20, 187–192 (table), 274
Hammarby Sjöstad project to improve sustainabil- Beijing: travel demand management and the legacy
ity, 20–21, 67, 92, 157, 158–159, 183, 185–192 of the Olympic Games (box), 280–281
initial first-phase results of Hammarby Sjöstad benefits of, 267
according to the Environmental Load Profile the benefits under speed conditions of select
Life-Cycle Analysis Tool (figure), 21 highway applications of intelligent transporta-
inner city of Stockholm and adjacent development tion systems (figure), 284
areas (figure), 186 bicycle- and pedestrian-friendly pathways, 24, 169,
lessons learned, 192 172, 179, 277, 279
local investment subsidy program funding across Brisbane, Australia, case study, 216–217
types of projects in Sweden (figure), 191 building block approach, 268
location of (map), 184 bus rapid transit (box), 288
profile of, 184 carbon taxes, 270, 290
public transportation, 275 charging users for costs of travel and parking, 271
Royal Institute of Technology, 103, 157, 189 cheap or free parking subsidy effects on car use, 75
Stockholm Royal Seaport project, 191–192 city structure and development patterns and,
target for all new construction to be carbon 275–276
neutral by 2030, 116 classification of intelligent transportation system
urban village model and, 313–314 market packages (figure), 284
Vision 2030, 184 CO2 emissions from a range of vehicle types
Storm water management (table), 286
flood management, 258 coordination of land use with transit, 320–321
integrated storm water management (figure), 72 cost-benefit analyses, 287
rainwater harvesting, 257–258 Curitiba, Brazil, public transit system, 22, 169,
Strategic Climate Fund 170–174, 179
Forest Investment Program, 333 Curitiba: terminal Carmo, adjacent shops, and
Pilot Program for Climate Resilience, 333 Citizenship Street (figure), 289
Scaling-Up Renewable Energy Program for demand forecasts and, 288–289
Low-Income Countries, 333–334 design and orientation of buildings and, 277
Sustainable Cities Program desired outputs, 268
European Awareness Scenario, 161 economic and financial aspects, 287–290
Sweden. See specific cities elements of a public transportation network
(table), 283
T elements of utility in models for choosing a
Tamil Nadu, India transportation mode (figure), 289
streetlamp retrofits, 245 emission-based road pricing in Milan, Italy (box),
Thailand 280
urban area contribution to GDP, 15 emissions inventories and, 290
Tianjin, China energy consumption and, 290–291
landfill gas capture project, 306, 308 environmental protection laws and, 270–271
Tokyo, Japan
INDEX | 353
an example of microdesign and walking iso- road patterns and design and, 277
chrones (figure), 279 road space allocation, 272, 290
financing mechanisms, 276–277 sector notes, 267–292
financing options, 289–290 sensitivity analyses, 287–288
flat-rate “social” bus fares, 174, 179 Singapore metro network: centered on expansion
the four pillars of sustainable urban transportation in the central business district (figure), 321
institutions (box), 273 stakeholder dynamics, 285–286
four-step transportation model, 290 the structure of the integrated public transporta-
the framework of transportation intervention tion network in Curitiba, Brazil (figure), 276
(table), 274 summary of cross-sector integration opportunities
fuel taxes and, 270 (table), 292
high-density activity and job sites and, 275 summary of select vehicle and fuel interventions
high-quality public transportation corridors, 275 (table), 285
the impact of government on land markets, the tax increment financing, 290
informal sector, and the spatial structure of time dimension and, 281
cities (table), 318 transit-oriented development (box), 278
independent inputs, 267 travel demand management, 279
infrastructure and services, 267, 281–285 type of development and the implications for
the input-output framework of transportation transportation (table), 282
interventions (figure), 268 typical objectives or desired outputs of transporta-
institutional context, 272–273 tion interventions (table), 269
institutional functions and jurisdictions in urban densities and, 277
transportation (table), 272 urban density and transport-related energy
integration opportunities, 290–291 consumption (figure), 75
intelligent transportation systems, 283–285 urban expansion and land management policies,
intersections and crossings and, 277 271
land development and value capture and, 289 urban transportation outcomes in selected cities
land management and, 276 (table), 269
land use, densities, connectivity, and access and, vehicle fleet and fuel supply, 267, 285
75–76 World-Bank financed project requirements, 291 n1
land use and travel demand, 267, 275–280
locality in the state of Colorado (figure), 277 U
macroplanning, 277, 290 UN-Habitat. See United Nations Human Settlements
managing speed, 284–285 Programme
metropolitan and local government responsibili- United Kingdom. See also specific cities
ties, 271–272 water regulations, 255
microplanning and, 277, 279 United Nations Human Settlements Programme
mobility infrastructure hierarchy (table), 282 estimate of the number of slum dwellers in
mobility management, 281, 283 developing countries, 16
new technology and, 24–25 United Nations Population Fund
overview, 267–268 study of the link between urbanization and
parking and access management and, 279 poverty, 15
peak load management and, 65 United States. See also specific states and cities
pedestrian-friendly street in Curitiba, Brazil fuel efficiency standards for vehicles, 270
(figure), 279 fuel taxes, 270
physical systems, technology, and spatial planning, integrated transport, air quality, and land use
273–285 plans, 271
policies, legislation, and regulations affecting the LEED-certified office and school buildings, 244
transport sector (table), 270 low-density, polycentric cities and, 316
policy, legislative, and regulatory framework, Urban areas. See also Urban planning; specific cities
269–272 boundaries for, 58–59
predict-and-provide transportation planning challenges cities face, 30–32
models, 53 collaborative design and decision making platform
prioritization of public transportation, 269–270, and, 53–55, 58–59
274–275 collaborative working group for, 54–55
public-private partnerships and, 289, 291 description, 53–54
ring road model and, 275, 276 emergence of the regional city as a crucial scale
road, vehicle, and fuel standards, 270 for long-term planning, 54
354 | INDEX
factors in the competitiveness of cities, 14 V
importance of the regional context, 58 Vancouver, Canada
increase in migration to, 16 CitiesPlus model, 221
institutional barriers to implementing integrated forum for transportation decision making, 273
solutions to challenges, 30 Olympic Village water system integration with
lessons from best practice cities, 23–26 energy supply systems, 69–70
limited resources and, 30 Växjö Municipality, Sweden
locked-in relationships among networks of public replacement of streetlights with high-efficiency
and private institutions and existing technolo- lamps, 228
gies and, 30–31 Victoria, Canada
as markets for the agricultural output of rural Dockside sewage treatment system, 79–80
areas, 15
misinformation about innovative practices and, 30 W
new funding opportunities, 26 Waste management
19th century urban planning models and, 31–32, aims of, 295
xviii capital investment and, 308–309
poverty issues, 15–16 carbon finance, 306
resistance to change by urban planners, 31 characteristics of waste, 297–298, 302
services and economic benefits of green areas, 37 cluster management of waste (figure), 68
shared long-term planning framework for, 55–59 collection at transfer stations, 303
stakeholders in, 54 combustion of solid waste, 299
techno-institutional complexes and, 31 composition of waste, 297–298, 302
Urban planning. See also Spatial planning; specific the composition of waste by the waste producers’
cities income (table), 297
Auckland, New Zealand, case study, 219–224 cost-effective delivery of service, 308
Brisbane, Australia, case study, 215–216 cost recovery mechanisms, 300
Curitiba, Brazil example, 21–23, 169–182 Curitiba, Brazil, case study, 176–177
effects of poor planning, 83–84 developed countries and, 25
foresight workshops, 160–164 Dhaka, Bangladesh’s composting and sale of solid
methodology and training for urban planners and waste for fertilizer, 26
managers, 326 disposal sites, 304
tools for, 109 economic and financial aspects, 306–309
traditional urban energy planning, 227 economic benefits of waste reduction, 208–209
urban land pooling and land readjustment (box), environmental and health hazards of poor
84 management, 17
waste management and, 300 environmental benefits of waste reduction, 208
Urban sustainability. See also specific cities financial sustainability and, 306
budget limitations and, 23–24 generation rates of waste, 297
Urbanization. See also specific geographic areas, government programs, 300
countries, and cities greenhouse gas emission and, 306, 308
business-as-usual scenarios and, 17–18 importance of, 295–296
business-enabling environment and, 14 an innovative waste collection approach (box), 303
challenge posed by existing urban ares, 18 the input-output framework of a waste manage-
challenge posed by rapid, new urban expansion, 18 ment system (figure), 296
challenges and opportunities, 13–19 inputs and outputs, 295
economic growth and, 14–15 institutional capacity and, 306
fundamental questions to be addressed, 18 institutional context, 300–302
geographical issues, 15 integrated materials and waste management
Internet and global telecommunications and, 15 (figure), 72
national policy role in, 14 landfill gas and, 304–305, 306, 308
organizational systems and, 14–15 landfill gas capture and use in Tianjin, China
path dependency and, 18 (box), 308
projections for, 13–14 legislative dimension, 299
resource inefficiencies and, 16–17, 24 local and regional planning tools for, 300
trade and foreign investment role, 14 monitoring and measuring programs, 300
Urbanization and Growth, 311 operational structure for, 300–301
options for, 298
overview, 295–298
INDEX | 355
performance metrics (box), 301 Canada: conservation and domestic water
policy dimension, 298–299 consumption (box), 260
private sector role, 300–302, 309 car-washing and, 259
product charges and, 306 cascading and looping water in Singapore (figure),
quantity considerations, 302 67
recycling, 303 cascading water use (figure), 66
a recycling program involving citizens (box), 303 challenges to management of, 252
regional cooperation and, 300 changes in the annual mean daily precipitation
regulatory dimension, 299–300 expected by 2100 (figure), 258
sanitary and energy systems integration in civil society role, 255
Shanghai, China, 78 combined water and energy activities in water
sector notes, 295–309 supply management (box), 262
Singapore and, 202 conservation and use efficiency interventions, 259
sludge treatment and disposal, 261, 297 construction works and, 265
sources of solid waste, 296–297 cost of water supply, 264
spatial characteristics, 302 cross-country issues, 252
stakeholder dynamics, 305 cross-sector cogeneration, 265
Stockholm, Sweden’s Hammarby Model, 20–21, 67, distributed system for wastewater treatment
187–192 (figure), 71
storage at households or commercial establish- economic and financial aspects, 264–265
ments, 302 the effect of distribution system configuration on
treatment facilities, 304 energy consumption (box), 257
useful life of materials and, 295 Emfuleni, South Africa, project and, 24, 228
user fees, 300, 306 energy efficiency and, 261–262
vehicle collection of, 302–303 an extensive solar water heating program in
waste classification and standards for collection, Rizhao, China (box), 241
treatment, and disposal, 299–300 historical background, 251
waste generation rates (table), 297 importance of, 251
waste hierarchy (figure), 298 the input-output framework in the water sector
waste reduction, 298 (figure), 252
waste reduction through stakeholder engagement, input-output model, 251
Yokohama (box), 305 institutional context, 254–255
waste system components, 302–304 the institutional setup in the water sector (figure),
Yokohama, Japan’s G30 Action Plan for waste 255
reduction, 19, 35, 206–210, 298 integrated approach to cost reduction, 81
Wastewater treatment integrated storm water management (figure), 72
cities with open drains and, 299 integration of energy and water systems and,
cost of, 264 69–70
distributed system for wastewater treatment interconnected water systems, 253
(figure), 71 metering, 259
leachate and, 299 need for the integrated management of, 251
location of treatment plants, 260–261 nonconventional water resources, 258–259
process of, 261 nonrevenue water and leak reduction, 259
pumping costs, 244 objectives for interventions, 251
sludge management and, 261 options for management of, 265
water supply and, 244–245 overview, 251–252
Water desalination peak load management, 65
cost of, 258 physical systems technology and spatial arrange-
reverse osmosis plants, 258–259 ment, 255–262
Singapore and, 199–200 policy, legislation, and regulations, 252–253
zero disposal plants, 258–259 the policy, legislative, and regulatory framework
Water resources affecting the water sector (table), 254
agriculture sector and, 259–260 policy maker role, 254
Alliance to Save Energy’s Watergy program, 64, regulator role, 254–255, 262
244, 248 n12 savings in the supply of water (figure), 264
area at risk if there were a 0.5-meter rise in sea schematic diagram of a water system (figure), 256
level in Asia (figure), 258 sector notes, 251–265
Brisbane, Australia, case study, 213, 216 service provider role, 255
356 | INDEX
shadow price of water, 262–263 primer on climate resilient cities, 98
Singapore’s management of, 195–196, 198–201 Transport Strategy, 268
sludge disposal, 261 transportation project requirements, 291 n1
stakeholder dynamics and accountability triangle Urban Rail Workshop, 291 n2
(figure), 264 World Development Report 2009: Reshaping
stakeholders and, 262–264 Economic Geography, 311
Stockholm, Sweden’s Hammarby Model and, World Bank Group
20–21, 67, 187–192 Carbon Finance Unit, 104, 335–336, 337
storm water management, 257–258 Carbon Partnership Facility, 335, 337
supply and demand management, 259–260 citywide greenhouse gas emission reduction and
undesirable impacts, 251–252 Carbon Finance (box), 337
wastewater reuse, 258 Climate Investment Funds, 333
wastewater treatment, 260–261 composition of, 106 n1
water and wastewater pumping costs, 244 financial tools, 104–105, 329–334
water desalination, 199–200, 258–259 financing and services (table), 332
water heaters and, 259 Global Environment Facility, 105, 333
water sector management systems (table), 253 guarantees (table), 332
water supply systems, 256–257 International Finance Corporation and, 104,
water tariffs, 196, 200–201, 262–264 331–332
the Watergy case study in Fortaleza, Brazil (box), market-based instruments, 335–336
263 market-based instruments: Carbon Finance and
Water supply systems the Carbon Partnership Facility (table), 336
distribution system spatial configuration, 256 multidonor funds, 333–334
the effect of distribution system configuration on multidonor funds: Climate Investment Funds
energy consumption (box), 257 (table), 334
groundwater and water wells, 256 multidonor funds: The Global Environment
schematic diagram of a water system (figure), 256 Facility (table), 335
spatial distribution of demand centers, 256 Multilateral Investment Guarantee Agency, 105,
storage tanks, 256–257 331
water pumps, 256 sovereign guarantees for credit, 106 n2
water treatment plants, 256 using various climate change funds simultane-
West Coast Environmental Law ously or sequentially (box), 337
integration of a trail system and other forms of World Bank Group financing: joint International
infrastructure, 70 Finance Corporation-World Bank subnational
uses of a pedestrian pathway (figure), 71 finance (table), 331
Whistler, Canada World Bank-International Development Associa-
water consumption benchmarks, 130 tion financing, 329–330
Working groups World Bank loans and International Development
balanced membership for, 111–114 Association credit: specific investment loans
basic rules for, 111 (table), 330
champions and, 113 World Bank loans and International Development
collaborative design and decision making and, 53, Association credit: subnational development
54–55, 111–114 policy lending (table), 330
the collaborative model (figure), 112 World Development Report 2009: Reshaping Econom-
the collaborative working group (figure), 113 ic Geography, 311
the core team and sector advisers (figure), 114 World Health Organization
secretariats and, 113–114 estimates of the number of people in Asia who are
Workshops. See Charettes exposed to outdoor air pollution, 17
World Bank Worldwatch Institute
estimated cost of ambient air pollution in China’s City of Rizhao, China, case study, 69
urban areas, 17, 228
financial resources for Eco2 Cities Initiative, Y
104–105 Yokohama, Japan
funding for the Shanghai Municipal Sewage background and approaches to waste reduction,
Company’s plans to construct a large-scale 206–207
incineration plant for sludge drying, 78 case study, 205–210
National Eco2 Fund Program, 47, 48 Climate Change Action Policy, 210, 210 n4
operational guide excerpt, 273
INDEX | 357
CO2 reduction through waste reduction, fiscal relative size of, 205, 210 n1
years 2001/02-2007/08 (table), 209 Resources and Wastes Recycling Bureau, 205, 209
demand-side management and, 62 3Rs program, 205
description, 205 “waste” definition, 210 n2
economic benefits of the efficient use of resources, waste flow in Yokohama, fiscal year 2007/08
209 (figure), 208
economic benefits of waste reduction, 208–209, waste in Yokohama, fiscal years 2001–2007/08
309 (table), 207
environmental benefits of waste reduction, 208 waste reduction in Yokohama, fiscal years
G30 Action Plan for waste reduction, 19, 35, 2001/02-2007/08 (figure), 208
206–210, 298 waste reduction target, 207
incinerator closures, 205, 208, 210 n2 waste reduction through stakeholder engagement,
lessons learned, 210 Yokohama (box), 305
location of (map), 206 waste separation categories, 206–207
other cities in Japan selected for the Eco2 Cities waterfront (figure), 205
Initiative, 210 n3
population growth, 206 Z
the power of stakeholder engagement in Yoko- Zimmerman, Sam
hama, fiscal years 2001/2007 (table), 206 transportation issue discussion, 291 n2
private sector and civil society as stakeholders in Zoning issues
waste reduction, 205, 209, 210 land use, 325
profile of, 206 mobility of people and goods, 312
public awareness campaigns for waste reduction
and separation (figure), 207
358 | INDEX
ECO-AUDIT
Environmental Benefits Statement
U rbanization in developing countries is a defining feature of the 21st century. About 90 percent of global
urban growth now takes place in developing countries, and between 2000 and 2030, the entire built-up
urban area in developing countries is projected to triple. Global urban expansion poses a fundamental
challenge and opportunity for cities, nations and the international development community. It sets forth
before us a once-in-a-lifetime opportunity to plan, develop, build and manage cities that are simultaneously
more ecologically and economically sustainable. We have a short time horizon within which to affect the
trajectory of urbanization in a lasting and powerful way. The decisions we make together today can lock-in
systemic benefits for current and future generations. The Eco2 Cities Initiative appears at a critical historic
juncture in relation to this challenge and opportunity.
From the foreword by Kathy Sierra, Vice President, Sustainable Development, The World Bank, and
James W. Adams, Vice President, East Asia and Pacific Region, The World Bank.
ISBN 978-0-8213-8046-8
Supported by the Australian Government, AusAID
SKU 18046