THE WORLDWATCH INSTITUTE

20072007 STATESTATE OFOF THETHE WORLDWORLD Our UrbanUrban FuturFuturee

2007 STATE OF THE WORLD Our Urban Future

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Please look for the symbol above throughout the chapters for live links to locations in Google Maps. Also, please note that the Table of Contents is clickable, for easier navigation through this PDF.

Other Norton/Worldwatch Books

State of the World 1984 through 2006 (an annual report on progress toward a sustainable society)

Vital Signs 1992 through 2003 and 2005 through 2006 (a report on the trends that are shaping our future)

Saving the Planet Who Will Feed China? Beyond Malthus Lester R. Brown Lester R. Brown Lester R. Brown Christopher Flavin Gary Gardner Sandra Postel Tough Choices Brian Halweil Lester R. Brown How Much Is Enough? Pillar of Sand Alan Thein Durning Fighting for Survival Sandra Postel Michael Renner Last Oasis Vanishing Borders Sandra Postel The Natural Wealth of Nations Hilary French Full House David Malin Roodman Eat Here Lester R. Brown Brian Halweil Hal Kane Life Out of Bounds Chris Bright Power Surge Inspiring Progress Christopher Flavin Gary T. Gardner Nicholas Lenssen

2007 STATE OF THE WORLD Our Urban Future

A Worldwatch Institute Report on Progress Toward a Sustainable Society

Molly O’Meara Sheehan, Project Director Zoë Chafe Danielle Nierenberg Christopher Flavin Janice Perlman Brian Halweil Mark Roseland Kristen Hughes David Satterthwaite Jeff Kenworthy Janet Sawin Kai Lee Lena Soots Lisa Mastny Peter Stair Gordon McGranahan Carolyn Stephens Peter Newman Linda Starke, Editor

W . W . N O R TON & COMPANY NEW YORK

Copyright © 2007 by Worldwatch Institute 1776 Massachusetts Avenue, N.W. Washington, DC 20036 www.worldwatch.org All rights reserved. Printed in the United States of America.

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Worldwatch Institute Board of Directors

Øystein Dahle Cathy Crain Nancy Hitz Chairman UNITED STATES UNITED STATES NORWAY James Dehlsen John McBride Thomas Crain UNITED STATES UNITED STATES Vice Chairman and Treasurer Christopher Flavin Akio Morishima UNITED STATES UNITED STATES

Larry Minear Robert Friese Izaak van Melle Secretary UNITED STATES THE NETHERLANDS UNITED STATES Lynne Gallagher Wren Wirth Geeta B. Aiyer UNITED STATES UNITED STATES UNITED STATES Satu Hassi Emeritus: Adam Albright FINLAND Abderrahman Khene UNITED STATES ALGERIA Jerre Hitz L. Russell Bennett UNITED STATES Andrew E. Rice UNITED STATES UNITED STATES

Worldwatch Institute Staff

Erik Assadourian Brian Halweil Darcey Rakestraw Research Associate Senior Researcher Communications Manager Courtney Berner Alana Herro Mary Redfern Friends of Worldwatch Staff Writer Foundations Manager Program Manager Suzanne Hunt Michael Renner Zoë Chafe Biofuels Program Manager Senior Researcher Staff Researcher Stephanie Kung Lyle Rosbotham Steve Conklin Research Assistant Art Director Web Manager Ling Li Janet Sawin Barbara Fallin China Fellow Senior Researcher Director of Finance and Yingling Liu Molly O’Meara Sheehan Administration China Program Manager Senior Researcher Christopher Flavin Lisa Mastny Patricia Shyne President Senior Editor Director of Publications Hilary French and Marketing Danielle Nierenberg Senior Advisor for Programs Research Associate Georgia Sullivan Gary Gardner Vice President Laura Parr Director of Research Development Assistant Andrew Wilkins Joseph Gravely Assistant to the President Administrative Assistant Publications Fulfillment Tom Prugh Editor, World Watch

Worldwatch Fellows

Molly Aeck Eric Martinot Payal Sampat Senior Fellow Senior Fellow Senior Fellow Chris Bright Mia McDonald Victor Vovk Senior Fellow Senior Fellow Senior Fellow Seth Dunn Sandra Postel Senior Fellow Senior Fellow

Acknowledgments

The Worldwatch Institute could not assem- the United Nations Fund and ble a book as ambitious as State of the World the Winslow Foundation. 2007: Our Urban Future without an amaz- In addition, Worldwatch’s research pro- ing global network. Over the past year, as we gram is backed by a roster of organizations. We have sought to understand the disparate real- thank the following for their generous support ities of our rapidly urbanizing world, we over the last year: Blue Moon Fund, have relied on guidance and insights from Community Trust, Energy Future Coalition every continent. and Better World Fund, Ford Foundation, We owe much to the tremendous support Goldman Environmental Prize, W. K. Kel- and leadership of our Board of Directors. logg Foundation, Marianists of the USA, This group consists of Chairman Øystein Noble Venture Gift Fund of the Community Dahle, Vice Chair and Treasurer Tom Crain, Foundation Serving Boulder County, Nat- Secretary Larry Minear, President Christopher ural Resources Defense Council, Prentice Flavin, Geeta B. Aiyer, Adam Albright, L. Foundation, V. Kann Rasmussen Foundation, Russell Bennett, Cathy Crain, James Dehlsen, Rockefeller Brothers Fund, Shared Earth Robert Friese, Lynne Gallagher, Satu Hassi, Foundation, Shenandoah Foundation, Wallace Jerre Hitz, Nancy Hitz, John McBride, Akio Genetic Foundation, Wallace Global Fund, Morishima, Izaak van Melle, Wren Wirth, The Johanette Wallerstein Institute, and the and Emeritus members Abderrahman Khene Governments of Germany and Norway. and Andrew E. Rice. In 2006, the World- We are also indebted to our international watch Board of Directors named World- network of publishing partners, who bring watch’s conference room for Andy Rice for his State of the World to a global audience. They years of thoughtful leadership. provide advice, translation, outreach, and dis- State of the World would not exist were it tribution assistance. We give special thanks not for the generous financial contributions to Univeridade da Mata Atlântica in Brazil; of our many supporters. More than 3,500 Global Environmental Institute in China; Oy Friends of Worldwatch fund nearly one third Yliopistokustannus University Press in Fin- of the Institute’s operating budget. land; Germanwatch, Heinrich Böll Founda- This State of the World report is part of a tion, and Westfälisches Dampfboot in larger Worldwatch project analyzing the his- Germany; Evonymos Ecological Library in toric transition to a world in which most Greece; Earth Day Foundation in Hungary; people live in urban areas. We greatly appre- Winrock International in India; World Wide ciate the funds provided for this venture by Fund for Nature and Edizioni Ambiente in

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STATE OF THE WORLD 2007 Acknowledgments

Italy; Worldwatch Japan; Worldwatch Norden Contributors to State of the World also at IVL Swedish Environmental Research Insti- appreciate the information and guidance given tute in Scandinavia; Center of Theoretical by prominent and knowledgeable individuals Analysis of Environmental Problems and from around the world. We were fortunate to International Independent University of Envi- receive help from Sarika Agrawal, Eva Anisko, ronmental and Political Sciences in Russia; Eduardo Athayde, Carine Barbier, Sheridan Korean Federation for Environmental Move- Bartlett, Timothy Beatley, Marc Berthold, ment in South Korea; Politika Newspapers Susan Blaustein, Sarah Brachle, Jeb Brug- in Serbia; Centre UNESCO de Catalunya for gman, Yves Cabannes, Majora Carter, Kiran the Catalan version and Fundacion Hogar Chhokar, Toshiko Chiba, Billy Cobbett, del Empleado and Editorial Icaria for the Penny Cuff, Glenn D’Alessio, Carlton Eley, Castilian version in Spain; L’État De La Gordon Feller, Greg Franta, Dan Goodman, Planète in , which also connects us Rajat Gupta, William Holmberg, Tim Honey, to France and French-speaking ; Tai- Dan Hoornweg, Me’An Ignacio, Tetsunari wanwatch; Turkiye Erozyonla Mucadele, Aga- Iida, Min Jin, Dan Kammen, Gavin Killip, clandima ve Dogal Varliklari Koruma Vakfi Bowdin King, Mike Kossey, Benoit Lambert, (TEMA) in Turkey; and Earthscan/James & Frannie Léautier, Peter Marcotullio, Dale James in the United Kingdom. Medearis, Richard Munson, Nguyen Le Worldwatch’s longest publishing relation- Quang, Yoshi Nojima, Soki Oda, David ship is with W. W. Norton & Company in Painter, Scott Paul, Richard Perez, Blair New York. Thanks to their team—especially Ruble, Mona Serageldin, Jutta Schmieder, Amy Cherry, Leo Wiegman, Nancy Palmquist, Parin Shah, Jacob Songsore, Freyr Sverrisson, Lydia Fitzpatrick, and Anna Oler—State of the Kaarin Taipale, Carmelle J. Terborgh, Thi World, Vital Signs, and other Worldwatch Le Thi Minh, Ibrahim Togola, John Tom- books make it into bookstores and classrooms linson, Masami Toyofuku, John Waugh, Marc across the United States. Weiss, Elizabeth Westrate, Jorge Wilheim, Authors of this year’s State of the World Angelika Wirtz, and Kurt Yeager. benefited from a distinguished international We are particularly grateful for overall panel of reviewers who took time from hec- project support volunteered by Jill Greaney, tic schedules to read draft chapters. For their a former lawyer and student of urban plan- penetrating comments, we thank Donald ning with keen analytical skills and a passion Aitken, Madhavi Malalgoda Ariyabandu, Xue- for the urban environment. In addition to mei Bai, John Byrne, Anne Carlin, Olufunke carefully reviewing the first draft of the man- Cofie, Jason Corburn, Rob de Jong, Pay uscript, Jill scoured major newspapers and the Drechsel, Sandro Galea, Peter V. Hall, Wal- Internet to find relevant articles, drafted text ter Hook, Paul Kerz, Peter Kimm, Günter on urban development, and translated doc- Langergraber, Kai Lee, Michael Levenston, uments from French. Jan Lundqvist, Sean Markey, Eric Martinot, For this edition of State of the World, we Barjor Mehta, Michaela Oldfield, Mark enlisted a record number of gifted scholars Pelling, Kami Pothukuchi, Susan Roaf, Tom and leading thinkers on urban issues from Roper, David Satterthwaite, Alan Silberman, outside the Institute. Kai Lee of Williams Jac Smit, Eva Sternfeld, John Twigg, Timeyin College in Massachusetts wrote and revised Uwejamomere, Christine Wamsler, and sev- our introductory chapter with alacrity and eral anonymous reviewers. also helped focus the wide-ranging discussions viii

STATE OF THE WORLD 2007 Acknowledgments of other chapters. David Satterthwaite of the versity in Sierra Leone and Olufunke Cofie of International Institute for Environment and the International Water Management Institute Development in London gave welcome guid- in Accra, Ghana, put together the article on ance to the project as a whole, and with his Freetown. Dana Cuff of the University of colleague Gordon McGranahan contributed California at Los Angeles wrote about her the chapter on water and sanitation. Peter hometown. Xuemei Bai of the Common- Newman of Murdoch University in wealth Scientific and Industrial Research endured late-night conference calls that Organization in Australia prepared the story bridged a 12-hour time difference to discuss about Rizhao, China. Tom Roper, a former the chapter on transportation he prepared Minister in the Victoria Government in Aus- with colleague Jeff Kenworthy. Kristen tralia, wrote the piece. Ivana Hughes at the University of Delaware wrote Kildsgaard of IVL Swedish Environmental part of the chapter on energy. Carolyn Research Institute gave us the Malmö story. Stephens, who teaches at the London School Biko Nagara of Stanford University wrote of Hygiene & Tropical Medicine and the about Jakarta, the of his birth. Kalpana Federal University of Paraná in Brazil, con- Sharma, Deputy Editor of The Hindu, cor- tributed the chapter on public health. Her responded from Mumbai. Architect Eva coauthor Peter Stair, a former MAP Fellow at Stanˇková of the Vanˇkovka Civic Association Worldwatch, is now at the University of Cal- sent us the story about Brno. Dana Firas, a ifornia in Berkeley. Mark Roseland of Simon Jordanian author on sustainable develop- Fraser University in , with the assis- ment, wrote about Petra. And Rasna Warah, tance of Lena Soots, contributed the chapter a freelance writer in Kenya and editor of UN- on local economies and helped organize a HABITAT’s State of the World’s discussion at the World Urban Forum in Van- 2006/07, sent us the story from Nairobi. couver in June 2006, where State of the World During the summer of 2006, the State of authors received feedback on their outlines the World team was fortified by a crew of from an international audience. Janice Perl- exceptionally talented research assistants and man, founder and president of the Mega- interns. Kai Lee, author of Chapter 1, Cities Project in New York, took time away recruited Paaven Thaker to become one of from writing a book on Rio de Janeiro to pre- Worldwatch’s youngest and most enthusias- pare the chapter on urban poverty. tic interns. His assistant at Williams College, We thank the wonderful group of acade- Fathimath Musthaq, found additional data for mics, journalists, and urbanists who con- the first chapter. Biko Nagara helped research tributed the two-page stories on individual Chapter 2 and commissioned the Brno story. cities that appear between each chapter. Char- Dana Artz lent some of her prodigious energy lie Benjamin of Williams College collabo- to Chapter 3. Monideepa Talukdar, work- rated with colleagues in Mali, Aly Bocoum of ing from her university in Louisiana, aided the the Near East Foundation and Aly Bacha Australia-based authors of Chapter 4. Hanna Konaté of Réseau GDRN5, to write the Tim- Vovk tracked down information for Chapter buktu piece. The Lagos story was contributed 5, as did Stephanie Kung, who joined World- by Ayodeji Olukoju of the University of watch as a Stanford MAP Fellow in 2006. Lagos. Rob Crauderueff of Sustainable South Angela Choe ferreted out books and data Bronx wrote about Loja, Ecuador, where he for Chapter 6. Corey Tazzara used his inti- once lived. Thomas Winnebah of Njala Uni- mate knowledge of Georgetown University

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STATE OF THE WORLD 2007 Acknowledgments

Library to bolster Chapter 7 and the Year in tor of Publications and Marketing, moved Review timeline. Working from Canada, Can- swiftly to put authors in touch with World- dace Bonfield helped with Chapter 8. Chap- watch’s international partners. Tom Prugh, ter 9 owes much to the dedication and speedy editor of World Watch magazine, weighed in work of Kenro Kawarazaki, whose thorough on Chapters 4 and 5. Amid many other activ- research also turned up useful information for ities, Darcey Rakestraw, Communications Chapters 1 and 4. Matt Friese jumpstarted Manager, helped organize a roundtable dis- research for the timeline, and Mark Friese cussion with UN-HABITAT Executive Direc- assisted with our Campus Greening Initiative. tor Anna Tibaijuka. Research Associate Erik In the fall of 2006, more interns enlisted Assadourian not only secured the Interna- to fine-tune the electronic version of this tional Student House in Washington, D.C., book as well as the companion website, for meetings that included discussion of this www.worldwatch.org/urban. Patrick Cyrus book, he also played a role in recruiting Gilman and Semiha Caliskan took time out interns and linking the Institute to interna- from their studies to locate satellite images tional partners. of many of the cities featured in this book on Our development team, which maintains Google Earth and other online sources. Worldwatch’s ties to its supporters, also Neelam Singh, who aided us with the pre- actively shaped this book. We welcomed the vious edition, returned to help us produce creativity of Mary Redfern, Manager of Foun- web content. dation Relations. Courtney Berner, Friends of Buoyed by these marvelous funders, advis- Worldwatch Program Manager, researched ers, volunteers, and colleagues, the World- the achievements of local governments led by watch staff brings dedication to State of the forward-thinking mayors. We were also World. The Institute would not be able to boosted by Laura Parr, Development Assis- function without Director of Finance and tant and Assistant to Worldwatch’s President, Administration Barbara Fallin, who has kept and Drew Wilkins, Administrative Assistant the office running smoothly for nearly 18 and jack of all trades. Before leaving in the years. Like Barbara, Joseph Gravely joined the summer of 2006, Director of Development Institute in 1989 and quickly became integral John Holman helped build the Institute’s to its daily operation, taking charge of mail base of support. and publication fulfillment. After many years New staff members lifted morale. Alana of keeping information flowing between Herro joined us as the Staff Writer for e2 Worldwatch and the world, Joseph retired (eye on the earth), our news service launched in December 2006. Among the other notable in 2006. Just as this book was going to press, changes on the Worldwatch staff this year, we welcomed Ling Li as Worldwatch’s new Librarian Lori Brown left to work full-time on China Fellow and Ali Jost as interim Com- her organic farm after 13 years of unearthing munications Manager. much of the data used in the State of the This edition of State of the World owes World series. much to Research Director Gary Gardner. Early discussions of this book were Although Gary’s recent book, Inspiring enriched by the participation of many staff Progress, kept him from writing a chapter in members, including Vice President Georgia this volume—a first in his 12 years at the Sullivan, who has inspired the Institute with Institute—he provided careful reviews of many her vigorous leadership. Patricia Shyne, Direc- chapters, Spanish translation when needed, x

STATE OF THE WORLD 2007 Acknowledgments and even some last-minute research assistance. Linda has devoted her autumn days—and Other researchers pitched in to improve nights and weekends—to State of the World. the book. Hilary French, Senior Advisor for Matching Linda’s pace was Worldwatch’s Art Programs, shared thoughts on the project, Director Lyle Rosbotham, who rapidly turned reviewed several chapters, and forged part- the manuscript into eye-catching page proofs. nerships with reviewers and other experts. For many years, Worldwatch was aided by Senior Researcher Michael Renner’s prob- Magnar Norderhaug who founded and led ing questions strengthened Chapters 4, 6, our Scandinavian affiliate Worldwatch Nor- 8, and 9. Yingling Liu, China Program Man- den. He crafted Worldwatch research into ager, commented on chapters and connected op-eds, letters to the editor, and articles, skill- us to Chinese sources of information, as did fully linking Institute research to the issues of China Fellow Zijung Li, who joined the the day, and helping to make Worldwatch World Bank when she completed her fellow- Norden an authoritative voice on environ- ship in September 2006. Suzanne Hunt, Bio- mental sustainability in Scandinavia. Magnar fuels Program Manager, sharpened authors’ passed away this year after a long illness. We arguments with her incisive comments on will miss him greatly. Chapters 4 and 5. Before leaving in the fall for The circle of life teaches us that loss is not the International Resources Group, Biofuels the last word. Last year, we noted the arrival Project Assistant Lauren Sorkin shared her of Finnían Freyson Sawin, whom we thank for contacts in European cities. Lisa Mastny took the joy he has brought us during visits to time away from editing World Watch Maga- the office and the sacrifices he endured so his zine and other projects to compile the time- mother could contribute to this book. We line in this book. now welcome Amel Rakestraw Benhamouda, Beyond contributing research and writing born in September 2006 to Darcey Rakestraw to Chapter 7, Research Assistant Peter Stair and Atef Benhamouda. Her tiny face reminds bolstered the entire book by recruiting interns, us of our hopes for a healthy, peaceful, and organizing discussions with urban experts, equitable future. and working with Web Manager Steve Conklin to create an in-house Web site for Molly O’Meara Sheehan authors to share information. Peter, who Project Director joined Worldwatch as a MAP Fellow in 2005, is now pursuing his interests in urban planning and public health in Berkeley. Worldwatch Institute As always, we are indebted to indepen- 1776 Massachusetts Ave., N.W. dent editor Linda Starke, who cleaned up Washington, DC 20036 the rough drafts of our far-flung correspon- [email protected] dents with breathtaking speed. Since 1983, www.worldwatch.org

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Contents

Acknowledgments vii 4 Greening Urban Transportation 66 Peter Newman and Jeff Kenworthy List of Boxes, Tables, and Figures xiv LOS ANGELES: End of Sprawl 86

MELBOURNE: Reducing a City’s Forewords Carbon Emissions 88 Anna Tibaijuka Executive Director, UN-HABITAT xvii 5 Energizing Cities 90 Jaime Lerner Janet L. Sawin and Kristen Hughes Former Governor of Paraná, Brazil, RIZHAO: Solar-Powered City 108 and former Mayor of Curitiba xx MALMÖ: Building a Green Future 110 Preface 6 Reducing Natural Disaster Christopher Flavin Risk in Cities 112 President, Worldwatch Institute xxiii Zoë Chafe

State of the World: xxvii JAKARTA: River Management 130 A Year in Review MUMBAI: Policing by the People 132 Lisa Mastny 7 Charting a New Course for 1 An Urbanizing World 3 Urban Public Health 134 Kai N. Lee Carolyn Stephens and Peter Stair 148 TIMBUKTU: Greening the Hinterlands 22 NAIROBI: Life in Kibera 150 LOJA: Ecological and Healthy City 24 PETRA: Managing Tourism

2 Providing Clean Water and 8 Strengthening Local Economies 152 Sanitation 26 Mark Roseland with Lena Soots David Satterthwaite and Gordon BRNO: Brownfield Redevelopment 170 McGranahan 9 Fighting Poverty and LAGOS: Collapsing 46 Environmental Injustice in Cities 172 Janice E. Perlman with 3 Farming the Cities 48 Molly O’Meara Sheehan Brian Halweil and Danielle Nierenberg Notes 191

FREETOWN: Urban Farms After a War 64 Index 241

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List of Boxes,Tables,and Figures

Boxes 1 An Urbanizing World 1–1 Transitions of Modernity 5 1–2 Circular Urban Metabolism in 19 1–3 The Mayors’ Asia-Pacific Environmental Summit 20 2 Providing Clean Water and Sanitation 2–1 Toilet Blocks in India Designed and Managed by the Community 37 3 Farming the Cities 3–1 Urban Agriculture and Wastewater Use 54 3–2 Mining Organic Waste 57 3–3 Bees and Worms: A City’s Smallest Livestock 58 4 Greening Urban Transportation 4–1 Is the Motorization of Chinese Cities a Threat to the World? 71 4–2 Bus Rapid Transit: The Unfolding Story 80 4–3 São Paulo Bicycle Refuge 82 5 Energizing Cities 5–1 Reducing Construction’s Environmental Impact 92 5–2 “Greening” Special Events 100 6 Reducing Natural Disaster Risk in Cities 6–1 Defining Disasters 114 6–2 Hazards, Vulnerabilities, and Risk Management 115 6–3 Banda Aceh and the Tsunami 118 6–4 Selected Examples of Disaster Prevention Projects 123 6–5 Coping Strategies in Urban Slums 124 7 Charting a New Course for Urban Public Health 7–1 The Struggle to Collect Good Data on Health in Cities 135 7–2 Cities Out of Balance 136 8 Strengthening Local Economies 8–1 Emilia Romagna—A Cooperative Economy 157 8–2 International Co-operative Alliance Principles for Co-ops 158 8–3 The Power of Microcredit—A Personal Story 161 8–4 Vancity Credit Union, Vancouver, Canada 162 xiv

STATE OF THE WORLD 2007 List of Boxes,Tables, and Figures

8–5 A Women’s Fair Trade Sewing Cooperative in Nicaragua 164 9 Fighting Poverty and Environmental Injustice in Cities 9–1 Violence in Rio: Undermining the Urban Poor 175 9–2 The Spread of Participatory Budgeting 181 9–3 Circular Technologies in Johannesburg, South Africa 186 9–4 Planning for the Public Interest in São Paulo, Brazil 187

Tables 1 An Urbanizing World 1–1 Urban by Region, 1950–2000, with Projection for 2010 7 1–2 Sustainability Indicators for Ghana, Mexico, , Accra, and Tijuana 12 1–3 Cost of 100 Liters of Water in Accra and East Africa from Different Sources 16 2 Providing Clean Water and Sanitation 2–1 Number and Share of Urban Dwellers Lacking Adequate Provision of Water and Sanitation, by Region, 2000 27 2–2 Ladder of Water Supply Improvement Options for Households 33 2–3 Different Sanitation Options and Costs 35 3 Farming the Cities 3–1 Multiple Uses and Benefits of Urban Agriculture 55 4 Greening Urban Transportation 4–1 Problems in Cities Related to Cars 73 4–2 Average Fuel Efficiency and Occupancy by Mode in 32 Cities, 1990 73 4–3 Freeways in 84 Cities, Summary by Country or Region, 1995 75 5 Energizing Cities 5–1 Selected Municipal Energy Targets 103 5–2 Roadmaps for Powering Cities Locally 106 6 Reducing Natural Disaster Risk in Cities 6–1 Ten Most Populous Cities in 2005 and Associated Disaster Risk 116 6–2 Selected Urban Disasters, 1906–2006 117 7 Charting a New Course for Urban Public Health 7–1 Air Types and Effects and Urban Pollution Hotspots 138 8 Strengthening Local Economies 8–1 General Sales of Fair Trade Labeled Products 163

Figures 1 An Urbanizing World 1–1 Urban Agglomerations Projected to Exceed 10 Million Population by 2015 8 1–2 Urban Population by Size Class of Settlement 9

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STATE OF THE WORLD 2007 List of Boxes,Tables, and Figures

1–3 Challenges to Urban Sustainability in Relation to Wealth 14 4 Greening Urban Transportation 4–1 Private Passenger Transport Energy Use in 15 Cities, 1995 69 4–2 Proportion of Motorized Passenger-kilometers on in 15 Cities, 1995 69 4–3 Proportion of Total Daily Trips by Nonmotorized Modes in 15 Cities, 1995 70 4–4 Urban Density in 15 Cities, 1995 70 4–5 Urban Density versus Private Transport Energy Use in 58 Higher-Income Cities, 1995 72 4–6 Urban Density versus Private Transport Energy Use in Local Government Areas in , 2002 72 4–7 Average Road Traffic Speed versus Private Transport Energy Use in 58 Higher-income Cities, 1995 75 6 Reducing Natural Disaster Risk in Cities 6–1 People Affected or Killed by Natural Disasters Worldwide, 1986–2005 113 7 Charting a New Course for Urban Public Health 7–1 The Urban Double Burden of Disease in Kolkata, India 139

Units of measure throughout this book are metric unless common usage dictates otherwise. xvi

Foreword Anna Tibaijuka Executive Director, UN-HABITAT

When I first came to UN-HABITAT with a most of which are in the developing world. As background in agricultural economics and cities sprawl, turning into unmanageable international trade negotiations, I brought my , their expanding footprint can own set of professional and personal preju- be seen from space. These hotbeds of pollu- dices. Like many other development theorists, tion are a major contributor to climate I felt that although urban development was change. important, rural development was the first pri- Though has stabilized in the ority. Like many people of my generation in Americas and , with about 75 percent Africa and around the world, I thought of of the population living in urban areas, Africa urban areas as a necessary evil. Though they and Asia are in for major demographic shifts. were economic centers, cities led to over- Only about 35 percent of their populations crowding, pollution, and, inevitably, slums. are urban, but it is predicted that this figure I had given little thought to the possibil- will jump to 50 percent by 2030. The result ities, even less to the problems and process of is already there for all to see: chaotic cities sur- urbanization. However, in the years since I rounded by slums and squatter settlements. became Executive Director of UN-HABI- Of the 3 billion urban dwellers today, it is TAT I have traveled far and wide. I have estimated that 1 billion are slum dwellers. experienced firsthand the appalling results of What is worse, if we continue with business rapid chaotic urbanization. as usual that figure is set to double by 2030. In city after city, I have been stranded in If ever there was a time to act, it is now. traffic jams; I have visited men in hospitals suf- Though cities are important engines of fering from preventable diseases caused by growth and provide economies of scale in industrial pollution; I have seen slum dwellers the provision of services, most of them are living in conditions that do not bear describ- environmentally unsustainable. In addition, in ing and met young women who were raped this age of increasing insecurity, with more on their way to the closest public toilet shared than 50 percent of their residents living in by over 500 people; I have walked through slums without adequate shelter or basic ser- flattened terrain that once housed whole vices, many cities are rapidly becoming socially communities destroyed by floods and other unsustainable. natural disasters. The U.N. General Assembly first explic- Whereas in 1950 New York and itly cited its concern at the “deplorable world were the only cities with more than 10 mil- housing situation” in 1969, and it declared lion people, today there are 20 megacities, human settlements a priority for the twenty-

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STATE OF THE WORLD 2007 Foreword fifth anniversary of the United Nations in industrialists and slum dwellers, all recog- 1971. The next year, the first U.N. confer- nized that their combined efforts are required ence on the human environment, in Stock- to overcome the urban crisis. holm, marked a conceptual shift from global As we struggle to change our cities, authors environmental degradation to its causes— and journalists are ever more critical. Charles largely urbanization and the impact of Dickens, Emile Zola, Jacob Riis, and Edward human settlements. Mayhew were instrumental in improving the In 1977, the Secretary-General of the first urban policies of their day. Today, researchers U.N. Human Settlements Conference (Habi- and authors of reports like this State of the tat I), Enrique Peñalosa, asked “whether World 2007 help sensitize the larger public to urban growth would continue to be a spon- the major issues of our time. taneous chaotic process or be planned to Surprisingly, there was no commonly meet the needs of the community.” Yet the agreed-upon definition of slums until 2003, urban agenda never received the full attention when the United Nations published Global it deserved. For decades now, donors have Report on Human Settlements: The Challenge given priority to rural development. The of Slums. Where there was a lack of informa- Human Settlements Foundation, established tion about urban indicators, there is now a net- at the same time as UN-HABITAT to fund work of Global Urban Observatories. The slum upgrading, was never financed. Perhaps World Bank, with UN-HABITAT, has estab- this was because in 1977, only one third of the lished the Cities Alliance that coordinates world lived in urban areas. donor activity in urban areas, particularly in Today, urbanization is being taken increas- slum upgrading. The United Nations has also ingly seriously. In 1996, at Habitat II, 171 launched major campaigns to promote secu- countries signed the Habitat Agenda, a com- rity of tenure and better urban governance. prehensive guide to inclusive and participatory The political machinery is finally beginning urban development. In 2000, concerned to recognize urbanization. In 2006, the about the number of people who were being United States Senate held it first hearing on marginalized by the rapidly globalizing econ- African urbanization, while the British Par- omy, world leaders committed themselves to liament held its first debate on urbanization the Millennium Development Goals. Many of in developing countries. United Cities and these address the living conditions of the Local Governments, founded in 2004, has urban poor, in particular Targets 9 and 11 become a legitimate partner in the interna- within Goal 7 on environmental sustainabil- tional arena. ity. In 2001, the General Assembly passed a These kinds of international, regional, and resolution that promoted UN-HABITAT local political institutions help create legiti- from a center into a full-fledged U.N. pro- macy for change; more important, they pro- gram and called on UN-HABITAT to estab- vide a locus for interventions. If our lish the World Urban Forum as a think tank campaigns of advocacy and awareness do not on all things urban. translate into action, we will have failed. With more than 10,000 delegates, the There are signs of hope. There are more third session of the World Urban Forum, in and more best practices showing what mea- Vancouver in 2006, proved that people are sures can be taken to improve housing con- increasingly concerned about the future of ditions for the urban poor while enforcing human settlements. Ministers and mayors, environmental laws. Many cities in Southeast xviii

STATE OF THE WORLD 2007 Foreword and South Asia, in particular, are beginning recently established the African Ministerial to reduce the share of their people living in Conference on Housing and Development. urban poverty. Though all Habitat Agenda At the same time, AFRICITIES has been at partners have contributed to this improve- the forefront of organizing local authorities ment, it has been spearheaded by central on the continent. governments and local authorities. Their This is just the beginning. As I walk political will has spurred increased invest- through the slums of Africa, I find it hard to ment in making cities and towns sustainable. witness children suffering under what can As an African, living in the world’s fastest only be described as an urban penalty. I am urbanizing continent, I am aware that we astonished at how women manage to raise need to persuade everyone—from presidents their families under such appalling circum- to ordinary policymakers—of the urgency of stances, without water or a decent toilet. The urban issues. The Commission for Africa, of promise of independence has given way to the which I was a member, highlighted urban- harsh realities of urban living mainly because ization as the second greatest challenge con- too many of us were ill prepared for our fronting the continent after HIV/AIDS. As we urban future. Many cities are confronting move into the urban age, we have to change not only the problems of urban poverty, but how we see the world, how we describe it, and the very worst of environmental pollution. how we act in it. From Banda Aceh to New Orleans, whole Fortunately, the leaders of Africa have communities are being wiped out through no taken note. At the Maputo Summit in 2003, fault of the innocent victims. the African Heads of State adopted Deci- We will, all of us, bear the responsibility of sion 29 reiterating their commitment to sus- a world gone wrong. If we continue as usual, tainable urbanization, an agenda that was a disastrous future beckons: whole cities subsequently encouraged by Joaquim swamped by slums, whole societies destroyed Chissano during his term as President of the by climate change. African Union. In Nigeria, concerned about Working at UN-HABITAT and with other the country’s urban problems, President agencies worldwide, I hope that together we Olusegun Obasanjo personally set up the can correct the past failures of urban planning. Ministry of Housing and Urban Develop- I hope that the work of organizations like the ment. In his inaugural address in 2006, Pres- Worldwatch Institute will motivate more peo- ident Jakaya Kikwete of Tanzania emphasized ple to take up the cause of environmentally the need for well-managed cities as a basis for and socially sustainable cities. We are warned, national development. To coordinate urban it cannot be business as usual. issues at the regional level, African ministers

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Foreword The Honorable Jaime Lerner Former Governor of Paraná, Brazil, and former Mayor of Curitiba

The twentieth century was, par excellence, the automobiles, new forms of public trans- century of urbanization. Around the world the portation, and communication technologies supremacy of rural populations over urban that reduce the need for travel are all push- ones was reversed and cities experienced an ing away the chaos that was predicted for accelerated growth, often beyond the desir- large urban centers. The evolution of tech- able. They have been through unthinkable nology and its democratization are present- transformations, which left a fantastic array of ing new perspectives for cities of all sizes challenges and possibilities as a legacy. and shapes. If the last century was the century of In terms of physical configuration, the urbanization, the twenty-first will be the cities of the future will not differ significantly century of cities. It is in the cities that deci- from the ones of yesterday and today. What sive battles for the quality of life will be will differentiate the good city will be its fought, and their outcomes will have a defin- capacity for reconciling its residents with ing effect on the planet’s environment and nature. Socially just and environmentally on human relations. sound cities—that is the quest! Therefore, what can we expect from an By having to deal directly with economic urban planet? What will the cities of the future and environmental issues, this quest will fos- be like? There are those who portray an urban ter an increasingly positive synergy between world in apocalyptic colors, who depict cities cities, regions, and countries. As a conse- as hopeless places where a person cannot quence, it will motivate new planetary pacts breathe, move, or live properly due to excess focused on human development. population and automobiles. I, however, do Still, a certain sense of urgency is vital to not share these views. My professional expe- positively transform our cities. The idea that rience has taught me that cities are not prob- action should only be taken after having all the lems, they are solutions. So I can face an urban answers and all the resources is a sure recipe world only with optimism. for paralysis. The lack of resources cannot My strongest hope resides in the speed of be an excuse not to act. The planning of a city transformation. For instance, the demographic is a process that allows for corrections, always. projections based on the high birth rates of It is supremely arrogant to believe that plan- 20–30 years ago have not been confirmed, ning can be done only after figuring out every allowing us a more encouraging view on the possible variable. growth of cities for the next years and decades. To innovate is to start! Hence, it is neces- Renewable energy sources, less-polluting sary to begin the process. Imagine the ideal, xx

STATE OF THE WORLD 2007 Foreword but do what is possible today. Solutions for be addressed: mobility, sustainability, and 20, 30 years ahead are pointless, because by identity. then the problems will probably be different. For mobility, the future is on the surface. Therefore we need urban policies that can Entire generations cannot be sacrificed wait- generate change beginning now, that will ing for a subway line while in less than two not need decades to show results. The present years complete networks of surface trans- belongs to us and it is our responsibility to portation can be set up. In Curitiba, starting open paths. in 1974 we gave priority to public buses car- In the roots of a big transformation there rying 25,000 passengers a day in exclusive is a small transformation. Start creating from lanes on a north-south axis. Today, the net- simple elements, easy to be implemented, work carries 2 million passengers throughout and those will be the embryos of a more the metro area with a single fare. complex system in the future. Although we The key to mobility is the combination and are living a phase of our history when events integration of all systems: subway, bus, taxi, happen at a galloping pace, and information cars, and bikes. But these systems cannot travels in the blink of an eye, the decisions compete in the same space. People will select regarding urban problems are postponed due the most convenient combination according to a systematic lack of synchrony with the to their own needs and travel with a “mobil- speed of the events. ity card.” Operators of each transportation The world demands increasingly fast solu- mode will be partners in the system. tions, and it is the local level that can provide Regarding sustainability, the main idea is the quickest replies. But it is necessary to to focus on what we know instead of what we plan to make it happen. Plan for the people don’t know. And, above all, to transfer this and not for centralized and centralizing knowledge to the children, who will then bureaucratic structures. teach their parents. Curitiba’s Garbage That Those responsible for managing this Is Not Garbage Program encouraged sepa- urban world must have their eyes on the ration of recyclable waste in households; chil- future, but their feet firmly on the ground dren learned about the program at school in the present. Those who only focus on and helped mobilize their parents. the daily needs of people will jeopardize the Simple things from the day-by-day routine future of their city. On the other hand, those of cities can be decoded for children: for who think only about the future, disregard- instance, how each person can help by reduc- ing the daily demands, will lose the essential ing the use of the automobile, living closer to support of their constituents and will not work or bringing the work closer to home, accomplish anything. giving multiple functions during the 24 hours It is necessary then not to lose track of the of the day to urban infrastructure, saving the essence of things; to discern within the amaz- maximum and wasting the minimum. ing variety of today’s available information Sustainability is an equation between what what is fundamental and what is important, is saved and what is wasted. Therefore, if sus- the strategic from the daily demands. A clear tainability=saving/wasting, when wasting is perspective on future objectives is the best “zero,” sustainability tends to infinity. Waste guide for present action—that is, to bind the is the most abundant source of energy. present with a future idea. A cannot afford the luxury There are three crucial issues that need to of leaving districts and streets with good

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STATE OF THE WORLD 2007 Foreword infrastructure and services vacant. Its down- facility was transformed into one of the city’s town area cannot remain idle during great most cherished theaters—Teatro do Paiol. portions of the day. It is necessary to fill it up A city is a collective dream. To build this with the functions that are missing. The “24 dream is vital. Without it, there will not be hours city” and multiple-use equipment are the essential involvement of its inhabitants. essential for sustainability. Therefore, those responsible for the des- Finally, identity. Identity is a major factor tinies of the city need to draw scenarios in the quality of life; it represents the synthesis clearly—scenarios that are desired by the of the relationship between the individual majority, capable of motivating the efforts of and his or her city. Identity, self-esteem, a feel- an entire generation. ing of belonging—all of them are closely A city is a structure of change even more connected to the points of reference that than it is a model of planning, an instrument people have about their own city. of economic policies, a nucleus of social polar- Rivers, for instance, are important refer- ization. The soul of a city—the strength that ences. Instead of hiding them from view or makes it breathe, exist, and progress—resides burying them in concrete, cities should estab- in each one of its residents. lish riverbanks as valuable territories. By Cities are the refuge of solidarity. They respecting the natural drainage characteristics, can be the safeguards of the inhumane con- cities can make sure the preserved areas pro- sequences of the globalization process. They vide necessary episodic flooding relief chan- can defend us from extraterritoriality and the nels and are still used most of the time for lack of identity. recreation in an economic and environmen- On the other hand, the fiercest wars are tally friendly way. Parks can work within a sim- happening in cities, in their marginalized ilar logic, providing areas that people can peripheries, in the clash between wealthy relate to and interact with. enclaves and deprived ghettos. The heaviest Historic districts are also major reference environmental burdens are being generated points, closely related to each city since its there too, due to our lack of empathy for pre- inception. But these areas often suffer a sent and future generations. And this is exactly process of devaluation and degradation. Find- why it is in our cities that we can make the ing ways to keep these districts alive by con- most progress toward a more peaceful and necting identity elements, recycling outdated balanced planet, so we can look at an urban uses, and hosting a mix of functions is vital. world with optimism instead of fear. In Curitiba, a deactivated gunpowder storage

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Preface Christopher Flavin President, Worldwatch Institute

Sometime in 2008, the world will cross an be largely won—or lost—in the world’s cities. invisible but momentous milestone: the point Although our species existed for over at which more than half the people on the 100,000 years before the first small cities planet—roughly 3.2 billion human beings— were built between the Tigris and Euphrates live in cities. The combined impact of a Rivers around 4000 BC, the growing domi- growing population and an unprecedented nance of cities is one of the most dramatic wave of migration from the countryside changes we have experienced and one for means that over 50 million people—equiv- which we are poorly equipped. As recently as alent to the population of France—are now the early twentieth century, the vast majority added to the world’s cities and each of the world’s people lived in the countryside year. More than at any time in history, the and practiced subsistence farming. Even today, future of humanity, our economy, and the the electoral systems of many predominantly planet that supports us will be determined in urban countries—Japan is a good example— the world’s cities. give disproportionate political influence to Urban centers are hubs simultaneously of rural citizens. And the international devel- breathtaking artistic innovation and some of opment community often neglects cities when the world’s most abject and disgraceful allocating its aid. poverty. They are the dynamos of the world In 1950, only New York and Tokyo had economy but also the breeding grounds for populations of more than 10 million. Today alienation, religious extremism, and other there are 20 of these so-called megacities, sources of local and global insecurity. Cities the bulk of them in Asia and Latin America. are now both pioneers of groundbreaking But most of the growth in the decades ahead environmental policies and the direct or indi- will come in smaller cities. By 2015, demog- rect source of most of the world’s resource raphers project there will be 59 cities with destruction and pollution. populations between 1 million and 5 million This modern “tale of two cities,” to bor- in Africa, 65 such cities in Latin America and row the title of Charles Dickens’ famously the Caribbean, and 253 in Asia. As early as grim book about nineteenth-century Lon- 2030, four out of five of the world’s urban don, is something that every policymaker residents will be in what we now call the and citizen needs to understand. The battles “developing” world. against our greatest global problems, from The demographic and political impacts of unemployment and HIV infections to water this transformation will test us. In China, for shortages, terrorism, and climate change, will example, millions of people are moving to

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STATE OF THE WORLD 2007 Preface cities each year, and while that nation has unnatural landscapes on the planet. done better than most in meeting the needs At stake is the ability of those ecosystems of new urban residents, the social strains are to provide the food, fiber, fresh water, and cli- showing. And Africa, the least urban conti- mate stability that all cities depend on. Nearly nent today, is the area that is urbanizing the two thirds of these “ecosystem services” have fastest—a trend that will undoubtedly put already been degraded, according to the lat- additional social, economic, and political pres- est scientific estimates. Our challenge is to sure on this already stressed part of the world. avoid the fate of the great Mayan cities that The great majority of the population lie in ruins in the jungles of southern Mexico growth in the new urban centers of Africa and and Guatemala—cities that were abandoned Asia is in the unplanned and underserved not just because of forces at work within settlements commonly known as slums. Over their borders but because of the collapse of one quarter of urban residents in the devel- the surrounding agricultural lands and water oping world—more than half a billion peo- resources after centuries of overexploitation. ple—lack clean water and sanitation, and 1.6 The task of saving the world’s modern million die each year as a result. The face of cities might seem equally hopeless—except twenty-first century cities is often that of a that it is already happening. This book doc- small, malnourished child living in a vast slum uments the problems facing the world’s cities, in a city such as Abidjan, Kolkata, or Mexico but also a remarkable array of promising City, not far from the newly built opera advances that have begun to mushroom over houses, gleaming office buildings, and auto- the past few years. Particularly striking is the mobile-choked highways that are now com- self-reliance being demonstrated by both rich mon even in poor countries. and poor communities that have stepped in This child frequently lacks electricity, clean to fill gaps left by governments. Even neces- water, or even a nearby toilet. While air qual- sities such as food and energy are increas- ity has improved markedly in many Euro- ingly being produced by urban pioneers inside pean and American cities in recent years, it has . become far worse in most cities in the devel- In Accra, at least 1,000 urban farmers oping world; China alone has 16 of the grow food in backyard plots, in empty lots, world’s most polluted cities. For that child in along roadsides, and in abandoned dumps, the slum, pollution-related sickness and vio- fertilizing their crops with “greywater” from lence are daily threats, while and kitchens and bathrooms. In , over are a distant hope. half the new and refurbished buildings now Our ability to meet the needs of the urban have solar hot water. In Karachi, the urban poor is one of the greatest humanitarian chal- poor have organized themselves to provide lenges of this century. It is also going to sewer services by having the inhabitants take shape key global developments—from the responsibility for planning, building, and security of those who live in nearby luxury managing the local piping system. In Bogotá, apartments to the stability of Arctic ice sheets many residents move easily around on the near the planet’s poles. It is particularly ironic spiffy new bus rapid transit system. On an that the battle to save the world’s remaining island in the Yangtze River near Shanghai, a healthy ecosystems will be won or lost not in new ecological city is being built from scratch. the tropical forests or coral reefs that are And in Johannesburg, cooperative businesses threatened but on the streets of the most have been formed to sell eco-friendly con- xxiv

STATE OF THE WORLD 2007 Preface

struction materials while creating hundreds of both from the global South—have written new jobs for city residents. eloquent Forewords to State of the World As these examples suggest, State of the 2007. Anna Tibaijuka, Executive Director World 2007 covers a topically and geo- of UN-HABITAT, the U.N. body devoted to graphically diverse urban landscape as we the well-being of human settlements, has explore the many ways in which cities are key brought the plight of urban slum dwellers to to both human progress and ecological sus- the attention of world leaders. As a woman tainability. My colleague Molly O’Meara who grew up in rural Tanzania and studied Sheehan, who directed this year’s State of the agricultural economics at university, Anna World project, has assembled an inspired Tibaijuka provides the perspective of a per- team of Institute researchers and outside son who has professionally and personally experts to write this volume. It includes in- straddled the rural-urban divide. depth discussions of many of the challenges Jaime Lerner, former mayor of Curitiba in facing today’s cities as well as exciting stories Brazil and former governor of Paraná, who about the innovators who are finding new developed the bus rapid transit system that ways to address these problems, often in the inspired Bogotá’s system and is now being poorest corners of the developing world. replicated in cities such as Los Angeles and The short “Cityscape” stories that appear Beijing, wrote our second Foreword. In con- between the chapters were prepared by peo- trast to those who portray today’s cities as ple who know firsthand what is happening in hopeless and apocalyptic places, Jaime Lerner these cities. views cities as exciting laboratories of change. We are particularly pleased that two of That sense of optimism is central to the future the world’s great leaders on urban issues— of cities—and the world itself.

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State of the World: A Year in Review Compiled by Lisa Mastny

This timeline covers some significant Timeline events were selected to increase announcements and reports from October awareness of the connections between peo- 2005 through September 2006. It is a mix of ple and the environment. An online version progress, setbacks, and missed steps around of the timeline with links to Internet the world that are affecting environmental resources is available at www.worldwatch quality and social welfare. .org/features/timeline.

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STATE OF THE WORLD 2007 State of the World: A Year in Review

POPULATION TOXICS UN experts predict that Explosion at a Chinese AGRICULTURE by 2010, as many as 50 petrochemical plant WTO members million people will be releases 100 tons of approve a declaration environmental refugees, benzene and other toxins agreeing to end fleeing the effects of into the Songhua River, trade-distorting worsening environmental forcing disruptions in agricultural export conditions. drinking water supply. subsidies by 2013.

ECOSYSTEMS Mexico designates the CLIMATE BIODIVERSITY Sierra del Carmen Report warns that half Twelve West African mountains Latin America’s the world’s coral reefs countries sign pact to first “wilderness area,” may die within 40 years improve cross-border creating a transnational unless urgent action is cooperation to conserve park with Big Bend taken to protect them elephant populations National Park in Texas. from climate change. and their habitats.

OCTOBER NOVEMBER DECEMBER 2005 STATE OF THE WORLD: A YEAR IN REVIEW 246810 12 14 16 18 20 22 24 26 28 30 246810 12 14 16 18 20 22 24 26 28 30 246810 12 14 16 18 20 22 24 26 28 30

SECURITY FORESTS GOVERNANCE Rioters in suburbs, FAO reveals that net Seven states in the US mainly second-generation forest loss worldwide Northeast agree to the immigrant youths, ignite has slowed somewhat nation’s first mandatory unrest across France, drawing over the past five plan for reducing attention to unemployment years, to 7.3 million greenhouse gas emissions and discrimination. hectares annually. from power plants.

NATURAL DISASTERS MARINE SYSTEMS CLIMATE Earthquake of 7.2 Fijian chiefs establish Scientists project that magnitude strikes northwest marine protected areas in as much as 90 percent Pakistan, killing more than the Great Sea Reef, the of the near-surface 73,000 people by early world’s third largest reef permafrost area in November. system, aiming to expand the Arctic could system coverage to 30 disappear by 2021. percent by 2020.

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STATE OF THE WORLD 2007 State of the World: A Year in Review

AGRICULTURE HEALTH WTO rules against SECURITY At a high-level European restrictions US agrees to recognize India conference in on genetically modified as a nuclear power and to Beijing, the world’s (GM) corn, soybeans, promote civilian nuclear governments pledge and cotton in a transfers in exchange for $1.85 billion to fight victory for global GM minimal oversight of India’s avian influenza. food advocates. nuclear weapons program.

FORESTS FORESTS Report finds that US Environmental groups CLIMATE NATURAL and EU imports of report that more US scientists report DISASTERS wood products from than a quarter of the that 2005 was the Weeks of heavy rain China have increased Peruvian Amazon— warmest year in over trigger mudslides in the nearly 900 percent since nearly 22 million a century, followed Philippines, killing up 1998, fueling forest hectares—is now zoned by 1998, 2002, to 1,500 people and destruction and illegal for oil and gas activities. 2003, and 2004. destroying entire villages. logging worldwide.

JANUARY FEBRUARY MARCH 2006 246810 12 14 16 18 20 22 24 26 28 30 246810 12 14 16 18 20 22 24 26 28 246810 12 14 16 18 20 22 24 26 28 30

CLIMATE ECOSYSTEMS CLIMATE Australia, China, India, Brazil adds 150,000 Most comprehensive Japan, South Korea, and hectares to its Amazon survey of Greenland the United States form National Park and and Antarctic ice sheets a market-based “clean creates seven new ever reports a net energy” partnership protected areas in loss of polar ice from as an alternative to western Pará state. 1992–2002 as ice the Protocol. shelves and edges thin.

DESERTIFICATION TOXICS BIODIVERSITY GOVERNANCE UN proclaims 2006 The European Scientists report that The 1996 Protocol to the the International Year Commission adopts a waterborne fungus London Convention on of Deserts and strict limits for dioxin is responsible for the marine pollution enters Desertification to draw and polychlorinated decline of more than into effect, strengthening attention to the human biphenyl levels in food 40 amphibian species rules on ocean dumping and environmental and animal feed. in Central America and enshrining the consequences of climate and 93 such species “polluter pays” principle. change in arid lands. worldwide.

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STATE OF THE WORLD 2007 State of the World: A Year in Review

NATURAL DISASTERS URBANIZATION Europe’s Danube River ENERGY Delegates gather at the reaches a historic high, Brazil opens its first Third World Urban overflowing its banks uranium-enrichment Forum in Vancouver to and forcing more than facility for the discuss ways to improve 10,000 people to flee development of slum dwellers’ access to for higher ground. civilian nuclear energy. basic shelter and services.

GOVERNANCE ENERGY Institutional investors HUMAN RIGHTS Tokyo’s government from 16 countries, Shortly after a “peace sets target of powering representing more than agreement” is signed in 20 percent of the city $2 trillion in assets, Darfur, new fighting on renewable energy sign on to the UN’s worsens a conflict that by 2020, up from 2.7 new Principles for has killed hundreds of percent today. Responsible Investment. thousands since 2003.

APRIL MAY JUNE 2006 STA TE OF THE WORLD: A YEAR IN REVIEW 246810 12 14 16 18 20 22 24 26 28 30 246810 12 14 16 18 20 22 24 26 28 30 246810 12 14 16 18 20 22 24 26 28 30

ECONOMICS CLIMATE MARINE SYSTEMS World Bank approves Al Gore’s documentary International Whaling initiative to provide An Inconvenient Truth Commission rejects more than $37 billion opens in Los Angeles Japanese bid to in debt relief to 17 of and New York, raising reintroduce commercial the world’s poorest awareness about the whaling, in one of the countries over 40 years. dangers and causes of closest votes ever climate change. on the issue.

HEALTH BIODIVERSITY WATER FORESTS UN report links Hippos and polar bears China removes final In Central Africa’s first wetland losses to the are added to the global temporary wall at the debt-for-nature deal, spread of avian flu, as Red List of threatened Three Gorges Dam, Cameroon agrees to wild birds come into species for the first time, releasing Yangtze River spend up to $25 million greater contact with reflecting widespread waters behind the to preserve its rainforests domesticated fowl. population declines. world’s largest in exchange for debt hydropower project. relief from France.

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STATE OF THE WORLD 2007 State of the World: A Year in Review

ENERGY G8 energy plan outlines CLIMATE members’ intentions BIODIVERSITY Study links temperature to secure fossil fuel Scientists announce the increases caused by supplies while promoting discovery of the first new human greenhouse gas market-led development bird species in India in emissions to stronger of nuclear and renewable more than 50 years—a hurricane intensity in the energy sources. multicolored babbler. Atlantic and Pacific Oceans.

HEALTH BIODIVERSITY US government warns Taiwanese customs TOXICS consumers not to eat authorities seize more Toxic waste from a fresh spinach following a than five tons of illegally Dutch ship is dumped deadly E. coli outbreak harvested elephant in Abidjan slums in that eventually kills at ivory in three days, Côte d’Ivoire, sickening least one person and the equivalent of 614 thousands and killing sickens more than 180 dead elephants. at least 10. in 26 states.

JULY AUGUST SEPTEMBER See page 191 for sources.

246810 12 14 16 18 20 22 24 26 28 30 2 46810 12 14 16 18 20 22 24 26 28 3030 246810 12 14 16 18 20 22 24 26 28

SECURITY WATER MARINE ECOSYSTEMS In the deadliest fighting Experts convene for As overfishing continues, in Lebanon since 1982, World Water Week in fisheries experts say Israeli air strikes on a Stockholm to address bluefin tuna catches in the power plant spew oil into corruption in the water western Mediterranean the Mediterranean Sea, industry and the need for are just 15 percent affecting 200 kilometers universal access to safe of what they were a of coastline. water by 2015. decade ago.

AGRICULTURE CLIMATE HEALTH Japan agrees to lift California approves bill UN says global coverage import ban on US establishing the strictest of safe drinking water rose beef imposed in 2003 controls on carbon from 78 to 83 percent after the discovery of dioxide in the United between 1990 and 2004, the first US case of States, pledging to although two fifths of the mad cow disease. cut emissions 25 population still lacks access percent by 2020. to basic sanitation.

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2007 STATE OF THE WORLD Our Urban Future

CHAPTER 1

An Urbanizing World

Kai N. Lee

In 2007, engineers and construction workers is accomplished, each person living in Dong- are to begin transforming rural Chongming tan will exert much less pressure on nature Island, in the Yangtze River near Shanghai, than a New Yorker does today. Although into a city. Arup, the firm preparing the mas- ’s density of settlement is sim- ter plan for this new development, called ilar to that envisioned for Dongtan, the Amer- Dongtan, touts it as “the world’s first sus- ican city relies on electricity that is virtually all tainable city.” Plans call for a city of 50,000 generated by fossil fuels and nuclear fission, by 2010, with the population expected to and its wastes are carried by truck to landfills reach 500,000 by 2040. The development up to 650 kilometers away. New York’s recy- will cover 4,600 hectares, less than a fifth of cling rate is less than 20 percent.2 the entire island. Windmills will dominate The Dongtan eco-city project is one of the skyline, and turf, vegetation, and solar the latest attempts to design an urban form panels will cover the roofs. Some 80 percent that brings the needs of people into line with of solid waste will be recycled, while organic the needs of the environment. A century ago, waste will be composted or burned to supply Ebenezer Howard, a British reformer, advo- heat and power. The only motorized vehicles cated “garden cities,” self-contained towns of allowed on the streets will be powered by roughly 30,000 people living on 1,000 acres electricity or fuel cells.1 (405 hectares) surrounded by greenbelts. In theory, Dongtan will be self-sufficient Within these new towns, zoning was to sep- in energy, food, and water, with close to zero arate houses and gardens from factories and carbon emissions from transportation. If this farms. The first garden city, Letchworth, was

Kai N. Lee is Rosenburg Professor of Environmental Studies at Williams College in Williamstown, Mass- achusetts. He gratefully acknowledges the contributions of Molly O’Meara Sheehan, who also wrote parts of this chapter.

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STATE OF THE WORLD 2007 An Urbanizing World founded some 60 kilometers from London in the English exported food throughout that 1902, and the idea spread to other coun- century. On the heels of this increase in agri- tries, including the Netherlands and Japan. cultural productivity came the invention of But the new towns did not create their own machines that could transform the heat of workplaces, as planned, and were instead burning coal or wood into useful work. The absorbed into the regional growth of the Industrial Revolution spread from Europe cities they surrounded.3 to North America and then Japan, and cities Dongtan has yet to be built and tested. grew to house and serve the new factory Like utopian projects before it, there are sure workers, many of whom had left farms where to be negative consequences. Some may be their labor was no longer needed. By 1900 expected, such as the possible displacement of humanity stood on the threshold of moder- farmers now living on the island or the poten- nity: a new way of life anchored in cities that tial disruption of the protected wetlands that would rewrite the conditions of human life. house a bird sanctuary, while others have yet (See Box 1–1.)6 to surface. Nonetheless, this project comes at In parallel, human activity has emerged as a time when humanity needs new models for an environmental force of planetary pro- urban development.4 portions: replumbing watercourses, exter- minating species, and altering the global The Global Challenge climate. These changes have brought unprecedented material gains to our species, of Urbanization particularly in the high-income nations. Thanks to rapid urban growth not only in Whether these gains can be shared with all China but elsewhere in Asia and Africa, some of humanity, and whether they can be sus- time in the coming year the population of the tained, are questions that now seem increas- world will become mostly urban. By 2005, ingly urgent, as the impact of humans on the the world’s urban population of 3.18 billion natural world can no longer be considered people constituted 49 percent of the total negligible. These are also matters that will be population of 6.46 billion. Very soon, and for decided by urban inhabitants, because the first time in the history of our species, although human may more humans will live in urban areas than well cease in this century, cities and their rural places.5 environmental pressures are continuing to This is a significant milestone on the long expand through economic growth, migra- road of civilization. Ten thousand years ago, tion, natural increase, and the transformation humans were hunter-gatherers who moved of rural areas into urban settlements.7 with their food sources. With the discovery U.N. projections suggest that nearly all of agriculture came permanent settlements of the world’s population growth in the com- and, in time, the imperial cities of the ancient ing generation will be in cities in low- and world. More than two centuries ago, improve- medium-income nations. Asia and Africa, the ments in agriculture in northwest Europe most rural continents today, are expected to made it possible for a smaller fraction of the double their urban populations to about 3.4 population to feed everyone. In 1740 about billion in 2030. Already, about 1 billion urban two thirds of the labor force in England and dwellers live in “slums” or informal settle- Wales worked in agriculture. By 1840 this had ments—areas where people live without one dropped to less than a quarter, even though or more of life’s basic necessities: clean water,

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STATE OF THE WORLD 2007 An Urbanizing World

Box 1–1. Transitions of Modernity

The cities made possible and necessary by capita income has grown, with interruptions, industrialization have incubated a mutually since the early nineteenth century. But wealth reinforcing set of transitions that have and the indirect benefits of prosperity have been redrawn the outlines of material existence. shared unequally, even as the output of the world What we now think of as globalization is the economy has grown enormously. Economic latest phase in a set of linked transitions in power has been rooted in cities; the purchases population, health, economy, politics, social of urban people, who cannot live off the land, relations, and environment. form the foundation of national economies. Families have grown smaller all over the Technological changes allowed cities to become world, led by the high-income countries and by larger and to spread further; steel-framed build- China’s surprisingly successful one-child policy. ings made skyscrapers possible, while faster This demographic transition seems likely to transportation brought people to and from result in the end of human population growth jobs in high-density even as they before the end of the twenty-first century. Sta- came to live in distant, low-density suburbs. bilization of population has not been imposed As dramatic as the economic transforma- by disease, famine, or war.With the exception tions of the past two centuries has been the of African countries hard hit by AIDS, health uneven but unmistakable rise of democracy. has improved almost everywhere over the The fraction of the world’s people ruled by past century, with declines in child mortality, democratic governments rose from about 4 decreases in infectious illness, and longer life percent in 1840 to about 12 percent in 1900, spans, especially in high-income countries.This and crossed 50 percent around 2000.This epidemiological transition had an important remarkable transition reflects the end of colo- consequence for cities: just over a century ago, nialism, which added India and many other cities had so much disease that urban popula- medium- and low-income countries to the list tions declined unless people moved into them. of democracies.The widening reach of compet- That urban penalty was erased by improve- itive elections has given city dwellers a chance ments in sanitation and clean water—although to demand accountability for the conditions of the poor public health conditions of slums still urban life, and governments are now consid- sicken and kill on a large scale. ered responsible for matters ranging from edu- Industrialization has brought an unprece- cation to parks to women’s rights that were dented economic transition, one still unfolding simply not on the agenda of feudal societies. in the process of globalization.Average per SOURCE: See endnote 6. sanitation, sufficient living space, durable promising the ability of future generations to housing, or secure tenure, which includes meet their own needs.9 freedom from forced eviction.8 Many scientists agree that the global econ- Urbanization thus presents a global chal- omy is not on a path toward sustainable devel- lenge of human development and human opment. More than a decade ago, the rights. The shift in where we live brings to the Intergovernmental Panel on Climate Change fore the question of how we live—the chal- found that the burning of fossil fuels was lenge of , defined in altering the composition and heat balance of a widely quoted form 20 years ago as meet- the atmosphere; the group has since docu- ing the needs of the present without com- mented signs of a changing climate, from

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STATE OF THE WORLD 2007 An Urbanizing World shrinking glaciers to the decline of some plant thinking of urban areas as linked to nature and animal populations. An international reveals an important pattern: the environ- analysis of the world’s ecosystems, written mental problems of low-income cities are by more than 1,300 scientists, found that 60 different in kind and in scale from the prob- percent of the services of nature—including lems facing industrializing, medium-income those provided by farmlands, fisheries, and cities. And the challenges brought by rapid forests—are being degraded or used unsus- industrialization in Guangzhou, China, or by tainably. This Millennium Ecosystem Assess- poverty in Cochabamba, Bolivia, differ from ment warned in 2005 that “these problems, those found in high-income cities like unless addressed, will substantially diminish Phoenix or Turin. the benefits that future generations obtain Cities are tied to nature through mar- from ecosystems.”10 kets and technology. Virtually all cities rely This chapter reviews the state of the on food, fuels, and materials from elsewhere, world’s urban areas, highlighting the way in and all cities are marketplaces. Thus, “sus- which urbanization and sustainable develop- tainable” does not mean self-sufficient. ment are linked. At first sight, cities seem to Rather, a city moving toward sustainability be the problem rather than the solution: the improves public health and well-being, low- number of people living in slums has steadily ers its environmental impacts, increasingly increased, and industrial pollution in rapidly recycles its materials, and uses energy with growing economies fouls water and air. Yet growing efficiency. Note the word “toward”: the flow of people toward cities seems unlikely it is unrealistic for a human economy to to stop or even slow, in part because life have no impacts on the natural world, but chances and economic opportunities are often clearly it is necessary for the human economy better in cities, even for many of the poor.11 to share its wealth more equitably and in From that perspective, urbanization pro- ways that enable our species to endure on a vides a crucial opportunity: to create living finite planet. patterns harmonized with nature’s rhythms as people continue to create urban habitat. Cities Urban Areas Today offer economies of scale for recycling water and materials, for instance, and for using While the trend of urbanization is clear, the energy efficiently. Yet today’s high-income measurement of what is urban is not. When cities use resources unsustainably, and the the United Nations projects that the world’s high-consumption approach is plainly unaf- population will become predominantly urban fordable for slum dwellers. Finding ways to in 2008, it is drawing upon information pro- create better urban settlements in all soci- vided by member nations, who define “urban” eties is central to sustainable development. differently. More than two dozen nations do A city may be thought of as a physical not document their definitions at all. Urban and social mechanism to acquire and deliver populations can be identified using at least essential natural services, such as clean water, three different ideas: the number of people liv- to a concentrated human population. The ing within the jurisdictional boundaries of a physical part of this mechanism is often called city; those living in areas with a high density infrastructure, while the social part includes of residential structures (urban agglomera- markets, government, and community orga- tion); and those linked by direct economic ties nizations. Cities vary tremendously, but to a city center ().

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STATE OF THE WORLD 2007 An Urbanizing World

These definitions yield quite different pic- generation. Many municipal governments tures of the “city.” The U.S. National Research trying to cope with these matters lack trained Council remarked in 2003 that “cities such as workers, the budgets to pay them, and tra- Buenos Aires, Mexico City, London, and ditions of civic governance on a mass scale.14 Tokyo can correctly be said to be declining or The trends of the past generation are pro- expanding in population, depending on how jected to continue into the coming one. More their boundaries are defined.” Moreover, important, as noted earlier, the overwhelm- about two dozen low-income countries have ing majority of net additions to the human not had a census in more than a decade, and population—88 percent of the growth from the populations attributed to them are pro- 2000 to 2030—will be urban dwellers in jections. Then there is the matter of how low- and medium-income countries. Already, large a settlement must be to count as urban. Africa has 350 million urban dwellers, more India, for example, would change from being than the populations of Canada and the mostly rural to being mostly urban if it United States combined. In terms of absolute adopted the definition of used in numbers of inhabitants, urban growth is Sweden. Despite these weaknesses, the data unprecedented and will continue to be so. But published by the United Nations are widely in percentage terms, the rate at which national used (as they are throughout this book) for populations are becoming urban lies within lack of better estimates.12 the historical range experienced by the high- In the second half of the twentieth century, income countries.15 according to the United Nations, the urban The rapid swelling of urban populations population of the world increased nearly four- is due to both migration into cities and nat- fold, from 732 million in 1950 to 2.8 billion ural increase of the people already there. in 2000 and to more than 3.2 billion in 2006. Although policymakers tend to emphasize As shown in Table 1–1, growth has been the role of migration, which is high com- rapid in Africa, Asia, and Latin America, but pared with historical levels in the places much slower in Europe and North America, where rapid growth is taking place, natural where more than half the population already increase actually accounts for over half of lived in urban areas by 1950. Only 40 percent of the urban popula- Table 1–1. Urban Populations by Region, 1950–2000, tion lived in low- and middle- with Projection for 2010 income nations in 1950, but that fraction will reach three quarters Region 1950 1970 1990 2000 2010 shortly after 2010.13 (million inhabitants) Since 1975, more than 200 Africa 33 85 203 294 408 urban agglomerations in low- and Asia 234 485 1,011 1,363 1,755 medium-income nations have Latin America and grown past 1 million inhabitants. the Caribbean 70 163 315 394 474 Europe 277 411 509 522 529 Their local governments are faced North America 110 171 214 249 284 with the sanitation, housing, 8 14 19 22 25 transportation, water, energy, and health needs of more than a mil- World 732 1,329 2,271 2,845 3,475 lion constituents—a striking new Note: Columns may not add up to world total due to rounding. challenge that arose in a single SOURCE: See endnote 13.

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60 Source: United Nations

50 15 197519851995200520 40

30 STATE OF THE WORLD 2007 An 20Urbanizing World Percent of Urban Population the10 rise in urban population.16 In Africa, where some 38 percent of the Perhaps the most visible aspect of global population lives in urban areas, urbaniza- urbanization0 has been the rise of megacities, tion is more recent and more rapid in pro- large urban 10 million+ agglomerations 5–10 million with 1–5 more million than 0.5–1 millionportional <0.5 terms million because of higher population 10 million inhabitants. (SeeSize Figure of Settlement 1–1.) growth rates, rural poverty due to low agri- These cities only account, however, for about cultural productivity, and wars that drive 9 percent of total urban population. Just over people into cities. The spatial and economic half of the world’s city dwellers live in settle- structure of African cities reflects choices ments withLocal fewer than 500,000City-Regional inhabitants. madeGlobal by Europeans in the colonial era, when (e.g., sanitation) (e.g., ambient air) (e.g., carbon emissions) (See Figure 1–2.)17 trading centers for agricultural products The rapid urbanization of the world’s pop- and natural resources produced for interna- ulation is unfolding in distinctive ways in dif- tional export replaced an older network of ferent parts of the world. Latin America, at 77 market settlements serving an agrarian pop- percent urban, has already gone through an ulation. The colonial cities were designed urban demographic transition like those of by Europeans with small enclaves for them- North America and Europe, with national selves; adjoining indigenous districts were population growth rates declining since the built with little attention to water and sani- 1960s. Growth in the region’s megacities tation, roads, transportation, or energy sup- Increasing Severity of

has Environmental Burden slowed considerably, as the costs of con- ply. The lack of infrastructure for the poor, gestion have made smaller urban areas more followed by rapid urban growth, has pro- attractive. Yet thanksSource: to the Millennium world’s Ecosystem highest Assessmentduced large slum populations living at high levels of economic and social inequality, Latin levels of risk from disease and environmen- Increasing Wealth AmericanPoor citiesSettlements have large slum populations Wealthytal hazards Settlements like flooding.19 that continue to grow.18 Poor macroeconomic performance in sub-

40 Source: United Nations 35 2015 2005 30 1990 1950 25

20

15 Population (million) 10

5

0 i

Delhi Lagos Cairo Tokyo Kolkata Dhaka Jakarta Karachi ManilaJaneiro Beijing Mumbai ão Paulo Shangha IstanbulMoscow S New York Mexico City Los Angeles Guangzhou Buenos Aires Rio de Figure 1–1. Urban Agglomerations Projected to Exceed 10 Million Population by 2015

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STATE OF THE WORLD 2007 An Urbanizing World

60 nomic changes have Source: United Nations pressed the ability of 50 governments to pro- 15 tect and improve pub- 975 985 995 1 1 1 200520 lic health. In western 40 China, South Asia, and interior Asia, urbaniza- 30 tion is also rapid, but economic growth has 20 not been so meteoric, and poverty burdens Percent of Urban Population nearly a third of India’s 10 urban population. Pop- ulation growth rates 0 remain high in Bang- 10 million+ 5–10 million 1–5 million 0.5–1 million <0.5 million ladesh and Pakistan, Size of Settlement although they are Figure 1–2. Urban Population by Size Class of Settlement declining. Urban pop- ulations shrank or grew Saharan AfricaLocal since independence,City-Regional nearly slowlyGlobal in Central Asia in the severe economic half a(e.g., century sanitation) ago, has (e.g.,led ambientto urban air) (e.g.,and carbon political emissions) disruptions that followed the economies dominated by informal work such collapse of the Soviet Union.21 as food hawking and small-scale commerce, Beyond these regional generalizations, but little industrial employment. More than each city has a history and a population that three quarters of nonagricultural employ- will lead the city in its own direction. Cities ment is in the informal sector, yet it accounts attract settlers and retain residents because for only 41 percent of economic output, they offer opportunities for employment, for because nearly all its jobs are in low-wage and meeting and being with people, for becom- low-profit activities. African economies are ing someone different. As migrants to every little integrated into the global economy, slum will affirm, they are there because they Increasing Severity of andEnvironmental Burden they still depend on exports of natural want to be. Seizing the opportunities and resources and agricultural products in order taking the risks of city life, some will fail and to import manufacturSource:ed Millennium products—as Ecosystem inAssessmentothers succeed. Often, people will do things colonial times.20 Increasing Wealth they could not have done in rural settings, and Asia,Poor the Settlements world’s most populous region, is Wealthysometimes Settlements they will push the urban commu- roughly 40 percent urban, with a varied urban nity and economy in a new direction alto- landscape. Pacific Asia—the coastal regions gether, whether this involves opening up a from40 Japan to Southeast Asia—has undergone new kind of business like an organic food Source: United Nations a remarkable economic transformation over market, or making new links to distant com- 35 2015 the past generation as China and the newly munities2005 by sending earnings back home, or industrializing30 countries of East Asia have disrupting1990 the community by committing a rapidly increased incomes and levels of urban- crime1950 or contracting a previously unknown ization.25 China is now home to 16 of the disease like avian flu. world’s 20 most polluted cities, as rapid eco- The dynamism of cities makes each urban 20

15 9 Population (million) 10

5

0 i

Delhi Lagos Cairo Tokyo Kolkata Dhaka Jakarta Karachi ManilaJaneiro Beijing Osaka Mumbai ão Paulo Shangha IstanbulMoscow S New York Mexico City Los Angeles Guangzhou Buenos Aires Rio de

STATE OF THE WORLD 2007 An Urbanizing World area a place, a distinctive social and environ- Africa, reaching as much as 80–90 percent in mental setting around which loyalties and Southern Africa. In addition, the changes in antipathies can form. land use at the fuzzy edges of urban agglom- erations are complicated, rapid in comparison Dark Alleys to the reaction time of local government, and often difficult to control. Municipal gov- That each city is different has an important ernments do not often take responsibility for implication for policy: sensible support of or slums outside their boundaries.23 investment in an urban area requires knowl- Another challenge for policy is our unclear edge of its relevant characteristics. Yet our view of population growth. The urban pop- understanding of cities is strikingly limited, ulation projections of the United Nations and this constrains the ability of international are not quite what they seem: they are purely institutions, governments, and nongovern- demographic projections, showing the pop- mental organizations to act intelligently. One ulation trajectories if parameters observed result is that there is no simple model of how and estimated now were to unfold in future to spur economic growth—not to mention years. They do not include the effect of eco- sustainability—in cities. By comparison, it is nomic, social, or environmental factors that an axiom of rural development that raising might alter, for instance, birth or migration agricultural productivity is an ingredient of rates. Although the assumptions behind them economic growth. are spelled out in U.N. documents, these A basic limitation lies in the paucity of projections are commonly taken to be pre- information collected on cities. Urban pop- dictions incorporating the best understand- ulation is tabulated by the United Nations, ing of all the forces at play. Yet, studies of but the variables that provide a picture of demographic projections have shown that sustainability—human well-being, environ- U.N. estimates have tended to overestimate mental conditions, and economic data—are urban growth in developing countries by measured mostly at the national level, with about 19 percent for estimates made 20 years scant coverage in the cities of the develop- earlier. Thus the projections of rapid urban- ing world, where the most rapid urbaniza- ization in sub-Saharan Africa may prove to be tion is occurring.22 high in the future if the economies in those As noted earlier, the delineation of cities countries remain weak.24 varies from country to country. Drawing a A further limitation arises from the lack of boundary between rural and urban spaces data about variations within cities. Wealthy implies a sharp separation between country- districts and slums occupy areas well known side and built-up area that simply does not to a city’s residents, but little information is exist in most places. Many families depend on available to analysts about how housing or both urban and rural settings to make a liv- employment conditions vary between them. ing. Cecilia Tacoli of the International Insti- Even accurate maps—essential for planning, tute for Environment and Development building, and maintaining streets or sewers— points to studies that estimate the share of are missing in many developing countries, rural households’ incomes from nonfarm especially for informal settlements that were sources, including migrants’ remittances, at 40 occupied without authorization or recorded percent in Latin America, 60 percent in South land transactions. This lack of knowledge Asia, and 30–50 percent in sub-Saharan compounds the difficulties arising from mul-

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STATE OF THE WORLD 2007 An Urbanizing World

tiple, conflicting sets of property rights. In need investments based on understanding Ghana, as in many other former colonies, who lives where in growing cities and how one system of property is rooted in precolo- they earn their living.27 nial family claims while another is inherited from the colonial legal system. Sorting these out, without maps or records of the traditional Development that moves people property claims, clogs courts and hinders the toward sustainable patterns will need development of housing and businesses to investments based on understanding accommodate rising urban populations.25 who lives where in growing cities and Geographic information systems (GIS) how they earn their living. that use computers to assemble data from different sources and to overlay them on maps are beginning to make a substantial Research and learning are accordingly prac- contribution. Building on studies of specific tical necessities. UN-HABITAT has been col- cities that find that slum dwellers may have lecting a large set of indicators in its Global worse health conditions than people in rural Urban Observatory, and the important 2003 areas, GIS analyses of conditions in Accra in study Cities Transformed undertook analyses Ghana and Tijuana in Mexico, among other of the international Demographic and Health places, are showing how poverty is much Survey in order to illuminate urban health and more than a lack of money. It includes higher social conditions. Another noteworthy effort prevalence of disease, exposure to flooding, is led by economist Stephen Sheppard and and other adversities.26 urban planner Shlomo Angel. They chose Why do these limitations of understanding 120 cities of various sizes from all regions of matter? There is about $150 billion spent the inhabited world and developed a fast- each year on physical infrastructure in devel- track protocol to assess a wide range of vari- oping countries. The United Nations Mil- ables in each city, ranging from housing prices lennium Project estimates that meeting the to air pollution to urban planning policies. Millennium Development Goal of improving The protocol is designed so that a student the lives of 100 million slum dwellers would who is a native speaker of the language can cost $830 billion over the next 17 years. collect information on several hundred indi- These expenditures could help move poor cators in about a week. The project includes people toward sustainable living and decent remote-sensing analyses of the 120 cities, lives, but only if the donor agencies and gov- using satellite images from 1990 and 2000. ernments allocating these substantial sums This study, supported by the World Bank are able to target spending sensibly. Most and the U.S. National Science Foundation, is development assistance has been aimed at building a database for analysts worldwide rural poverty on the assumption that urban in order to investigate social, environmental, poverty is a transitory phenomenon for those and economic changes over a decade for a migrating into cities. Yet with more than half large sample of cities.28 of urban growth due to natural increase, it is As important as research is learning from far from clear when slum dwellers will escape experience, translating failures and surprises or be able to improve their dwellings and into better choices going forward. This has neighborhoods. Development that moves proved to be a challenge in both development people toward sustainable patterns will surely and environmental management. Although

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mental problems that they do not experience surprises happen so often in social interven- in their daily lives. A child in Soweto, South tions that they should be expected, it is rare Africa, risks dying from waterborne illnesses for those implementing a plan even to con- that his distant cousin in Birmingham, Eng- sider unexpected results. Merely stating goals land, will not be exposed to. A factory worker clearly enough that failures can be identified in Wuhan, China, may suffer from asthma is risky for politicians. Systematic methods triggered by air pollution, while her coun- for learning from policy implementation have terpart in Nagoya, Japan, is less likely to been developed and tried out at a small scale, encounter pollutants in the air she breathes. but uneven learning hangs like fog over the The college student in Denver, Colorado, path to urban sustainability.29 contributes more to global warming as he dri- ves to the campus each day than does some- Wealth and Environment one riding a bus to classes at the Universidad de los Andes in Bogotá, Colombia. The environmental challenges of cities vary These stories of individual experiences with their level of economic activity. To over- correspond to statistical differences among simplify, poor city dwellers face direct, every- low-, medium-, and high-income cities. day environmental problems, while the Table 1–2 compares indicators for three wealthiest urban residents cause environ- cities drawn from these three categories,

Table 1–2. Sustainability Indicators for Ghana, Mexico, Singapore, Accra, and Tijuana

Indicator Ghana Mexico Singapore Population 21.2 million (2003) 104.3 million (2003) 4.37 million (2005) Share of population urban, 2003 45.4 percent 75.5 percent 100 percent GDP per capita (in purchasing power parity), 2003 $2,238 $9,168 $24,481 Human Development Index rank, out of 177, in 2005 138 53 25 Life expectancy at birth, 2003 56.8 years 75.1 years 78.7 years Probability of dying before age 5 (male/female) per 1,000 population, 2001 107/100 31/25 4/3 Health expenditure per capita (in purchasing power parity), 2002 $73 $550 $1,105 Energy use (oil equivalent per capita),2003 400 kg per year 1,564 kg per year 5,359 kg per year

Accra Tijuana Singapore

Population (2005) 1.97 million 1.57 million 4.37 million Share of population without access to “improved” sanitation 48 percent (1991–92) 17 percent (2000) 0 percent (2002) Share of population without access to an “improved” water source 46 percent (1991–92) 29 percent (2000) 0 percent (2002)

SOURCE: See endnote 30.

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STATE OF THE WORLD 2007 An Urbanizing World

showing economic and health indicators at resources—with effects that were often far the national level together with indicators of removed from the comfortable offices and the cities’ environmental conditions; energy homes of those living there. use, a national statistic, is used as an indica- High- and medium-income cities today tor of carbon emissions. National statistics do are caught in the paradox of losing sight of not accurately represent conditions in cities, nature just as they become more dependent and variations within cities can also be large. on it through increasing consumption and the The economic and health indicators are globalization of production. The paradox included here to show the divergence in the itself is a gift of markets of ever greater reach: national contexts of low-, medium-, and if a coffee crop fails in Indonesia, the supply high-income cities.30 from Guatemala or Kenya will smoothly fill These numbers illustrate a pattern of spa- the cup in Rouen or Buenos Aires. A disas- tial, environmental, and economic variation. ter for rural growers is an unnoticed blip for A low-income city like Accra faces direct the urban coffee drinker. But there is another threats to health: water contaminated with paradox of planetary-scale markets. Cities are human waste, housing infested with insect and places. Yet as cities become wealthier, their rodent pests, streets and neighborhoods that residents buy goods from around the world flood in the rainy season. Each person and and invest in global companies. The widen- family must cope with these environmental ing spatial range of urban economies has fre- problems in daily life. An industrializing city quently eroded a city’s distinctiveness. This like Tijuana may face additional environ- process is accelerating. Industrialization took mental problems from polluting factories and more than a century to unfold in Europe, the toxins from manufacturing processes. The United States, and Japan. The spread of rapid rise of energy use during industrializa- industrial production to the once-poor lands tion, often in inefficient foundries and fur- of Asia has transformed economies in a few naces, imposes a large burden of air pollution decades. And the rise of the information- on workers and residents, with substantial intensive service economy brings change mea- public health consequences. But industrial- sured in years.32 ization also generates earnings that can be The variations among low-, medium-, and invested in environmental controls and pub- high-income cities have been discussed in lic health measures, as the data on Tijuana and terms of a curious empirical pattern known as Singapore indicate.31 the environmental Kuznets curve, named for With the transition to economies domi- American Nobel laureate in economics Simon nated by service industries, high-income cities Kuznets. (See Figure 1–3.) Drawing together competed with one another on quality of a wide array of data, analysts have framed a life, seeking to attract the professional talent generalized scenario of urban environmental to staff service firms such as software engi- development: local environmental problems neering or finance. Good environmental con- that pose an immediate threat, such as lack of ditions and amenities help create the clean, sanitation, tend to improve with increasing interesting places that draw and keep highly wealth, while global ones such as carbon mobile people in cities like Singapore. The ris- emissions worsen, slowly undermining large- ing economies of wealthy cities also powered scale life-support systems such as climate. increasing energy consumption and exploita- And as a city industrializes, environmental tion of forests, oceans, and other natural problems at the scale of the city and metro-

13

60 Source: United Nations

50 15 197519851995200520 40

30

20 Percent of Urban Population 10

0 10 million+ 5–10 million 1–5 million 0.5–1 million <0.5 million Size of Settlement STATE OF THE WORLD 2007 An Urbanizing World

Tijuana or Accra face Local City-Regional Global (e.g., sanitation) (e.g., ambient air) (e.g., carbon emissions) more difficult environ- mental conditions than those at the high end of the income scale in these cities, while the exposure to health and environmental risk varies less in Singapore. Poverty does not nec- essarily translate into Increasing Severity of

Environmental Burden high risks to health and poor environmental Source: Millennium Ecosystem Assessment conditions, however, as has been demonstrated Increasing Wealth Poor Settlements Wealthy Settlements by the success of com- munity-level organiza- Figure 1–3. Challenges to Urban Sustainability in Relation tions within a small to Wealth 40 number of slums. (See politan region first worsen, as pollution Chapter 8.) And transportationSource: patterns United Nations vary increases,35 and then improve, as resources for widely2015 among high-income cities, with large engineered controls and regulation became effects2005 on energy use, air quality, and land 30 available. In some cases, those regulations, use.1990 (See Chapter 4.)34 1950 combined25 with economic changes, force pol- Despite the complex circumstances of indi- luting activities to other locations.33 vidual cities, however, it is useful to under- This20 pattern does not mean that environ- stand overall trends. The rapidly growing mental problems automatically improve with cities of India, China, and other industrializ- greater15 wealth, as has sometimes been sug- ing nations need to organize and pay for gested.Population (million) Yet the fact that there are different their environmental cleanups. In rich nations’ 10 types of environmental challenges at different cities, reducing consumption of fossil fuels and income5 levels does have significant implica- other finite resources and redirecting invest- tions for sustainable development. The idea ment toward sustainably managed indus- of meeting0 the needs of the present has a tries—from renewable energy to sustainably i sharply different meaning for someone living harvested wood to well-managed fisheries— Delhi Lagos Cairo Tokyo Kolkata Dhaka Jakarta Karachi ManilaJaneiro Beijing Osaka in a slumMumbai than ãofor Paulo someoneShangha with a high- are critical to managing global threatsIstanbulMoscow to bio- S New York Mexico City Los Angeles Guangzhou income lifestyle. Similarly, the obligation not diversity,Buenos Aires climate,Rio deand renewable resources. to compromise the ability of future genera- Poor cities whose populations are also grow- tions to meet their own needs has a different ing rapidly must deal with worsening envi- resonance for the poor and the rich. ronmental and health conditions, in many Sorting cities by income alone is a drastic cases without comparable increases in locally oversimplification, of course. A key difference generated income. They might not be able to is the range of inequality in different cities, afford high-cost, long-term solutions such something that is missed by focusing only on as expensive drinking-water purification plants average income. The poorest residents of and citywide pipelines.

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STATE OF THE WORLD 2007 An Urbanizing World

Nature: Still Essential to dustrial city, drawing its sustenance from the farmlands around it. The ecological footprint Human Well-being attempts to adapt this picture to cities and All humans rely on the natural world: water nations deeply enmeshed in a global economy. comes from wells and streams; food from Using this approach, the per capita footprint farms and fisheries; and wastes are returned of high-income countries is eight times as to nature. Some ancient civilizations may large as that of low-income countries.36 have been weakened by degrading the natural Perhaps as important as the magnitude of resources they needed to keep their cities humans’ reliance on nature is how people operating. Archaeological evidence suggests take care of the ecosystems that supply ser- that although Sumerians had figured out by vices. There are pastures in the Alps and irri- 3500 BC how to draw water from the Tigris gation systems in Bali that have been used for and Euphrates Rivers to their fields to grow centuries with no diminution of their pro- wheat and barley, their irrigation systems did ductive capability. In many other cases, ecosys- not drain well, so salts built up in the soil and tems have been overused with disastrous caused wheat production to cease by 1700 BC. economic and social consequences, particu- Overuse of resources is also implicated in the larly when the social institutions to govern use fall of the Mayan cities of Central America.35 were absent or ineffective. Many ocean fish- Today, we still need trees and wetlands to eries are now suffering this fate. Or consider protect us from floods and storms, and we rely litter: no one owns it, and few want to pick on nature for the raw materials of everyday life. it up—so government refuse collectors have These ecosystem services are essential to life to be hired. There is a broader pattern here: and well-being. Securing necessary ecosys- when human responsibility does not match tem services is a daily preoccupation of hunter- the cycles and patterns of nature, irresponsi- gatherer societies and a seasonal reality to bility is likely to flourish. This is a problem of farmers and fishers today. But it is barely human institutions, including markets, gov- glimpsed amid the hustle and cacophony of ernments, and concepts of property. These city life, at least until disaster strikes in the form mismatches between nature’s logic and the of supply disruptions, skyrocketing prices, or rules and incentives that shape human behav- a “natural” disaster for which engineering ior are called problems of the commons.37 proves inadequate. As noted earlier, a city can In cities, the high intensity of human activ- be thought of as a mechanism to provide its ities leads often to problems where individ- inhabitants with ecosystem services; this is a ual interests are at odds with the common large task, performed imperfectly for many good. The central task of urban sustainabil- urban dwellers around the world. ity is effectively managing commons problems In the early 1990s, William Rees and in the ecosystems that sustain cities. Mathis Wackernagel devised the ecological During the Industrial Revolution, pollu- footprint to measure human communities’ tion in cities of North America and Western reliance on nature. The footprint is an estimate Europe spurred a renegotiation of the rela- of “how much land and water area a human tionship between humans and the environ- population requires to produce the resources ment as more people came to live at much it consumes and to absorb its wastes under higher densities than in rural areas. As indus- prevailing technology.” The appealing notion trialization drew workers to cities, water from of a footprint evokes the picture of a prein- wells was supplanted by piped water. The

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STATE OF THE WORLD 2007 An Urbanizing World availability of large quantities of relatively population spends roughly a sixth of its inexpensive water, in turn, spurred rapid household income on water. Moreover, growth in use. Between 1856 and 1882, for water sold by private vendors in small quan- example, water consumption in Chicago rose tities is far more expensive than water from from 125 to 545 liters per day per person.38 a pipe: 37 times more expensive in Accra, For poor people in low-income cities nearly twice as high in a study done in East today, nature’s services are both expensive Africa. Water that is costly is used sparingly: and arduous to obtain, as illustrated by the usually, hygiene suffers and disease is more cost of water. Water free of disease-causing prevalent. These problems have become so germs is available to a small and sinking share widespread that they affect families that are of residents of low-income cities. An assess- not poor. One scientist in an Accra research ment of 116 cities by the World Health institute rises before dawn each day to fetch Organization in 2000 estimated that only water for his family to bathe, carrying buck- 43 percent of urban dwellers in Africa had ets up four flights of stairs. He lives in the access to piped water. The fraction is declin- tony district among diplomatic compounds ing as more people settle in urbanizing areas in his nation’s capital.40 without water service and as the existing delivery systems falter from inadequate main- Infrastructure and tenance, corruption, and the exhaustion of their sources from growing demand. Yet Governance people still require water for drinking, cook- The economies of scale possible with high-den- ing, washing, and bathing.39 sity settlement in urban areas may offer the best Where water is not available by pipe, the chance to bring decent conditions to all of the costs can be steep. (See Table 1–3.) In two world’s poor and to conserve the resources on informal settlements in Accra, Ghana, a which we all depend. Health, education, and bucket of water from a standpipe costs about other measures of human development are 5¢, a price that seems modest to someone highest in countries with mostly urban popu- from Houston who readily pays more than lations. Our need to build at least as much $1 for 500 milliliters of bottled “spring” urban habitat as exists today, with its attendant water. But water can command more than 10 infrastructure and governance systems, is the percent of a poor family’s budget. In Addis central hope for sustainable development— Ababa, Ethiopia, the poorest fifth of the if we can learn the lessons of the world we are

Table 1–3. Cost of 100 Liters of Water in Accra and East Africa from Different Sources

Accra, East Africa, Water Source 2006 1997 Users

Sachet (500 milliliters) $8.01 General public for street drinking 30-pack (sachets) $4.45 General public for household drinking Bucket from kiosk $1.87 18¢ Households relying on shared standpipe Community shower $1.33 (bathing only) Informal settlement dwellers Vendor 27¢ 45¢ Mixed-income neighborhood without piped water Water pipe 5¢ 10¢ Households with pipe connection

SOURCE: See endnote 40.

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STATE OF THE WORLD 2007 An Urbanizing World

now modifying apace.41 a product that invigorates agricultural soils. Human life in cities is structured by infra- (See Chapter 3.)43 structure: water and food supply, sewers, Twentieth-century transportation infra- transportation and communications networks, structure has allowed urban food and energy technologies to improve air quality, and build- supply lines to stretch to new lengths, as pro- ings to house people and production. Phys- duction has become ever larger and more ical infrastructure is largely inflexible. Streets centralized. Although large farms and power and water pipes are expensive, long-term plants excel at producing more food and elec- commitments, shaping urban form for tricity with fewer employees, they generate decades to come. A decision against mass pollution and require complex distribution transit locks in a commitment to buses and routes, with use occurring far from the site of autos. If a power plant is built to burn coal, production. And despite gains in productiv- that implies a stream of greenhouse gases for ity, some 852 million people remain hungry, two generations. and roughly 1.6 billion lack electricity.44 A good deal of the infrastructure in high- Infrastructure is largely invisible—pipes income nations, built in response to the health are usually underground and water, sewer, threats in industrializing cities of the nine- electricity, and telecommunications services teenth century, spawned new problems. Engi- are widely taken for granted. But it is not inex- neers built dams and aqueducts to boost pensive. When it is financed and maintained urban water supplies, but the environment has from the public purse, governments take on suffered. A study of 292 large river systems in debt that usually can be repaid only if there the United States, Canada, Europe, and the is economic growth. In the decades ahead, former Soviet Union concluded that 42 per- access to capital to build infrastructure will cent of the ecosystems drained by these play a central role in the quality of life in streams were strongly affected by impound- cities, particularly for poor people. ments and diversions, putting at risk habitats As the large costs of physical infrastructure for a wide range of plant and animal species suggest, the social institutions needed to in the rivers and their watersheds.42 build, maintain, and pay for cities’ connec- Systems designed to channel waste away tions to nature are also complex and varied. from people as quickly as possible have also Foremost among them is the market, which improved human health while damaging the affords access to ecosystem services to those environment in other ways. When rainwater who pay. The magnitude of poverty in rapidly runs off pavement and into drains and sew- growing low-income cities thus poses a stark ers, the rivers at the end of the pipes flood dilemma. People who cannot afford reliable more often and more severely than would be access to vital ecosystem services suffer risks the case if plants, soil, and wetlands soaked up to health and well-being. Yet many govern- some of the deluge. Much as storm drains ments are so poor and so overwhelmed by short-circuit the water cycle, urban waste dis- the pace of urban settlement that they can- posal systems disrupt the nutrient cycle. not afford to build the infrastructure that Roughly half of the food brought into New would, in many cases, bring down the cost of York City is transformed into human energy; water, sanitation, and other services. The the other half is shunted to sewers or trucked problem of creating a business model that can to increasingly remote landfills. Yet organic bring affordable and clean water to residents waste is a valuable resource if composted into of low-income cities has beset corporations

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STATE OF THE WORLD 2007 An Urbanizing World and governments experimenting with priva- to development assistance have risen higher tization of water supply over the past 20 on the agenda of international donors over years. (See Chapter 2.)45 the past decade. Major efforts to decentral- In short, markets are not a complete solu- ize government have been instituted from tion for provision of nature’s services to urban Mexico to Mali to Thailand with notable inhabitants, especially where there are com- success. Decentralization has channeled more mons problems. The institutions that com- resources to municipal governments, and plement and substitute for markets range innovations such as participatory budgeting from bureaucracies to assure control of have in turn given poor communities a voice ecosystem interactions, such as public health in allocating public funds. There is still a long and environmental protection agencies, to way to go, however, in realizing the self-help traditions such as informal harvest limita- potential of slum dwellers and other poor tions in some fishing communities. Many of people in meeting their needs for nature’s ser- these social arrangements can be costly, vices. (See Chapter 9.)47 requiring educated workers and durable orga- nizations. As with physical infrastructure, sus- Circular Metabolism taining formal organizations requires steady revenues and effective management. Giving the poor a voice in solving local envi- The concepts of development and invest- ronmental problems would be a big step ment in infrastructure implicitly assume toward meeting the needs of the present, arrangements found in rich nations: public one of the two criteria of sustainable devel- institutions that are largely free of corrup- opment. But for sustainability in the long tion, economic activity that takes place in a term, more is needed: to move institutions formal economy, and per capita incomes and infrastructure toward forms that also high enough that water, food, shelter, and protect the ability of future generations to transportation become settled matters for meet their own needs. In this arena there are most people rather than persistent crises of ideas that cut across income groups. While daily living. there have been some promising beginnings, In low-income cities, however, these con- particularly in high-income nations, here too ditions are not present for many people, par- there is much work to do. ticularly those living in slums and in an A key conceptual step is to reconsider infra- informal economy. Yet people cope and structure. In theory, much of the waste from mostly survive. Safe drinking water, secure the water, food, fuels, and materials that course claim to a dwelling, protection from criminals, into cities could be reused or recycled. Her- and much else may not come from govern- bert Girardet called for substituting a “circu- ment at all. In these circumstances, commu- lar metabolism,” in which wastes are reused, nity-level organizations have sometimes been for the linear metabolism of a city that simply able to supply some social and public ser- converts resources into wastes. The notion of vices. (See Chapter 8.) Urban initiatives such closing nutrient loops in a way parallel to the as the Orangi Pilot Project in Karachi have operation of natural ecosystems can be pur- demonstrated that very poor people need sued at different scales, ranging from an indi- not live without sanitation or clean water. vidual building to the design of a metropolitan (See Chapter 2.)46 area. (See Box 1–2.)48 Recognizing that potential and linking it “Green architecture” is the name of an

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STATE OF THE WORLD 2007 An Urbanizing World

Box 1–2. Circular Urban Metabolism in Stockholm

Stockholm’s new urban ecological district Ham- ered through a district heating grid. marby Sjöstad is the best demonstration to Stormwater from streets is directed into a date of putting circular urban metabolism into purification and filtration system, and stormwa- practice through creative design and building in ter from buildings is guided to greenroofs and a new, dense neighborhood. From the outset, wetlands. Both streams of water are kept apart planners tried to think holistically—to under- from wastewater, which is treated separately. stand the resources that would be required by Carbon emissions from residents’ transpor- residents and the wastes that would result and tation are minimized, as the neighborhood is could be used productively. For instance, about close to central Stockholm, with a high-frequency 1,000 apartments are equipped with stoves light rail system, the Tvärbanan,and an exten- that use biogas extracted from the community’s sive pedestrian and bicycle network.There are wastewater. Biogas also provides fuel for buses also 30 car-sharing cars distributed throughout that serve the area. the neighborhood. People in the neighborhood put their solid While not a perfect example, Hammarby waste into a vacuum-based underground col- represents a new and valuable way of seeing lection system, which allows efficient separa- city buildings, and it requires a degree of inter- tion of recyclables and organic and other disciplinary and intersectoral collaboration that wastes. Combustible waste is burned and is unusual in most cities. returned to the neighborhood in the form of —Timothy Beatley, University of Virginia electricity and hot water, with the latter deliv- SOURCE: See endnote 48.

approach to building design that moves byproducts of combustion to make wallboard toward circular metabolism by using tech- and concrete.50 nologies that reuse water and generate elec- The concept of green infrastructure is tricity. (See Chapter 5.) Vegetation planted on gaining adherents in Europe and America. a building’s exterior captures water that would This is a planning idea for a whole metro- otherwise be wasted, for instance, while politan region, applicable also to rural areas reducing the energy needed for cooling. The facing strong development pressures. By 15-story IBM headquarters in Kuala Lumpur thinking at a regional level, planners identify designed by Ken Yeang is a good example of natural areas and corridors that can sustain the this. In New York City, photovoltaic cells ecological fabric of the area, allowing plants embedded in the south and east facades of the and wildlife to continue ecological functions Condé Nast building in Times Square, com- such as migration and seed dispersal, even as bined with two fuel cells, provide enough land is converted to urban uses. The net- electricity to operate the building at night.49 work of green spaces also provides flood con- A well-known example of a circular design trol, clean air and water, and recreational on a larger scale is the eco-industrial park in services to the urban residents.51 Kalundborg, Denmark, where waste gases Cities in low-income countries could, in from an oil refinery are burned by a power theory, leapfrog directly to twenty-first-cen- plant, waste heat from the plant warms com- tury technologies, and many ideas are being mercial fish ponds, and other companies use tried in industrializing economies, such as

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STATE OF THE WORLD 2007 An Urbanizing World the large-scale adoption of solar energy in Which Urbanizing World? Rizhao, China. Already, many cities have skipped directly to wireless phone systems, As most humans come to call an urban envi- and a number of projects are under way to ronment home in this century, we are learn- test the viability of water recycling and ing from the determined inhabitants of cities decentralized renewable energy in medium- like Accra. In the long-established slum of income countries. A key element of leapfrog Nima, a member of the municipal assembly innovation is making it possible for munic- has organized his neighbors to manage the ipal governments to benefit politically from mountain of refuse that emerges each day solving problems in new ways. One effort to from Nima’s numerous small businesses and do this in the rapidly urbanizing landscapes markets, helping an overtaxed city deal with of Asia is described in Box 1–3.52 the garbage that clogs drains and worsens

Box 1–3. The Mayors’ Asia-Pacific Environmental Summit

In May 2006, mayors and other local govern- Protection Agency, MAPES is funded by the Asia ment officials from 49 cities in 17 countries Development Bank and the U.S.Agency for around the Pacific Rim gathered in Melbourne, International Development. Australia, at the fourth Mayors’ Asia-Pacific “We know how to build sustainable cities,” Environmental Summit (MAPES), a conference Harris says,“but it is still hard to marshal the first held in 1999. Of 47 municipal leaders at political will to do so.” With an eye on Asia’s the 2003 meeting who pledged to meet specific rapidly growing cities, he and Hausker devised environmental goals within two years, 7 received MAPES to give mayors political rewards for awards for doing so in 2006.Their achieve- moving toward sustainability, together with ments ranged from building new composting technical resources and the chance to learn plants for municipal wastes in Nonthaburi,Thai- from one another. land, to extending water pipes to 4,000 poor Other attempts to transfer sustainable households in Phnom Penh, Cambodia, and development projects from one city to another installing a new sewage-disposal system in Male, have shown that lasting change is difficult to the capital of the Maldives. achieve. Even within a city, environmental Once a mayor makes a commitment, the reforms can be started and stopped with the summit organizers provide technical support changing of administrations. In , and help line up funding. In 2006, each city that energy-efficient lightbulbs in City Hall and a received a MAPES award also won a scholar- water recycling facility seem likely to last ship for a resident of the city to study at the beyond Harris’s tenure. However, his successor Royal Institute of Technology in Stockholm in a has ripped out some street trees, arguing that program leading to a master’s degree in urban Harris was fiscally irresponsible and that the sustainable technology.The American software city could not afford the cost of maintaining the publisher ESRI also offered assistance to cities trees.Whether MAPES, with its focus on politi- that wanted to adopt geographic information cal leaders, will be able to facilitate environ- systems in municipal management. mentally responsible development that is also The brainchild of Jeremy Harris, former sustainable in a governmental sense is an mayor of Honolulu, and Karl Hausker, an econ- important question. omist who worked at the U.S. Environmental SOURCE: See endnote 52.

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STATE OF THE WORLD 2007 An Urbanizing World

flooding in the rainy season.53 compound the demands already placed on We are seeing cities with rapidly growing nature by high-income urban and suburban economies like Tijuana experiment with consumers. All cities depend on many ecosys- reforms that have streamlined municipal tems. There are few cases now in which that finance, enabling the city to support residents’ dependence would be durable over the long self-initiated upgrading of their housing.54 run, even if population and consumption We have seen the transformation of Sin- were to stabilize. gapore in only one generation from a strug- The urbanizing world must coexist with gling, newly independent city-state to a the natural world if both are to endure. The modern postindustrial city prospering in a extraordinary diversity of human experience global economy through financial services, and human enterprise provides ample evi- manufacturing, and a major port. Singapore’s dence of the threat of wider irreversible dam- slums were replaced with modern housing, age to ecosystems but also promising paths most of it built by a competent, incorruptible toward a sustainable future. Urbanization, government. With its mass transit system and perhaps surprisingly, is leading us to rediscover compact urban design, Singapore also enjoys nature and the ecosystem services on which a high standard of living with lower energy use all humans rely. Creating urban habitats that per person than in the United States.55 deliver the bounty of nature in a sustainable None of these cities is sustainable yet. fashion to the inhabitants of cities in all soci- Low-income cities stagger under their grow- eties is an opportunity within our reach, as ing populations’ unmet needs. Industrializ- well as a cardinal test of our humanity. ing cities’ demands for energy and materials

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STATE OF THE WORLD 2007

: CITYSCAPE TIMBUKTU ------Greening the Hinterlands

As an ancient trading center at the Sahara’s the Niger River. Touré explains: “Since we edge and an early center of culture and learn- started planting eucalyptus, we have not had ing, Timbuktu occupies a unique place in to buy wood to cook or to build our houses. popular imagination. More recently, the With the sale of its wood, we can buy every- city captured attention during the Sahelian thing we need—grain, dry goods, livestock, droughts of 1968–74, when famine led to clothing, motorbikes. It is with this income the deaths of 100,000 people and millions of that we pay our taxes, purchase medicine and livestock, and 1984–85. Many survivors from school supplies for our children, and even northern Mali migrated to Timbuktu, which save money. People continue to plant rice grew from 8,000 people in the mid-1960s here, because it’s our tradition. But everyone to 32,000 in 1998. They found work in rice here has a woodlot.” 3 fields and market gardens, in the handicrafts Eucalyptus was first introduced by the industry, and in tourism and small enterprise. Malian forest service in the late 1980s with Timbuktu remains an active commercial cen- projects supported by the U.N. Capital ter for trans-Saharan trade.1 Development Fund and the International Since the late 1960s, increasingly arid con- Labour Organization that mobilized commu- ditions have led to the dramatic contraction of nity groups to plant trees along irrigated rice woodlands and flood pastures around the city. fields as windbreaks and for fuelwood. Devel- Drought devastated several critical species, opment projects supported associations of including bourgou, an aquatic grass that pro- individual producers by providing hand tools vides important dry-season pasture for live- and shared motor pumps to irrigate saplings. stock, and the doum palm, a slow-growing tree One such effort, the Projet de Lutte Contre whose trunk is widely used in construction. l’Ensablement, worked with 124 associations Yet Timbuktu’s growth has created incen- and 54 individuals before closing in 2001.4 tives for rural people to invest in natural A hectare of eucalyptus yields about 10.6 resource management. Along the banks of cubic meters per year in this region. The net the Niger River near the city, eucalyptus value of construction wood from a hectare woodlots and bourgou pastures have taken after five years is about $1,335 on the local root on once barren and fissured land. Over market. Coppiced trees can be harvested up the past two decades, rural people have been to three times, every five years, before they planting these species to supply the city with must be replanted.5 construction materials and fuel. Bourgou By the early part of this decade, according and eucalyptus provide significant money in to the regional director of the Forest Service, a region where the average per capita income people were planting trees so quickly that is $240 per year and 77 percent of the popu- foresters could not keep track. By then the lation lives in poverty.2 eucalyptus forest stretched along the Niger Aguissa Bilal Touré, mayor of Bourem- for 50 kilometers on either side of Timbuktu. Inaly, a village of 8,700 people that is 35 Some producers have begun making char- kilometers from Timbuktu, has been at the coal, and others are negotiating with process- cutting edge of this trend. Through careful ing facilities to sell eucalyptus leaves for use management, he earns about $1,335 a year in insecticides.6 from his five-hectare eucalyptus forest along In nearby Hondo Bomo Koyna, villagers

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STATE OF THE WORLD 2007 Cityscape:Timbuktu

Charles Benjamin

plant bourgou flood pastures, which they cut to sell for fodder in Tim- buktu. A single hectare of well- managed bourgou yields an average income of $800 per year. Amadou Mahamane, the village chief, explains: “Bourgou is more inter- esting for us than rice. After pay- ing for fertilizer and water fees, we earn around $180 per hectare from rice. We sometimes even use Young girl washes dishes in a bour our income from bourgou to pay gou plain, background, fish trap in the 7 near the town of Bourem-Inal our water fees for growing rice.” y Bourgou was introduced in 1985 by the French nongovernmental group Vétérinaires In other words, the income from bourgou Sans Frontières (VSF) to rehabilitate flood is more important than what I could have pastures damaged by drought. From 1985 to earned abroad.” 9 1989, VSF worked with 24 nomadic groups Driven by urban demand for wood and and 19 villages. Hondo Bomo Koyna was the fuel, this greening of Timbuktu’s hinterlands first to ask for help; the number of individuals has not only reconstituted natural resources cultivating bourgou there climbed from zero but also increased the resilience of the envi- to over 150, and they planted about 1,200 ronment. Woodlots have stabilized the banks hectares. Villagers soon discovered demand of the Niger River, slowing the movement for bourgou in Timbuktu, where people were of sand into the riverbed. They have slowed increasingly investing in home livestock. As a erosion by protecting the soil from wind result, they nearly doubled the area planted and rains. And the bourgou grasslands have in bourgou.8 buffered fields from seasonal floods and pro- The woodlots and flood pastures around vided spawning grounds for fish. Timbuktu are unintended outcomes of pro- Although development organizations jects intended to improve the natural resource jump-started the process, local initiative base of rural production systems. For hun- spurred the rapid spread of bourgou and euca- dreds of people like Touré and Mahamane, lyptus. The relationship between Timbuktu a healthier natural resource base has meant and the surrounding countryside offers a increased income and reduced vulnerability powerful counterpoint to commonly held to drought. The income from these products beliefs that rural people in the Sahel are hope- provides rural people with a few more choices. lessly trapped in a cycle of poverty and envi- They are not forced into cities as environ- ronmental degradation and that urbanization mental refugees. A young man in Hondo has exacerbated negative environmental trends. Bomo Koyna explains: “Last year, my brother —Charles Benjamin, Williams College, who lives in Senegal called me to help with Massachusetts his business. I responded that I couldn’t come —Aly Bocoum, Near East Foundation, Mali until after the bourgou had been harvested. —Aly Bacha Konaté, Réseau GDRN5, Mali

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STATE OF THE WORLD 2007 : CITYSCAPE LOJA ------Ecological and Healthy City

When Dr. José Bolívar Castillo was elected City Planning, explained that the greenery mayor of Loja, Ecuador, in 1996, land use “acts as a sponge by retaining stormwater, policies permitted this impoverished Andean which prevents the rivers from flooding,” city of 160,000 to sprawl uncontrollably, while Dr. Humberto Tapia, Director of Pub- including in precarious parts of the city. lic Health, noted that exercising in parks resulted in flooded rivers, reduces preventable illnesses such as obesity, while lead-fueled buses and cars polluted the diabetes, and heart disease, which in turn can air. Garbage filled the city’s streets, polluted lower the death rate from these ailments.4 rivers, overflowed collection bins, and ulti- In addition, Wilson Jaramillo, a municipal mately filled a site across the street from the transportation planner, noted that air quality world-renowned Podocarpus National Park.1 improved following what he called “a more For Mayor Castillo, “The inspiration for sustainable transportation policy” by imple- an ecological city came from within Loja. I menting a new rule requiring all cars to run remember when I was a child, before the city on unleaded gas with catalytic converters became so polluted.” During his eight years and by running cleaner public buses through- as mayor, Loja’s turned the city out Loja.5 from an “average” Ecuadorian city, into a To handle the waste problem, the city’s ciudad ecologica y saludable—an ecological recycling program required residents to sepa- and healthy city—by implementing policies rate organic from inorganic trash. Residents that underscore the correlation between a have been very receptive to this program: 95 healthy ecosystem, a healthy human popula- percent of them separate their garbage per- tion, and a healthy economy.2 fectly every day. Meanwhile, the municipality Comprehensive land use planning and envi- collected all of the city’s trash at least once ronmental policies that were carried out at daily and swept streets several times a day, the scale of the county limited degradation of leaving them eerily clean.6 the land, improved public health, and facili- The benefits of this program were wide- tated the municipality’s management of neces- spread. Ecologically, the city recycled all organic sary infrastructure—all while saving material waste and over 50 percent of the inorganic and construction costs for important munici- waste generated in the city, dumping non- pal projects, such as adding water lines to the recyclables and hazardous waste in a sanitary poorest neighborhoods. Scientist Dr. Ermel landfill. Economically, the city earned about Salinas explained that the water supply was $50,000 a year (7 percent of the program’s drinkable “because our rivers have been $685,000 operating cost) from selling recy- cleaned up, protected and are treated to cled materials, and it created more than 50 United States Standard Method require- related full-time jobs citywide. And in terms ments,” preventing many illnesses caused by of health, the cleanliness of the streets low- drinking dirty water.3 ered the presence of rodents and vermin.7 A well-enforced ordinance required real Understanding why the recycling program estate developers to leave 20 percent of their works so well can help others bring about land undeveloped for public open space, environmental change in their own cities. resulting in many popular parks. Architect Most obviously, Lojanos joined in because Jorge Muños Alvarado, Loja’s Director of the municipality fined any household or busi-

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STATE OF THE WORLD 2007 Cityscape: Loja Municipality of Loja Municipality of Loja

ket s at the San Sebastián mar Trash container bef ness that did not com- ore (left) and after the impro ved collection and recy ply with a local regulation that required cling program was implemented (r - participation. Furthermore, the municipality ight) shut off a building’s water supply if its owner did not pay the fine. The system’s organiza- something I had never seen before—that’s tion also assured a high rate of participation: what it means to live….When I achieved my each collection truck met its schedule, plus goal it satisfied me and validated me as a per- or minus 10 minutes, seven days a week—and son and professional, raising my confidence inspectors on the trucks recorded and rigor- and increasing my expectations of myself.”10 ously enforced infractions. Fernando Mon- In addition, explained Fernando Monte- tesinos, Director of Sanitation, insisted that sinos, it helped that no single “recycling tax” the program was “an investment of Lojanos existed. Rather, 20 percent of each house- in our own city.” 8 hold’s water bill (about 20¢ per month) Moreover, the municipality created incen- funded a portion of the recycling program, tives for participation, such as providing pipes while smaller percentages of taxes were taken for water lines and materials for public parks, from the highway tax and other public funds. which were constructed through communal Thus recycling became not a project unto work projects called mingas. Lolita Sama- itself, but a small part of a greater network of niego, president of La Floresta, a women’s public works and development projects.11 housing organization, explained that a minga The city has won three international prizes is an obligatory event where “everyone works for its efforts: the International Awards for for everyone’s benefit…women provide food Livable Communities’ Nations in Blooms first and men distribute the work amongst them- prize for community involvement (endorsed selves, working from sunup to sundown.” by the United Nations Environment Pro- These gestures strengthened residents’ per- gramme), its bronze prize for a global eco- ception of a direct relationship between waste logical city (behind the Swedish cities management, natural resources, and civic Norrkoping and Malmo), and Promoter of improvement. Local leaders asserted that civic ’s City of the Americas awareness and cultural solidarity were values first prize for public recreation and physical that stemmed from Loja’s indigenous past.9 activity. If a poor city that has many needs Furthermore, hiring a local workforce gave beyond the health of its environment can city workers a tremendous sense of ownership learn to embrace the ecological city, then such and pride. One evening, Marlon Cueva and a concept—with appropriate cultural adjust- other Lojano engineers spoke of the signifi- ments—surely can succeed elsewhere.12 cance of having designed Loja’s recycling —Rob Crauderueff facilities: “Designing Sustainable South Bronx, New York

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CHAPTER 2

Providing Clean Water and Sanitation David Satterthwaite and Gordon McGranahan

Few readers of this chapter spend any time or more than 50 meters from people’s homes, effort collecting water for their daily needs. and often much further. In many places, We have water on demand, when we need it, there are long lines at the tap or tanker, 24 hours a day, in kitchens, bathrooms, and greatly increasing the time needed to get toilets. We do not have to fetch and carry it water. The water often has to be paid for— from a distant public tap or water tanker or and it costs much more per liter than water from a polluted river. But hundreds of mil- piped into our homes.1 lions of urban dwellers in low- and middle- Almost everyone reading this chapter has income nations still do. a toilet in their home and easy access to toi- A household of five needs at least 120 lets in their workplace, with piped water to liters per day (24 liters per person) to meet a basin for hand washing. Hundreds of mil- basic needs—for drinking, food prepara- lions of urban dwellers in low- and middle- tion, cooking and cleaning up, washing and income nations do not have this. They have personal hygiene, laundry, house cleaning. no toilet at all or only communal toilets that This means someone in the household (usu- are hard to get to or public toilets that are ally a woman or older child) has to fetch and far away, dirty, and expensive to use—and carry 120 kilograms of water—the equiva- these are often dangerous for women and lent of six heavy suitcases—every day. This children to use after dark. As a result, hun- heavy load often needs to be carried over dreds of millions of people have to defecate considerable distances. The water tap or the in the open or into waste materials they place where a water tanker delivers is usually throw away.

David Satterthwaite is a Senior Fellow at the Human Settlements Programme and Gordon McGrana- han is Director of the Human Settlements Programme at the International Institute for Environment and Development in London.

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

Sanitary Revolution tional funding levels and the low priority that most funding agencies give to this. But pro- Still Needed vision is also poor in many cities that have Clean, convenient water supplies for drinking received substantial international funding. and bathing and convenient toilets only Clearly, existing approaches are not work- became routine in the last 100–150 years. The ing—but what has to change?5 cities of the industrializing world in the nine- At first glance, the solutions seem simple: teenth century were notorious for being far expand international funding for systems that less healthy than their rural surrounds, until have worked well in high-income nations— the sanitary revolution provided them with piped water supplies and flush toilets con- piped water and sewerage systems. Today, nected to sewers in each home. These may be about a billion urban dwellers still need their water-intensive and poor at recycling. But sanitary revolution.2 this is hardly a reason for letting hundreds of The health costs of inadequate provision millions of urban dwellers suffer the ill health, are very large. A million or more infants and hardship, and indignity of distant, overused, children still die each year from diseases or contaminated water supplies and unsani- directly related to inadequate provision of tary living conditions. water and sanitation, and hundreds of millions Flush toilets and sewers are generally the are debilitated by illness, pain, and discomfort. safest, most convenient, most easily main- Their nutritional status is often compromised tained forms of provision in urban areas for by water-related diseases (especially diarrhea homes, schools, workplaces, and public places. and intestinal worms).3 They provide public health advantages by It is still common for one child in 10 to die reducing the risk of human contact with ex- before their fifth birthday in urban areas in creta and preventing groundwater contami- low-income nations, with much higher mor- nation. Water and sewer pipes require very tality rates among low-income urban dwellers. little space within buildings—an important Such statistics are not surprising, considering advantage in most city contexts—and flush that around half the people in African and Asian cities lack water and sanita- Table 2–1. Number and Share of Urban tion to a standard that is healthy and Dwellers Lacking Adequate Provision of convenient. For Latin America and the Water and Sanitation, by Region, 2000 Caribbean, more than a quarter lack such provision. (See Table 2–1.)4 Region Lacking Water Lacking Sanitation How is this possible, given that in (number of people) the mid-1970s governments and inter- Africa 100–150 million 150–180 million national agencies committed them- (35–50 percent) (50–60 percent) selves to making safe water and Asia 500–700 million 600–800 million sanitation accessible to all by 1990? It (35–50 percent) (45–60 percent) might be explained by governments Latin America and 80–120 million 100–150 million and international agencies concentrat- the Caribbean (20–30 percent) (25–40 percent) ing on needs in rural areas—but pro- vision for much of the rural population SOURCE: See endnote 4. Note that these figures are “indica- tive estimates” because most governments do not report on is also very inadequate. It might be the share of their population with adequate provision of explained by disappointing interna- water and sanitation.

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation toilets work better than most other forms of with building and planning regulations. This sanitation in multistory buildings. Their unit presents difficulties for any agency as there is costs are reduced with higher densities, in no official, registered “owner” to whom they some cases making them cheaper than on-site can offer a service—and it is risky to extend latrines. And if most or all households and piped supplies or sewers to illegal settlements workplaces have piped water supplies, sewers that the government may bulldoze. In fact, it are needed to collect wastewater even if they is often illegal for official providers to do so.8 do not collect toilet wastes. This system also In addition, the ways in which most cities works well in many urban centers in middle- have expanded in low-income and most mid- income nations such as Brazil and Mexico, dle-income nations is haphazard, with most where a high proportion of the population is new developments being outside of any plan well served by this model.6 or regulatory framework. Most cities have But in low-income urban settings flush expanded with very inadequate provision of toilets and sewers are rarely cost-effective, land use management (including the need often become dysfunctional, and—where they for new land development, watershed pro- do function—often reach only a small elite of tection, and flood control) and basic infra- urban residents. This conventional “high- structure. New homes or enterprises sprout income-nation” solution will not work in up in areas unserved by water and sanitation most urban centers in Africa and Asia or infrastructure—and often in places that are many in Latin America and the Caribbean expensive to reach. Meanwhile, all water users because there is no local capacity to provide and wastewater generators seek the cheapest the needed design, implementation, man- and most convenient means to meet their agement, and financing, as well as account- needs, regardless of whether it depletes or ability to residents. The effectiveness of this contaminates groundwater resources or pol- model depends almost entirely on the service lutes water for those downstream. provider. A pit latrine may seem inadequate The larger the city and the greater the in most urban contexts, but it is an option that volume of wastewater generated by house- households can build and manage themselves holds and businesses, the more pressing is the without depending on an external agency. It need for good wastewater management. Dif- also works without a regular piped water sup- ficulties providing this are compounded when, ply (unlike flush toilets). Most urban centers as is often the case, built-up areas limit water in low- and middle-income nations—includ- infiltration and channel storm water flows in ing many with more than a million inhabi- ways that cause or exacerbate flooding. tants—have no sewers at all.7 In most urban centers in low- and middle- Measuring Deficiencies income nations, many of the people lacking adequate water supplies and sanitation live in in Provision “slums” or informal settlements. More than To say that everyone needs access to water 900 million urban dwellers live in “slums” in and sanitation is not enough. No one can live low- and middle-income nations, and this is without drinking water and defecating, so in where most of the deficiencies in provision are a sense 100 percent of the population has evident. Most of their housing is informal or some form of access. But what everyone even illegal—on land illegally occupied or needs is adequate provision—provision that subdivided and with a house not compliant is safe, affordable, and accessible. To achieve

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this, we need to know who already has this a representative sample of households. But it and, more important, who does not. is impossible to know whether a household This is difficult to measure. In most low- has adequate water and sanitation on the and middle-income nations, there is no infor- basis of a few predetermined questions, par- mation on who has adequate water and san- ticularly where people rely on a range of itation. While a discussion of how to measure water sources and technologies for different who has adequate provision might seem to be uses and at different times and seasons. Ade- a technical issue, actually it should be at the quate provision depends not only on the center of all discussions. Get the measure- technologies involved but on how they are ments wrong, and the problem is misstated, used, in what sort of setting, and by whom. which usually means that the policies to Men, women, and children have different address it are also wrong. For too long, that needs, and people with impaired mobility, is what has happened. including many elderly, have their own spe- It is easy to list the attributes of adequate cial needs. Finding out whether a house- provision of water and sanitation, but it is dif- hold’s pit latrine is adequate, for example, ficult to measure most of them. For water, the would require a long list of questions and issue is whether each person has easy, afford- observations, most of which would be quite able access to safe and sufficient water for all different from those relevant to flush toilets needs. Easy access implies that water sup- or a communal toilet. plies are close to the home, are regular, and can be obtained without waiting in a long Adequate provision depends not line. Water quality is also very important, at only on the technologies involved least for the water to be used for drinking and food preparation. Of course, all of this water but on how they are used, in what needs to be available at a price that even low- sort of setting, and by whom. income groups can afford. The attributes of adequate sanitation are Large-scale household surveys typically also easily listed. Clean and readily available involve samples that underrepresent precisely places for women, men, and children to defe- the areas where water and sanitation provision cate in private at home—and also at work, at is at its worst—people living in informal, low- school, and in public places—with good pro- income settlements. They are also not vision for anal cleaning (and managing the designed to provide useful information for safe disposal of paper or other materials used) local water providers; they can say what pro- and washing. If there is no provision within portion of households in a nation lack piped each person’s home, good-quality, easily water supplies, but they do not indicate exactly accessible, well-maintained toilets should be which households lack them—or which neigh- available close by at costs that low-income borhoods have the worst provision. Censuses people can afford. Excreta must be disposed provide the coverage that household surveys of in ways that prevent contamination by do not because they draw information from direct contact, contaminated water, or flies. all households (though they too usually Although these criteria seem uncontro- undercount the homeless and those living in versial, it is hard to find out who has water and informal settlements). But censuses at best toilets that meet them. Most official statistics happen every 10 years, and they generally are based on questionnaires administered to include even less information on water and

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation sanitation. It is also rare for the information lem but also about where the worst situations they contain to be made available to local are found.10 governments or utilities to identify where The fact that U.N. statistics do not mea- improvements are most needed. sure who has adequate provision helps This creates a dilemma for those respon- explain why urban populations that show sible for presenting international statistics on “improved” water and sanitation still have water and sanitation. They can either aspire very high infant and child mortality rates. For to estimates of the population shares without instance, according to a U.N. report pub- adequate water and sanitation, despite the lished in 2002, over three quarters of the absence of any systematic empirical basis for urban population of Kenya and Tanzania such estimates, or they can develop indicators had “improved” provision of sanitation in that can be estimated empirically but that do 2000—but most of these have poor-quality, not correspond to adequate provision. Dur- poorly maintained pit latrines, often shared ing the Water and Sanitation Decade of the with many other people. Infant and child 1980s, governments were asked to provide mortality rates remain high in the urban estimates of access to “safe” water and sani- areas of both these nations.11 tation even though most had no real basis for Although it is tempting to argue for more- doing so. Starting in 2000, and setting the detailed, internationally comparable house- basis for monitoring progress toward the Mil- hold surveys, these do not provide the lennium Development Goals (MDGs), the information needed at the local level. Action latter approach prevailed instead, and gov- on the ground often requires detailed data ernments have been helped to develop esti- about each household, each structure, each mates of the proportion of urban and rural plot boundary in the poorly served areas, populations with “improved provision” on the and the forms of provision already found basis of household surveys wherever possible.9 there. It also requires maps that include con- The statistics in Table 2–1 might seem to tours and details of roads, paths, and plot be at odds with official U.N. statistics, which boundaries. This is not the same as the infor- show a much smaller proportion of urban mation that governments and international dwellers lacking “improved provision.” But agencies need to monitor provision. While it the Table provides estimates of access to is important to recognize the deficiencies in adequate water and sanitation, while U.N. the statistics commonly used to monitor statistics provide estimates of “improved” progress toward the MDGs, it is more impor- coverage, which may or may not be ade- tant to correct the deficiencies in the infor- quate. As the United Nations explains, there mation needed to drive local action. are no data available for most nations on the proportion of people with good quality or First Things First “adequate” provision from a health per- spective or with “sustainable access to safe Although the most animated discussions on drinking water,” as called for in the MDGs. water and sanitation generally focus on which Unfortunately, many who use the official technologies should be used, the choices of statistics are unaware that these do not mea- how to finance and manage provision and sure “adequate” or “safe” provision. This who takes responsibility for different aspects often means erroneous conclusions are of it are just as important. Discussions on drawn not only about the scale of the prob- finance and management tend to focus on

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

public versus private, but here too there are ing everyone with the same form of provision. a range of options, often with public, pri- It is much better to have well-managed vate, and nonprofit organizations having com- cheaper provision in low-income areas than no plementary roles. provision at all—well-managed communal A key issue is whether the providers and water taps, for instance, rather than house their associates—whether government agen- connections. The lower-cost forms of provi- cies, private enterprises, or nongovernmen- sion can allow incremental improvements as tal organizations (NGOs)—are accountable more finance becomes available. For instance, to local residents. What is needed in each the piped water system serving the communal urban center or district is more competent taps needs to have the capacity to allow house- local water and sanitation organizations in hold connections when people can afford which those who are unserved or ill served them. Sometimes it is cheaper to expand water have influence. In many of the cities where provision by tapping local water resources provision has improved and expanded, it rather than waiting for the expansion of the was not technological innovation that drove conventional water mains. Externally funded the improvements, but financial and man- “solutions” that replace rather than build on agement innovations underpinned by existing systems are often overly expensive responses to demands from those without (as well as ill suited to local circumstances) and adequate provision. can discourage or even crowd out more appro- Thus, there are no universal truths in priate locally funded solutions.12 regard to technology, management, or financ- Provision can also be improved in ways that ing, although there are some useful working are not classified as “water and sanitation” principles. For one, what is provided has to projects. For instance, housing loans may work for low-income groups, which also allow low-income households to improve means being convenient and affordable by provision in existing homes. There is a grow- both users and providers. This also means ing trend for micro-finance institutions to seeking solutions that do not undermine the provide loans for home improvements— financial viability of providers—whether pub- which often include connections to piped lic or private. It is nonsense to think that it is water and sewer systems or better provision always possible to recover all costs, including within the home through better internal all infrastructure investments, through user plumbing or toilets. Or mortgage finance fees or connection charges. The poorest can allow people to buy or build a new home groups may have incomes so low that full with better provision. Programs providing cost recovery is impossible, making cross- those living in informal settlements with legal subsidies necessary, through either utility tar- tenure may allow local utilities to extend iffs or taxes. But it is good practice to seek piped water and sewer connections that were solutions that keep down unit costs and min- not allowed when the settlements were ille- imize the need for subsidies. The less these are gal. Many city government support “slum needed, the more the possibilities of expand- and squatter” upgrading programs, which ing provision and reaching those with very usually include better provision of water and limited incomes, and the less the dependence sanitation. Federations of “slum” and “shack” on external funding. dwellers can work with the relevant agencies Seeking to reach everyone with adequate on the household enumerations and map- provision does not necessarily mean reach- ping of informal settlements that are needed

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

for local action—and at a small fraction of the ensure that those who do receive piped con- cost of professionally managed surveys.13 nections pay the full cost (within a system that seeks to keep down such costs). Second, Providing Adequate look for ways to ensure better provision for low-income groups and other groups cur- Water Supplies rently unserved. This might involve con- The best system for providing water remains necting them to the piped network, but if the a city-wide piped network supplying as many cost of house or yard connections is too households and other buildings as possible high, provision could be through shared with in-house piped connections. The cost of taps or communal or public taps or through serving each structure with piped supplies supporting separate provision (for instance, comes down with increasing densities. Cities local shared water tanks that draw from also provide economies of scale for water groundwater). treatment and bill collection. Willingness and In all urban centers there is a need to capacity to pay is higher in most urban areas, review who is using poor-quality water if a good service is offered. sources—for example, unprotected shallow But installing, managing, and, where wells and untreated water from local rivers or needed, expanding a piped water system is lakes—and to discuss with them the best complex. This is especially so in rapidly grow- means of improvement. This means consid- ing cities, where there is usually a patchwork ering what arrangements with low-income of new developments scattered around the neighborhoods can improve provision in ways periphery of the built-up area to which it is that can be afforded by providers and inhab- difficult and expensive to extend pipes for itants. (See Table 2–2.) Providing taps in water. In many cities and small urban centers backyards is cheaper than in-house connec- where local capacity is lacking, the piped sys- tions. Water taps shared and managed by tem serves only a small proportion of inhab- 5–25 households are much cheaper than yard itants—generally the better-off. Water supplies taps, especially if billing is shared (since it is are also often intermittent—which commonly much cheaper for the water provider to col- means that supplies in many parts of the sys- lect the money from the group). Water kiosks tem are contaminated (as pressure in the (where water is sold by the bucket) are also piped system drops, contaminants can easily a possibility—and these can be managed by seep into the pipes through cracks). a community organization. But if water costs more than low-income groups can afford, One critical issue is how to reduce they will draw on unimproved sources for other domestic needs.14 costs and increase the possibility of Of course, all these forms of provision covering them, through either user need a regular, sufficient, good-quality water fees or some form of public finance. supply. Communal and public taps need reg- ular water supplies; it is often the intermit- However desirable it is to recommend a tency of supplies that causes long lines. In all citywide system with piped connections for this, perhaps the most fundamental change everyone, this is often beyond local capaci- sought is the quality of the relationship ties. A pro-poor strategy in such circum- between water providers and the population. stances would focus on two aspects. First, Most households would prefer to be as far

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down the steps in Table 2–2. Ladder of Water Supply Improvement Options Table 2–2 as possi- for Households ble, so one critical issue is how to Types of Provision Management reduce costs and Shared Individual or increase the possibil- unimproved communal ity of covering them, water sources through either user Shared fees or some form of public taps public finance. Even Cooperative Mixture of formal if the upstream infra- taps (such (for instance, for structure and trunks as 1 per 20 supply) and com- households) munity are government- funded—and there Yard taps for each is often consider- household able justification for Individual Formal this—the costs for house supplies organization connection and (including (government or for operation and multiple-tap) private sector) maintenance can be burdensome for low- Shift from left to right leads to or involves: • increasing convenience (and decreasing time needed to obtain water), usually income households. increasing unit costs; and One innovation • increasing use of water,usually with health benefits (especially for washing, laun- first developed in dry, and personal hygiene). Brazil and now Shift from left to right is helped by increasing size of population, more commer- being applied in sev- cial and industrial demand (which helps fund infrastructure), and more households eral other nations is with greater capacity to pay. “condominial” water Shift from management by households and communities to professional man- supplies. Here, the agement involves increasing sophistication for technical management and higher cost of the public capital costs.

water network is SOURCE: See endnote 14. much reduced by the water agency providing the water pipes to capacity to pay. One example is the commu- groups of households (including condo- nity taps program in San Roque Parish, Man- miniums or cooperatives)—with the house- daue City (which is part of Metro Cebu, in the holds within this group taking responsibility Philippines). A local federation formed by for installing the pipes to their homes or savings groups of urban poor people provides yards. This can cut the cost per household the legal framework for various community- served so much that many low-income house- managed development projects. The Metro holds can afford this instead of communal or Cebu Water District’s Community Faucet public standpipes.15 Program gives poor communities permission There are also many examples of local inge- to tap into the mains and get water at a low nuity and partnerships that allowed improved cost if they plan, finance, and manage the lay- provision despite limited budgets and users’ ing of the pipes and install the taps.16

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

Providing Adequate Sanitation ers—although the dehydration model (where urine is separated from feces) reduces The ideal adequate sanitation is for every- the space needed. The unit costs vary widely, one to have a well-functioning toilet within depending on local circumstances and the their home, with facilities for washing after type of system used. using it. But for many low-income groups, A study in the city of Kunming in China this is not possible—it may be too expen- asked stakeholders about introducing two sive, or the room or rooms they live in are different kinds of eco-sanitation: “no mix” rented and the owner does not want to pro- toilets in which urine is separated for use as vide toilets. One defining characteristic of a fertilizer (with feces disposed of through cities is the high cost of space, so poorer peo- a conventional flush) and dry toilets, also ple live in overcrowded conditions in order to with urine separation but with feces kept in keep accommodation costs down. Many low- a chamber within the house, with ash being income households have only one or two added and the dry wastes collected regu- square meters per person. In addition, the larly. Most people surveyed recognized the most “space-efficient” form of sanitation—a need for such toilets: Kunming is by a lake toilet connected to a sewer—is often not an that is now heavily polluted. The dry toilets option because there are no sewers.17 are significantly cheaper and imply much For the full public health benefits of san- less water use, but most stakeholders con- itation, every woman, man, and child needs sidered them less appropriate. This suggests to be able to use a toilet that safely disposes the need for innovative technical and orga- of their feces. If even a small portion of the nizational solutions to make dry toilets more people in a neighborhood defecate in the acceptable in urban contexts. This form of open, this can put everyone’s health at risk. eco-sanitation is likely to find widespread But whatever the health and other risks posed application first in lower-density develop- by defecation in the open or into waste mate- ments on the edges of cities, where there are rials (known as “wrap and throw”), these fewer space constraints and no sewers to remain the cheapest sanitation options. (See connect to and where demand for the “nutri- Table 2–3.)18 ents” is close by.19 Eco-sanitation, which takes an ecosys- A Pakistani NGO, the Orangi Pilot Pro- tem perspective, emphasizes the closure of ject (OPP), has helped transform debates material flow cycles, including the recycling about provision of sanitation by demon- of human excreta and water from house- strating that it is possible to install good- holds. Returning urine and feces to the soil quality sewers serving each house, even in makes wastewater treatment much cheaper. low-income settlements, with full cost recov- Most forms of eco-sanitation also use little ery. This NGO was formed in 1980 to sup- or no water. For the system to work well, port new models of providing infrastructure there needs to be a good, safe way to store and services in Orangi, a large cluster of low- and remove the urine and feces—and then income, informal settlements in Karachi that- transport the materials to farmers who want now has some 1.2 million inhabitants. Since to use them. It also requires good manage- then, its work has expanded to encompass ment to control smells, keep the toilets many other areas of Karachi and to support clean, and avoid flies. Most designs use partner organizations working in other urban more space than toilets connected to sew- centers in Pakistan.20

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Table 2–3. Different Sanitation Options and Costs

Cost per Type of Provision of Sanitation Household Benefits and Drawbacks (dollars) A flush toilet connected to a 400–1500 Costs per person rise a lot if provision is made for sewage sewer or septic tank within each treatment using conventional treatment plants with high home plus piped water to the levels of treatment. home for personal hygiene Condominial sewers (the 40–300 With high densities and strong community organization Orangi Pilot Project model and input, unit costs per household can compete with pit of “component sharing”) latrines. An “improved” latrine or pour- 40–260 No need for sewers. Improved latrines control smells bet- flush toilet linked to a latrine ter than conventional pit ones and limit or prevent insect within each home access to excreta. Difficult to find space for this in most urban contexts; not suitable for multistory buildings. Chil- dren often frightened of using them (dark, large pit). Eco-sanitation 90–350+ In most models, no need for sewers. Many models with provision for urine diversion, which has advantages for nutrient recycling and on-site decomposition but usually adds significantly to unit costs. Basic latrine 10–50 No need for sewers. If well-managed, can be as healthy as more expensive options but difficult to find space for in most urban contexts; not suitable for multistory buildings. Access to a public or communal 12–40 Effectiveness depends on how close it is to users, how toilet/latrine (assuming 50 safe to use at night, how well maintained, and how afford- persons per toilet seat) able by poorest groups. Possibility of open defecation or none Obvious problems both for those who defecate and for defecation into waste material others in the community.

SOURCE: See endnote 18.

At the core of OPP is the concept of “com- and sanitation agency. This brings unit costs ponent-sharing,” whereby the inhabitants of down to the point where low-income house- each street or lane take responsibility for plan- holds can afford to pay and so allows full ning, financing, overseeing the construction cost recovery. Thus, each lane organization of, and managing the “internal” pipes—in the offers the local sanitation utility a partner case of sanitation, the lane sewer to which who can manage the most time-consuming each household’s toilet connects—that then aspect of improved sanitation—the work at connect to a government-provided “external” each household and lane. sewer or to a natural drain. As the inhabitants The intention of the locally supported of each lane work together to install and initiatives in Pakistan is to form partner- manage the pipes, advised by OPP or another ships with local governments. OPP has also local organization, they cut unit costs dra- supported the mapping of all informal set- matically—typically to a fifth of what they tlements in Karachi, with the help of local would have been charged by the official water youth teams, to strengthen inhabitants’

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation claims to stay on the land and to provide the directly with urban poor organizations, build- basis for installing or improving water, san- ing their capacities; the demonstration of itation, and other infrastructure. For people new ways of designing, building, managing, living in an informal settlement, negotia- and financing water and sanitation infra- tions with any government agency are enor- structure; the very detailed documentation mously strengthened if they have accurate and mapping of needs; the credibility estab- and detailed maps showing existing plot lished with local governments; and, finally, the boundaries, roads, pipes, and drains that quality of the advice provided to communi- also allow detailed discussions of what is ties and to government. needed to improve conditions and where this has to be built.21 Communal Provision of After more than two decades of work—and often opposition from government as well Water or Sanitation as external consultants who told them they Communal or public provision of water had the wrong approach—OPP has not only through public taps or water kiosks has long supported or catalyzed good-quality sanita- been seen as a “solution” for poorer groups. tion and drainage for hundreds of thousands But the same does not hold for sanitation, of people in Karachi. It has changed the way although this has been challenged recently by that city governments design and plan sani- some local innovations (with some receiving tation provision. It succeeded in changing a support from the international NGO Wat- sanitation master plan for the whole of erAid). The communal approach works bet- Karachi from one that was expensive and ter for water, as people can store water in poorly designed (and unlikely to work well) their homes and can avoid lines or the need to one that was far more effective, cheaper, to fetch water at night. Communal or pub- and better for low-income groups and that lic provision of sanitation is never ideal—but avoided the need for a large foreign loan. in many places it is the best compromise OPP is helping to identify priorities for work between better provision, affordability, and all over the city—influencing what govern- the potential for local management. It is ment investments are made but without rely- cheaper than household provision and often ing on funding from government to do so in much easier to provide in existing high-den- order to safeguard its independence. sity settlements.22 This example raises an interesting issue— Efforts to provide public toilet blocks in the role of local civil society organizations in India provide one example of this working developing the best possible mix between well. (See Box 2–1.) As with OPP in Pak- good-quality and convenient provision, istan, this was initiated by local NGOs and affordability, and local management. The community-based organizations but not as annual budget of this local NGO is tiny com- autonomous provision. The project pared with the value of the pro-poor sanita- improved sanitation for hundreds of thou- tion and other activities it has supported—and sands of people and showed how to reduce also compared with the money it has saved the the gap between the cost of achieving bet- government in unnecessarily expensive and ter provision and what can be afforded by poorly designed infrastructure systems. The low-income groups. The cities and com- lessons from OPP lie less in what was built and munities where this program was imple- more in how it was done: the work done mented have some of the country’s

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

Box 2–1. Toilet Blocks in India Designed and Managed by the Community

During the late 1980s and early 1990s, two push ahead of women—ensured a constant community organizations and a local NGO supply of water for washing, and made better designed, built, and managed public toilet blocks provision for children. Many of them had sepa- because provision was poor to nonexistent in rate children’s toilets at the front so youngsters their neighborhoods.The alliance they formed did not have to line up and wait. was between the National Slum Dwellers Community management of the toilet Federation, Mahila Milan (a network of savings blocks ensured that they could be maintained groups formed by women “slum” and pave- through user charges, with costs being much ment dwellers), and the Mumbai-based NGO lower than conventional “public toilets.” SPARC—the Society for Promotion of Area Typically, families paid a standard monthly fee. Resource Centers. Caretakers and cleaners were identified from The construction of each toilet block was the local community. At first, local governments usually preceded by a community-managed sur- ignored or discouraged these efforts.Then the vey to document the inadequacies in provision. municipal commissioner in Pune, a city with Local savings groups from the “slum” helped over 2 million people, and eventually other city design, implement, and manage the toilet authorities recognized the poor quality of pub- blocks.These blocks sought to avoid the defi- lic toilets and the inadequate numbers built and ciencies in the siting, design, and management supported this alliance in building community of existing public toilets.The community toilets toilets. More than 500 toilet blocks have been gave women more privacy, made waiting lines built to date—mostly in Pune and Mumbai, but work better—for instance, separate lines for increasingly in other urban centers as well. men and women, since otherwise men just SOURCE: See endnote 23. lowest-income urban populations.23 considering where it is not possible to provide But it is difficult to make communal facil- water connections and good sanitation to ities work well, and especially difficult to each household—but this decision has to make them safe and convenient for children made in consultation with those who cannot and women to use at all times and to keep the afford household provision. This will gener- toilets clean and well maintained. The costs ally require an incremental approach, with of a regular water supply to such facilities good communal provision as a first step and and a high standard of maintenance have to with support for household provision there- be met—but this might imply higher charges after. The possibilities of good household than users can afford. Having enough toilets provision are often greatly increased if groups available to avoid waits at peak times increases of households work together to help plan, costs—but lines discourage many people manage, and finance the installation. (especially children) from using the facilities. The difficulties of good communal provision Increasing Private-sector are generally fewer if a toilet is shared among relatively few households who know each Participation other—for instance, a toilet shared by those In the 1990s, many international agencies— living around a yard. led by the World Bank—vigorously pro- Public or communal facilities are worth moted private-sector participation in water

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

and sanitation programs. This was in part a rary concessions has been heightened by the pragmatic response to the failure of public fact that consortia led by a handful of large utilities to undertake the desired improve- foreign water companies initially won most ments during the 1970s and 1980s and in of the major contracts. The notion that part a reflection of the broader decline of development assistance was being used to support for government planning in favor of promote privatization also caused contro- private enterprises and markets. Public util- versy, even in donor countries. With con- ities were widely seen as inefficient, over- temporary concessions, the ownership of staffed, manipulated by politicians for assets has been kept in public hands and short-term political ends, unresponsive to contracts have been signed that, at least in consumer demands, and—particularly in principle, prevent the companies from rais- low-income settings—inclined to provide ing water prices unilaterally to secure excess subsidized services to the urban middle class profits. This has not been enough to allay the and leave the urban and rural poor fears of critics, however.26 unserved.24 It is difficult to assess the impact of these developments on people without adequate Small water and sanitation access to water and sanitation, or even to enterprises in low-income urban determine whether the net effects have gen- erally been positive or negative. The findings settlements have been of the largest statistical reviews have been neglected in the debates on ambiguous. But when measured against the private-sector participation. very optimistic claims that private-sector par- ticipation would expand provision, improve Proponents of increasing private-sector efficiency and accountability, and reduce cor- participation argued that by transferring util- ruption and political interference, the results ity management to private operators, under must be viewed as disappointing.27 competitive conditions, it should be possible The early contracts did not produce the to overcome these problems and to increase desired results, at least for the urban poor. The investment in expanding water and sanita- Buenos Aires contract was initially taken as a tion provision. It was hoped that private con- model of a well-designed concession, but it cessions, such as those created in Buenos did not provide the basis for extending pro- Aires and Jakarta, would point the way to a vision to the many unserved parts of the city new form of public-private partnership, where residents did not have secure tenure although a number of other contractual forms, and it imposed connection costs far above including the management contracts that are what other unserved residents could afford. now more popular, were also explored.25 By the time such problems were being Increased private-sector participation— addressed, Argentina’s economic crisis under- or privatization, as it is more often termed by mined the very basis for the concession. In its critics—proved to be very contentious. Jakarta, the two concessions also ran into This is perhaps not surprising. The fear of pri- problems: soon after the contracts were signed vate companies gaining a monopoly over the country was in economic crisis, Presi- urban water systems and putting private dent Suharto fell from power, and the close profit ahead of public interest stretches back ties between the local partners and Suharto centuries. The controversy over contempo- family business interests turned from being a

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

necessity into a liability. These concessions than through utilities operated by multina- were renegotiated, but many of the obstacles tional companies.30 to extending provision to Jakarta’s low- In recent years, the international drive to income residents still persist. Indeed, for a privatize water and sanitation provision has great many countries privatization has been stalled, and increasing private-sector partici- more of a diversion than a solution to urban pation is now rarely presented as the solution water and sanitation problems.28 to water sector problems. In many countries Generally, governments that have problems the water sector is still undergoing interna- managing public utilities also have problems tionally supported reforms, many of which with privately operated utilities. Indeed, many involve shifts toward commercial principles of the obstacles to public provision in the and a regulatory environment that is more poorest areas remain when providers become open to private-sector participation. More- private: uncertain or illegal land tenure, dif- over, while the multinational water companies ficult terrain, complex and cramped plot lay- may be less active in pursuing concessions, outs, large distances from existing water mains other contracts and private enterprises are and trunk sewers or drains, illegal connec- gaining in importance. In parts of Asia, for tions, difficulties collecting bills, corrupt prac- example, local companies are reportedly tices. Moreover, as critics have pointed out, becoming stronger. Of 124 major water and the private water companies have not invested sanitation contracts identified in a recent nearly as much in the water sector as envis- report as operational in Asia in 2004, for aged in the early 1990s.29 example, 42 had been awarded to national Understandably, private operators were companies and a further 17 to companies most interested in securing concessions in run by Chinese entrepreneurs based in very large cities that had an appreciable mid- Malaysia or Singapore (with 84 of the 124 dle class. There was little interest in the smaller contracts being in China).31 cities and towns where most of the ill-served Small water and sanitation enterprises have and unserved actually live. Most of those long had key roles in low-income urban set- without adequate provision today are not tlements in Africa, Asia, and Latin America. about to be connected to a functional water They have been neglected in the debates on network and are nowhere near any sewerage private-sector participation. Local govern- network. At least in the near future, it mat- ments have often suppressed them, despite the ters little to most of them whether the large fact that the informal markets for small water urban utilities are operated privately or pub- and sanitation providers are closer to the free licly, as they will not be served in either case. market ideal than the heavily regulated mar- Even in middle-income countries, many cities kets of water utilities are. There is growing do not so much have water networks as they recognition that utilities and governments have a multiplicity of different systems, some need to acknowledge the strengths of these more industrial and others more artisanal, enterprises and work with them rather than some under more corporate control and oth- against them. There are serious challenges ers under more community control. In many to this, however. Many operate with tech- low-income areas, the private sector is impor- nologies that do not meet official standards tant, but primarily through the goods and ser- or sell at prices that exceed the controlled vices sold by small water and sanitation prices of the official utilities, making it diffi- enterprises (including water vendors) rather cult for governments to condone let alone

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

support a role for them.32 basis to address Kampala’s huge backlog of Perhaps the mistake of the 1990s was to people without adequate sanitation.33 confuse good business principles on water and sanitation provision—keep down unit Managing Water costs, be accountable to clients or potential clients, recover costs from users wherever Resources Better possible—with the operations of large-scale Improving provision of water and sanitation private businesses and to assume that only obviously depends on regular, sufficient sup- large private enterprises could apply good plies of fresh water, but it is important not to business principles in the sector. In many confuse this goal with the problem of water ways, most of the local NGOs and commu- resource scarcity. Since the 1980s, there have nity organizations mentioned earlier have been growing concerns about done better at following these business prin- and stress, driven primarily by land use changes ciples. These are important, but there is no and the large quantities of water used in food reason why they cannot be implemented by and biomass production. This growing water civil society organizations—and by govern- stress poses serious risks to existing aquatic and ment agencies. terrestrial ecosystems and to many agricul- tural systems. As of yet, however, there is no Many case studies of cities with evidence that it is a significant factor in inad- water shortages show that these equate provision of water and any associated ill health and hardship. situations are more often the Unfortunately, particularly in the more result of poor management than popular accounts of an impending water of water scarcity. resource crisis, statistics on the number of people without improved water supplies and As noted already, many public water and those suffering from water-related diseases sanitation agencies provide good services have often been presented alongside esti- and close to universal coverage, and they mates of the numbers living in water-scarce have done so by applying good business or water-stressed areas. The implicit sugges- principles. There are also many others whose tion is that water stress is why people fail to performance has improved greatly by doing secure better water supplies and become ill. the same. For instance, a government- Statistically, however, there is no association owned water corporation in Uganda that between nations facing water stress and those serves Kampala and many other urban cen- with the most inadequate provision of water ters shifted from large losses to a surplus for rural and urban populations, even at sim- between 1998 and 2006; in these years, a ilar income levels. Many large cities where series of initiatives tripled the number of provision of water and sanitation is quite households served, reduced unaccounted- inadequate have little or no overall shortage for water from 51 to 29 percent, and low- of freshwater resources, while cities facing ered connection and reconnection fees. severe water scarcity often still manage to Customer relations were also much better. achieve high levels of provision.34 However, it is worth noting that although Urban residents, particularly low-income this can make good provision of water pay groups, do sometimes face difficulties secur- for itself, it does not provide the financial ing adequate water supplies as the result of

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

water resource deficiencies, and these are not a billion people would still only amount to always evident in statistics on water provision. about 7 square kilometers a year, compared In Jakarta, for example, the poorest residents with aggregate water withdrawals on the pay more than the wealthy for their water in order of 4,000 square kilometers.36 areas where the groundwater is saline (and Thus, most solutions to water resource they are forced to buy high-priced vendor scarcity in cities lie in better local manage- water) and less than the wealthy where the ment. Often the cheapest way to increase groundwater is suitable for drinking (after available supplies of fresh water for the piped boiling). Neither the water vendors nor the water system is to reduce leaks and intro- unprotected wells they use can be consid- duce pricing structures that encourage larger ered improved water supplies, however. users to withdraw less. As with the tech- Indeed, in a somewhat perverse way the saline nologies for water supply and sanitation, there groundwater makes water coverage look bet- are numerous techniques through which ter, since it motivates some households to water use can be cut or wastewater reused or connect to the piped water system. In Mex- recycled—or new sources tapped (for ico City, on the other hand, water resource instance, through rainwater harvesting in problems affect the piped water provision, homes, institutions, and public facilities). especially in poorer, more peripheral parts of Where such measures are insufficient, it may the city. And each dry season brings an still be possible to rehabilitate upstream infra- increase in popular protests about water short- structure to achieve higher capacity utilization ages and denunciations in the press. In this rates. In other cases, new sources of bulk case, even the households facing supply break- water need to be identified. Addressing water downs in the dry season would be considered supply issues in the piped water network thus as having improved supplies, again failing to requires a two-pronged approach: improving detect the deficiencies resulting from water management and securing sources of bulk resource problems.35 water for current and future needs.37 Many case studies of cities with water Overall, measures to improve water avail- shortages show that these situations are more ability at the settlement scale are undoubtedly often the result of poor management than of important in many urban centers, but they are water scarcity—as in the case of Guadalajara, rarely more than part of the solution to prob- Mexico, and the drying up of Lake Chapala lems of inadequate provision for the worst-off and in Beijing, where a great deal of water in residents. Indeed, it should be kept in mind and around the city is used inefficiently. Mis- that while water scarcity and infrastructure management can also lead to intermittent deficiencies are likely to hurt those with the supplies from parts of the piped water system fewest economic and political resources, mea- without any water resource scarcity whatso- sures to address scarcity and invest in new ever. In any case, the amount of additional infrastructure will not necessarily help them. water required to meet basic urban needs is Only when these are combined with measures small relative to the consumption for other to improve provision in the more deprived purposes. The additional water required for areas and to secure more influence for such adequate provision is, if well managed, groups in the planning process will water unlikely make a significant difference to a resource management and infrastructure country’s overall water withdrawals. On the investments likely benefit those who need global scale, an additional 20 liters per day for them the most.

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

Who Needs to Change the land prices for housing (so that far more low- income households can afford to build their Way They Work? own homes) and cut unit costs for water and The Human Development Report 2006 char- sanitation provision. acterized the way ahead for sanitation as more However creative and effective these com- local development and more engagement munity organizations, NGOs, or small water with the unserved. This also summarizes the enterprises are, it falls to local governments to approach needed on water. As emphasized provide the framework in which these can throughout this chapter, each urban center work and, where needed, collaborate. Most needs the best possible mix between good- local governments lack the capacity to man- quality convenient provision, what they can age or oversee a conventional model where afford, and what can be managed locally.38 formal agencies—whether public, private, or Local governments obviously have the cooperative—provide good-quality water and central role in changing the approach—and sanitation to all buildings, with good man- in most examples of very good or much agement both “upstream” and “down- improved provision, the changes were under- stream.” But most can provide a framework pinned by more competent and accountable of support for a combination of public, small- local governments. But local governments scale private, NGO, community, and house- are often weak and ineffective because higher hold provision. levels of government want to keep them this It is also possible to combine conven- way. And they are often unrepresentative of tional and unconventional models, with the poorer groups’ interests because of powerful conventional model used wherever possible local vested interests. (where users can afford to pay its full cost) Success in water and sanitation rests not and with alternative models meeting needs only in what local governments do, however, elsewhere. Within this, the conventional but also in what they encourage, support, model can be expanded to cover growing and supervise. In many instances, small-scale proportions of the population. In addition, water businesses (vendors and water kiosks), as shown by many examples in this chapter, local NGOs, cooperatives, and community household and community action can do organizations already make important con- much to improve provision within homes tributions to provision or to financing better and neighborhoods. But they usually need provision. And there are many potential part- the larger (external) systems from which to nerships between local governments and these draw water and into which to dispose of liq- different service providers. Local government uid and solid wastes. can do much to improve the provision of Promoting good hygiene is another impor- water and sanitation by other means—for tant part of the solution—and the benefits of instance, through measures to increase the good hygiene practices are particularly large supply and reduce the cost of land for new where sanitation provision is the worst. This housing and through support for “slum” and falls within a more fundamental need for “squatter” upgrading programs, as noted ear- good relations between local governments, lier. The many ways this can be done are official service providers, and the unserved or often not recognized; for instance, extending ill served, because their cooperation and sup- roads and a good public transport system on port is essential for improvements.39 the edge of a city’s built-up core can reduce The polarized debate about “public” ver-

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

sus “private” providers can obscure the fact could visit. Innovations only work and spread it is the quality and efficiency of providers and if they are appropriate to local contexts.42 their accountability to current and potential Enormously expanding and improving clients that is the key issue. Since most offi- provision in urban areas in ways that reach cial water and sanitation providers in urban low-income groups depends not so much on areas are still in the public sector, reform of scaling up existing efforts as on supporting a these agencies is often the most effective local vast multiplication of local initiatives. There approach—including ensuring less political are tens of thousands of urban centers where interference in setting prices, a more respon- provision of water and sanitation is extremely sible attitude toward bill paying by public-sec- inadequate; each needs locally driven tor water users, and a more business-like processes to address the inadequacies. approach, such as increasing coverage through reducing costs and ensuring that costs can be It is the quality and efficiency of fully recovered through user fees or secured from other reliable sources.40 providers and their accountability to In most nations, more effective and pro- current and potential clients that is poor local governments depend on support the key issue. from higher levels of government. In many Latin American nations, improvements in But supporting this approach is problem- water and sanitation provision have certainly atic for most international agencies. First, it been boosted by decentralization and by means supporting work in urban areas; many stronger local democracies, although perhaps of these agencies have long avoided working less than might have been anticipated because in cities or have restricted funding to urban many governments followed economic poli- projects in the belief that these areas attract cies that reduced government roles and invest- an excessive share of development funds. ments through much of the 1990s.41 They fail to see the inadequacies in provision Every nation also needs innovations of the of water and sanitation—and the scale and kind shown by the Orangi Pilot Project in Pak- depth of poverty—in urban areas. And they istan and by the water engineers in Brazil fail to see how fast urban poverty is growing who developed condominial systems for water in most nations.43 and sanitation—or by federations of slum, Even if this changes, however, perhaps as shack, and pavement dwellers that have great a problem is knowing how to make the demonstrated far cheaper and more effective large sums that international agencies can ways to develop new housing with good pro- provide through governments support the vision of water and sanitation. It is not so diverse local processes needed to improve much what these groups did but the extent to and extend provision. Official development which their innovations were rooted in local assistance agencies are ill equipped and poorly contexts and had as a priority reaching low- structured to support a multiplicity of local income groups. This allowed them to drive processes implemented by local governments, debates and discussions within their own dis- NGOs, or community-based organizations, tricts, cities, and nations about different many of which require modest levels of fund- approaches—and provided innovative, work- ing and a strong engagement with the ing examples that politicians, civil servants, unserved. It is perhaps not surprising that professionals, and community organizations most of the innovations in provision of water

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

and sanitation in urban areas that reached and local governments have no intention of low-income groups were not funded by these improving and extending provision to most official agencies.44 low-income groups.46 If national governments provide the appro- The bottom line in this discussion of water priate framework for local action, develop- and sanitation challenges around the world ment assistance can support this. But it is is that low-income groups most need the the lack of national government support for world’s help in their daily struggle for access local action that is the problem—especially in to adequate supplies and facilities. They are nations where provision of water and sanita- the ones who have to drag the equivalent of tion is the worst. Meanwhile, most interna- six heavy suitcases of water back to their tional agencies are providing less support for shelter every day. And who have to relieve water and sanitation initiatives as they shift themselves in the streets outside the shacks funding to budgetary support (which is less they call home. staff-intensive than projects) or funding chan- The strain this brings to families is captured neled through other agencies. And for the in the words of Chhaya Waghmare from agencies that do still provide substantial fund- Pune, India: “There are 280 families in our ing for water and sanitation, it is often for settlement…. Every day we get water brought high-cost infrastructure that delivers little to to us in tankers. The delivery timings are not poorer groups.45 regular. We start queuing for water in the morning by putting our water containers in Low-income groups are the ones a line. If we have to go out we can leave the house only after we have filled the water. I who have to drag the equivalent have to go to work. My children are very of six heavy suitcases of water young and cannot fill the water. So my sister back to their shelter every day. stays at home and waits for the tanker. In order to be home when the tanker comes, she As a recent United Nations report notes, has stopped going to school.”47 it is time for external agencies to support Shalini Sadashiv Mohite of Mumbai local capacities to develop locally appropriate describes what it was like before the com- solutions, not impose their often inappro- munity organization of which she is a mem- priate and costly solutions and often inap- ber built their own public toilet: “There was propriate conditions. Improving provision in no toilet in this whole area. Men and women urban areas does need substantial funding, from the settlement squat along the road. especially for the big “trunk infrastructure” Women do not go after six in the morning. for water, sanitation, and drainage into which They wait for the cover of darkness. We even community or neighborhood improvements eat less so that we do not need to relieve are integrated and for the larger water man- ourselves during the daytime.” 48 agement upstream and waste management In the end, for most of those lacking ade- downstream. There is not much point in quate water and sanitation the issue is as extending piped supplies to unserved com- much about better relationships with those munities if bulk water supplies are insuffi- in power and utility managers as it is about cient to cope with the new customers. But technology or pricing or infrastructure invest- there is also not much point in providing ments. Most examples of better provision funding for bulk urban infrastructure if city in this chapter were underpinned by gov-

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STATE OF THE WORLD 2007 Providing Clean Water and Sanitation

ernments' recognition of the legitimacy of improved provision, if they worked together. the needs of unserved groups—even groups Yet most international funding agencies have who lived in illegal settlements. Many situ- yet to understand this—or even if they do, ations were also helped by urban poor orga- they have failed to restructure their funding nizations and local NGOs demonstrating to to support it. governments the possibilities of much

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STATE OF THE WORLD 2007

: CITYSCAPE LAGOS ------Collapsing Infrastructure

With more than 10 million residents, Lagos sector technocrats to run its water corpora- is literally bursting at the seams. This former tion and has started an independent power capital of the Federal Republic of Nigeria and production scheme. Most recently, the federal West Africa’s leading seaport and commer- government has proposed an ambitious cial-industrial center received substantial scheme for developing the Lagos megacity.3 federal government funding in road and Water supply illustrates the challenges and bridge construction during the oil boom era possibilities of fresh initiatives in tackling of the 1970s. The city has consequently infrastructure collapse in Lagos. The three expanded phenomenally—right up to the major waterworks at Iju, Adiyan, and Isashi margins of Ota, some 40 kilometers to the have a combined installed capacity of 119 north, in Ogun State. A massive influx of million gallons a day, although their output people has placed unbearable pressure on is just 69 million gallons a day. Twelve mini transportation, housing, and water and elec- and eight micro waterworks have a combined tricity supplies in Lagos, creating a widening capacity of about 3 million gallons a day. gap between demand and supply.1 While the major waterworks rely on surface While concerted efforts by the federal and water from the Ogun and Omo Rivers, the state governments had ameliorated the situa- others depend on groundwater supplies. Yet tion up to the late 1970s, three developments large shortfalls have increasingly been experi- aggravated the crisis. First, hostile, mainly enced since British rule ended in 1960, due military, federal governments since 1979 to population growth, dilapidated infrastruc- frustrated ambitious state government plans ture (leaking pipes), illegal connections, poor for infrastructure development, especially for maintenance, and inadequate access to the an urban rail service. Second, the massive limited supplies. Official supplies meet barely devaluation of the national currency and a half the demand, and coverage throughout steep decline in economic fortunes under the city is uneven.4 the World Bank’s Structural Adjustment Private operators take up the deficit in Program, coupled with official corruption, official supplies. Water is brought in to high- denied the city much-needed resources for income households in tankers, while hawkers infrastructure development. Third, the trans- sell to poorer people in high-density neigh- fer of the federal capital to Abuja in 1991 borhoods in four-gallon tins. The wealthy practically sealed the fate of Lagos. As archi- invest in private boreholes. Wells, which have tect Rem Koolhaas remarked, “Lagos was left been sunk across the city since the nineteenth to its own devices, then abandoned.” 2 century, are more widespread. But the quality Following the return to civil rule in 1998, of water from them is generally poor, given all tiers of government can provide water, the low-lying terrain, the pollution of electricity, and roads. But the record of gov- groundwater sources, and the shallowness ernment service in these sectors is dismal. of the wells. Since the mid-1990s, however, One new development has been the involve- treated water sold in nylon sachets, known ment of the private sector in service provision. as “pure water,” has emerged as a popular The Lagos state government has initiated source of supply. “Pure water” is portable public-private partnerships in water, roads, and satisfies the requirements of individual and electricity supply. It has hired private- consumers as well as large religious, political,

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STATE OF THE WORLD 2007 Cityscape: Lagos

Ganiyu Ajibola Aliy u/ UNEP/Peter Arnold, Inc.

heightened con- cerns about the future of the megacity, the only one of its size without a functional rail mass transit sys- tem. Hostile inter- governmental relations have ham- pered a coordinated approach to the resolution of the infrastructure crises in Lagos. Agents of the federal and state governments have Lagos: rubbish pile in the f clashed over the oreground, comm uters beyond control of roads in and social gatherings. the city, and the fed- Unfortunately, the indiscriminate disposal eral government has of the nonbiodegradable sachets has com- withheld funds allocated to local govern- pounded the problem of environmental ments in the state, in defiance of the Supreme sanitation.5 Court. The national government has often Meanwhile, the Lagos state government frustrated initiatives by the state, such as has attempted to privatize water supply, independent electric power projects.7 backed by a law passed in December 2004. Relations improved, however, in 2006 This was in the face of a debt of $117 million following the appointment of a new Minister incurred by the Lagos State Water Corpora- of Works. In July 2006, the federal govern- tion (LWSC) by the end of 2004. Various ment announced its intervention through a stakeholders have opposed this scheme of Lagos Mega City Region Development “private-sector participation,” which retains Authority, with a primary focus on the city’s government ownership but hires private oper- housing crisis. It also endorsed a 26-billion- ators to manage the distribution of potable naira ($200- million) International Develop- water. For the last two years the LSWC has ment Association interest-free loan for the been run by Olumuyiwa Coker, a chief execu- upgrade of infrastructure in the megacity. The tive recruited from the private sector, who renewed optimism this brought to the city is admits that LSWC covers only 55 percent tempered by the realistic need to wait and see of the state.6 if all stakeholders meet their obligations.8 The inability of the state government —Ayodeji Olukoju to cope with collapsing infrastructure has University of Lagos, Nigeria

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CHAPTER 3

Farming the Cities

Brian Halweil and Danielle Nierenberg

On the surface, Accra in Ghana, Beijing in leafy greens such as alefi and suwule.2 China, and Vancouver in Canada seem to There are more than 1,000 such farmers have little in common. They range in popu- in Accra. Their plots vary from just one tenth lation from roughly 2 million in the metro- or one twentieth of a hectare (10 meters by politan region of Vancouver to more than 10 meters) to 20 hectares in the city outskirts. 14.5 million in Beijing. The per capita Among the biggest challenges they face is incomes are vastly different: about $700 a year keeping their crops irrigated, since clean, in most of Ghana, about $2,200 in Beijing, affordable sources of water are not easy to and more than $32,000 in Vancouver. But find. Backyard farmers often use greywater— take a closer look, digging a little deeper into the waste water from bathrooms and kitchens. the backyard and rooftop gardens, and you’ll While sewage water can be a health hazard, realize that these city folk share a preoccu- farmers in Accra—and in cities all over the pation that has thrived since the first cities— world—are finding that human waste can be raising food.1 a valuable fertilizer.3 Accra has a population of 6 million, includ- In Beijing, city planners in the 1990s ing a steady supply of migrants from rural decided that urban agriculture was an impor- areas and immigrants who seek work in its fac- tant way to meet the city’s food needs, preserve tories. Because food is expensive, people farm green spaces, and conserve the region’s water anywhere they can: in backyard plots, in and land resources more efficiently. They empty lots, along roadsides, and in aban- began offering courses and assistance for aspir- doned dumps. These farmers grow a variety ing farmers, they surveyed existing land use to of crops for home use and sale, including better understand the extent of urban farming, exotic varieties like green peppers, spring and they tried to incorporate urban farming onions, and cauliflower, as well as more tra- into long-term city planning decisions.4 ditional crops like okra, hot peppers, and Today, urban and peri-urban agriculture

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STATE OF THE WORLD 2007 Farming the Cities

(farming in, around, and near cities) in Bei- in Babylon, for instance, were an example of jing not only provides residents with safer, urban agriculture, while residents of the first healthier food, it also keeps farmers in busi- cities of ancient Iran, Syria, and Iraq pro- ness. Between 1995 and 2003, the income for duced vegetables in home gardens. This is farmers living just outside of Beijing dou- partly because cities have traditionally sprung bled. The city includes tens of thousands of up on the best farmland—the same flat land household farms and more than 1,900 agro- that is good for farming is also easiest for tourism gardens for Beijing residents craving constructing office buildings, condomini- some rural experience. Although the share of ums, and factories—and partly because the the city’s population involved in farming is masses of urban dwellers create a perfect mar- currently very small—just about 1 percent— ket for fresh fruits and vegetables. the municipal government plans to cultivate “In ancient times, the cost of transport gardens on 3 million square meters of roof was much greater,” explains Jac Smit, head of space over the next 10 years.5 the Urban Agriculture Network, “so the impe- Vancouver is known for being a popular tus for growing food in cities was greater.” Of destination for tourists. But what most visi- course, urban farmers continued to refine tors do not realize is that the city is a leader their craft. Centuries after the Incan residents in encouraging its inhabitants to grow and of Machu Picchu raised food in small, inten- buy fruits, vegetables, and other items pro- sive plots irrigated with the city’s wastewater, duced in the city. According to a recent sur- enterprising Parisians developed bio-intensive vey, an impressive 44 percent of Vancouverites production with steam-heated greenhouses grow vegetables, fruit, berries, nuts, or herbs and glass cloches that cover individual heads in their yards, on their balconies, or in one of of lettuce; they sold their produce as far away the 17 community gardens located on city as London. In China’s cities, farmers devel- property. Vancouver’s mild temperatures and oped complex cropping patterns and trellises ice-free winters make it the ideal city to grow that made use of every available square meter.7 food nearly year-round. There, farming the But like the story of all local farming, a city is part of a much larger movement that range of forces in the modern era—the Indus- includes restaurants buying from local farms, trial Revolution, the evolution of the mega- buying clubs in which neighbors subscribe to city, the invention of refrigeration—helped to weekly deliveries of produce, and the heavily render urban farming obsolete. In particular, attended Feast of Fields harvest festival twice when cities first combined industrial and a year on a farm outside the city that exposes organic wastes in one sewage stream at the city folk to rural life.6 end of the nineteenth century, they made wastewater too toxic for irrigation. And in A Rich History of many cities, urban agriculture became not only harder to practice but illegal as well, Urban Farming thanks to overzealous city officials and pub- Growing food and raising fish and livestock lic health practitioners who wanted to elim- in Accra, Beijing, and Vancouver—indeed, in inate urban livestock production. cities all over the world—is nothing new. In Then during the 1970s, something some ways, these three cities are responding changed. People working for the United to the same challenges that urban gardeners Nations, the Peace Corps, and other devel- have faced for millennia. The hanging gardens opment groups noticed the spontaneous

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STATE OF THE WORLD 2007 Farming the Cities appearance of home gardens and small retail of food in urban areas.10 farms in major cities throughout Asia, Latin Fortunately, urban politicians, businesses, America, and Africa. Rapid urbanization, inef- and planners are beginning to regard urban ficient and expensive transportation, and a agriculture as a tool to help cities cope with greater demand for food made raising produce a range of ecological, social, and nutritional and livestock in cities possible and necessary. challenges—from sprawl to malnutrition to In other words, the same needs that had given swelling landfills and the threat of attacks on rise to urban farming in ancient times had the food chain. In this context, taking advan- reappeared. And although cities in industrial tage of land in and around cities is essential countries might be able to compensate for and obvious. Unlike parks or other green traffic congestion and lack of local food with space, which are generally financed by tax- superior transportation and packaging, those payers, urban farming can be a functioning in developing countries could not. Urban business that pays for itself. And for cities farming was posed to take off again.8 that use nearby farmland to filter wastewater, In fact, farming is ubiquitous in cities recycle garbage, and cool down the concrete today. The U.N. Development Programme jungle, farming is rapidly becoming some- estimates that 800 million people are involved thing they can’t do without.11 in urban farming worldwide, with the major- ity in Asian cities. Of these, 200 million pro- Replenishing Food Deserts duce food primarily for the market, but the great majority raise food for their own fami- Local food takes on a very different meaning lies. In a survey conducted for the United on a planet where half the people live in Nations, cities worldwide already produce cities. As a greater share of the world’s pop- about one third of the food consumed by ulation resides farther from where food is their residents on average, a percentage that grown, produce has to be moved across coun- will likely grow in coming decades, given tries and sometimes around the world. that the need for urban agriculture could be In 2001, FAO officials were concerned greater now than ever before.9 about the capacity of large cities in Asia, Latin According to the U.N. Food and Agri- America, and Africa to feed themselves. They culture Organization (FAO), the number of found that by 2010 many of these cities will hungry people living in cities is growing. require massive increases in the number of While malnutrition in rural areas is still a big- truckloads of food coming into the area each ger problem in terms of actual numbers of year—increases that would overwhelm the people—of the 852 million people world- capacity of these cities to distribute food. wide who are undernourished, 75 percent Bangkok will need 104,000 additional 10-ton live in rural areas—urban residents, particu- truckloads each year, Jakarta will need larly children, also suffer from food shortages 205,000, Karachi 217,000, Beijing nearly as well as micronutrient deficiencies. Urban 303,000, and Shanghai just under 360,000. agriculture can be one of the most important And while cities may never be able to meet all factors in improving childhood nutrition, by their food needs from local farmland, the increasing both access to food and nutri- tremendous infrastructure, energy, and cost tional quality. Recent studies in the Philippines required to shuttle food into densely popu- and elsewhere confirm this linkage between lated areas argues for urban centers to secure better childhood nutrition and the production as much of their food as possible from farm-

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land within their borders or nearby.12 rural counterparts, but they live farther from For the inhabitants, cities bring certain the centers of food production. In response, gastronomic advantages. A diversity of peo- people often start farming in the city simply ple and businesses means access to a wide because they cannot find an affordable and range of cuisines compared with more-tradi- reliable source of the foods they crave from tional fare in the countryside. Cosmopolitan their rural roots or because they might not commerce means that specialized stores and have the cash to buy food at all. As opposed international supermarkets stock a variety of to in the countryside, in cities a lack of money ingredients. At the same time, a more harried translates more directly into lack of food.15 urban lifestyle often means that city folk have In other words, growing food is not a less time to cook or prepare meals from raw hobby for most people, it is a necessity. Stud- ingredients and that they opt for the conve- ies from several African cities have shown nience of processed, prepared, or even fast that families engaged in urban agriculture food. (Consumers in urban areas pay up to 30 eat better, as measured by caloric and protein percent more for their food than people in intake or children’s growth rates. In terms of rural areas do, partly because they grow fewer providing an essential source of food and of their own ingredients and partly because income, urban and peri-urban agriculture is the food travels farther.)13 probably most important in sub-Saharan But the change in habits raises all sorts of Africa. In the cities and towns in East Africa, nutritional and logistical concerns. Foods a third of urban dwellers are engaged in agri- that are more processed require more refrig- culture. In West Africa, the number of house- eration, clean water for preparation, and holds involved in urban agriculture varies sophisticated transport lines. They also mean from more than 50 percent in Dakar, Sene- more sugar and fat in the diet, which com- gal, to roughly 14 percent in Accra, Ghana. bined with more sedentary urban lifestyles In Dar es Salaam, Tanzania, 60 percent of the encourages diabetes and obesity. A study of milk sold is produced right in the city.16 133 developing countries found that migra- In densely populated Bangkok, home to tion to the city—without any changes in roughly 10 million people, rising demand income—can more than double per capita for aquaculture products such as morning intake of sweeteners, simply because they are glory, water mimosa, and freshwater fish is available cheaply. Traditional staples—whole met primarily by an industry of peri-urban grains, potatoes and other root crops, and water farmers. Nearly one third of the nation’s some vegetables—on the other hand, are intensive urban aquaculture production comes often more expensive in urban areas. For from around Bangkok, and it generates about example, surveys show that recent migrants $75 million each year. Catfish farms in the to Hanoi, Viet Nam, eat less rice, corn, veg- northern part of the city produce more than etables, and beans than they used to and 70 percent of the country’s total output of more meat, fish, eggs, milk, soft drinks, and this fish. And about 40 kilometers west of canned and processed food. Home-prepared Bangkok, there are vast farms growing the meals are gradually replaced by restaurant aquatic plant morning glory (a staple of the fare and street food.14 Thai diet), while 20 kilometers south of the So this is the essence of the urban food city tilapia and carp thrive in large ponds.17 quandary: People living in cities demand more Farms in the city can often supply markets food and a greater range of foods than their on a more regular basis than distant rural

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STATE OF THE WORLD 2007 Farming the Cities farms can, particularly when refrigeration is Cuba’s main motivation was preventing a scarce or during a rainy season when roads are shortfall of food, but its support for city farm- bad. And local food production might be ing has also been a wise investment in jobs and the best option for feeding urbanites crisis prevention. Urban farming in Cuba has neglected by the long-distance food chain. In created 160,000 jobs, including farmworkers, both the industrial and the developing world, masons, vendors, herb dryers, and compost poorer urban households typically spend a makers. Egidio Paez of the Cuban Association greater share of their income on food than of Agricultural and Forestry Technicians notes wealthier urbanites do. In some cases, poor that “the growth and spread of cities invari- urbanites spend 60–80 percent of their ably creates many empty spaces…which often income on food, making them especially vul- become trash-dumps that are sources of mos- nerable to price changes.18 quitoes, rats and other disease vectors.” Trans- Nutritionists and sociologists have argued forming these unhealthy spaces into farms that many poor inner-city areas in industrial and garden spaces creates jobs. Cuba’s urban countries have become “food deserts” in recent farmers raise food organically—without pes- decades. Supermarkets have left the inner cities ticides or chemical fertilizers—eliminating to milk the more lucrative suburban markets, the health and environmental problems that after pushing many of the independent mom- result from agrochemicals.21 and-pop grocers out of business. Entire city These welcome benefits of urban farming neighborhoods have been left with only fast- are needed in many countries. In Yaoundé, food restaurants and convenience stores. This Cameroon, more than 70 percent of urban provides a good opportunity for farmers’ mar- farmers do not have other occupations, a fig- kets and community-supported agriculture ure that rises to 85 percent in Abidjan, Côte subscriptions, in addition to food co-ops and d’Ivoire. In peri-urban Hanoi, agriculture other locally owned stores. In the Anacostia still generates more than half of the incomes region of Washington, DC, which has not in some sections. In Kumasi, Ghana, the had a supermarket for years, a new farmers’ annual incomes of some urban farmers were market is the first good source of fresh food for estimated at $400–800, which is two to three local residents.19 times what they could make in rural farming.22 This reliance on city farmers is not always In many cases, farming is particularly suited planned. Cuba depends heavily on urban to city folk without jobs or some outlet for farming—an estimated 90 percent of the developing skills for the working world. In produce eaten in Havana is grown in and , Massachusetts, the Food Project around the city. The shift, however, was not trains inner-city youth how to do many of the entirely voluntary. In the early 1990s, the jobs associated with a commercial catering U.S. embargo and then the collapse of the business; the youngsters work on a farm, har- Soviet Union left Cuba without agrochemi- vest the food, prepare it, and serve it at events. cals, farm machinery, food imports, or petro- In Cairo, Egypt, teenage girls who are not leum, hobbling its capacity to produce food allowed out of the house according to reli- and ship it to cities. Confronted with massive gious customs have found a calling—and food shortages, government officials set up a generated their own income—by tending loose network of local extension offices that rooftop vegetable gardens. They use waste- helped Cubans obtain vacant land, seeds, water from their apartment buildings and water, and gardening assistance.20 have developed networks of friends and fam-

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ilies for marketing the produce.23 by improving the social determinants of Beyond providing jobs and good nutrition, health, including the beauty and safety of urban farming can have a whole range of neighborhoods and the strength of commu- other health benefits. Research has connected nity ties and social interactions. Studies show gardening to reducing risks of obesity, heart that people at farmers’ markets have as many disease, diabetes, and occupational injuries. as 10 times more conversations, greetings, and For urban folks especially, working with plants other social interactions than people in super- and being in the outdoors can both prevent markets. City planners are learning that farm- illness and help with healing. Some health ers’ markets can be used to bring people professionals use plants and gardening mate- together in a central location, becoming a rials to help patients cope with mental ill- forum for politicians, activists, and other ness and improve their social skills, community leaders to raise awareness about self-esteem, and use of leisure time. Horti- local issues.27 culture therapy is relaxing and reduces stress, A survey of community gardens in New fear and anger, blood pressure, and muscle York found that having a garden improved tension; it can also lessen patients’ depen- residents’ attitudes toward their neighbor- dence on medications.24 hood, reduced littering, improved the main- Wayne Roberts of the Food Pol- tenance of neighboring properties, and icy Council sees urban agriculture as the “new increased neighborhood pride. They also frontier in public health,” benefiting health found that the presence of gardens was four twice: first, by supplying urbanites with more times more likely to spur other community foods and, second, by affording them the efforts in low-income neighborhoods than in exercise involved in raising food. Roberts high-income ones, due to a greater number notes that obesity is epidemic in most wealthy of pressing community issues and a lack of nations and increasingly in Third World cities. meeting places. Add to this the other well- Having food produced locally can radically documented effects of community gardens— change people’s attitudes toward the pro- including greater consumption of fresh duce. “Instead of pop and candy vending vegetables, reduced grocery costs, and the var- machines plastering the cityscape, people see ious psychological and health benefits asso- fresh fruits and vegetables,” notes Roberts.25 ciated with exercise in a natural setting—and Because gardens can provide a social bea- it becomes clear that urban farming does a lot con in urban areas, their potential to educate more than just replenish food supplies.28 extends beyond the basics of planting. In Lilongwe, Malawi, the Peace Corps has been Healing the Concrete Jungle using urban gardens as a way to raise medi- cinal plants and educate people about AIDS. As cities strive to be more self-sufficient in According to Anne Bellows, a research asso- food, several obstacles stand in their way. On ciate at the Food Policy Institute in New Jer- the most practical level, tall buildings often sey, beyond physical health “urban gardens obscure sunlight (although rooftop gardens bring people together in public space, result- provide one solution), and urban soils may be ing in community growth, education, healthy contaminated with the residue of past indus- lifestyles, and fun.” 26 tries (although pesticide-laden rural soils are Roberts also envisions a third way in which often not much cleaner). Raising livestock urban agriculture can benefit public health— or fish close to dense human dwellings and the

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STATE OF THE WORLD 2007 Farming the Cities strain urban farming can place on an already their food, including heavy metals and other tight city water supply present unique health toxins that can contaminate the soil.30 and environmental challenges for cities. Han- Despite these problems, urban farming dled appropriately, however, urban farming can bring a bit of the country into the con- can actually serve to diffuse the potential crete jungle, creating benefits that reach well public health issues and might even improve beyond a city farmer who makes more money water quality.29 or a city resident who has a more stable food As fresh water becomes a more and more supply. (See Table 3–1.) Urban farms bring precious commodity in cities, using every drop some needed diversity to the urban land- more than once becomes important. Although scape. They provide ground to help catch urban farmers use rainwater and water from and filter rainwater; land for composting and nearby rivers and streams to grow crops, many reusing of organic wastes; city trees to create also use a source of water that is widely avail- shade, reduce heat, and cut down on green- able in all cities—human waste. The Interna- house gases; and even buffer zones for flood- tional Water Management Institute (IWMI) or earthquake-prone areas. Shady, flower- estimates that wastewater is used on more filled plots might provide a respite for the than 50 percent of the urban vegetable sup- weary urban soul, but these spaces can also ply in several Asian and African cities. (See Box heal the toxic city environment.31 3–1.) In addition to contaminated water, In the broader sense, urban farming can urban farmers and consumers also have to also be an extremely efficient use of natural worry about other sources of pollution in resources. Intensive production of vegeta-

Box 3–1. Urban Agriculture and Wastewater Use

It is hard to believe, but much of the food than twice the area with formal irrigation in the grown in cities in the developing world is irri- entire country. gated with polluted water.Why? The reason is In Accra, Ghana, 200,000 people a day eat simple—wastewater from sewage systems salad from irrigated urban agriculture.While and even raw urine and feces are low-cost, this production contributes to a diversified nutrient-rich sources of irrigation for the poor diet, it also gives a sense of the number of peo- in urban areas.Worldwide, 3.5–4.5 million ple potentially at risk from polluted water. hectares of land are irrigated with wastewater. Governments and nongovernmental organi- But wastewater contains a whole range of zations, such as the International Water Manag- pathogens that can survive for weeks after ement Institute, are working to educate urban being applied to fields, posing a public health dwellers about the risks and benefits associated threat. with wastewater irrigation.Without it, however, Most wastewater irrigation is done millions of people would go hungry. Guidelines informally. City authorities know it is taking for using wastewater need to be flexible, place, but they lack the money or infrastructure reducing risks to public health and not punish- to offer an alternative. In Ghana, there are few ing urban farmers for irrigating their crops. data on the extent of informal irrigation in the —Pay Drechsel, country, but in Kumasi (with a population of 1 International Water Management Institute million) at least 12,700 farmers irrigate more than 11,900 hectares in the dry season—more SOURCE: See endnote 30.

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Table 3–1. Multiple Uses and Benefits of Urban Agriculture

Use City Benefit Sewage treatment Beung Cheung Ek Thousands of families living around this sewage-contami- and aquaculture Lake, Cambodia nated lake cultivate water spinach—a local staple that thrives in nutrient-rich waters. For thousands of years Asians have been using aquaculture ponds enriched with human wastes to grow plants, rear fish, control floodwa- ters, and remove local pollutants. Crisis prevention Cities in Cuba; In response to the U.S. embargo, Cuban officials designed a and Freetown, Sierra network of urban gardens. In 1999 urban farmers Leone produced on average 215 grams of fruits and vegetables per day per Cuban—in some cities harvests exceed the 300 grams per day target set by health ministers.A similar system exists in Freetown, where war forced residents, refugees, and schoolchildren to rely on urban agriculture. Bioremediation and New Orleans, Hurricanes Katrina and Rita unleashed dangerous levels of phytoremediation United States DDT,arsenic, lead, and other soil toxins. But citywide plant- ings of sun flowers, wild mustard, oyster mushrooms, and compost are helping sequester and break down these toxins. Creating equity and Los Angeles, United Teens in Los Angeles grow produce to sell at farmers’ controlling crime States; St. Petersburg, markets. St. Petersburg prisons use rooftop gardens to Russia create income, pride, and a valuable sense of community. Erosion and San Salvador, One of the few remaining forested areas around the landslide prevention El Salvador rapidly growing city is a 120-hectare parcel called El Espino. Known as the “lungs” of the city, it provides fresh air and groundwater replenishment for the city’s water supply. Managed by a cooperative of coffee growers who tend their bushes in the forest’s understory, El Espino has more than 50 species of trees and shrubs, which shelter 70 species of birds, including some not found elsewhere. In recent years, much of El Espino has been developed, how- ever, and during Tropical Storm Stan in 2005, massive flooding caused huge landslides in areas that had withstood previous storms.

SOURCE: See endnote 31. bles in cities can use less than a fifth as much watershed) would help keep these farmers irrigation water and one sixth as much land in business.32 as mechanized rural cultivation. In Freiberg, In the East Kolkata wetlands of India, Germany, officials subsidize farmers on the farmers are helping protect the environment steep hillsides surrounding the city in order as well as earning a living. The wetlands to reduce the risk of erosion. Coffee farms in cover 12,500 hectares and include 254 wild the hills around San Salvador, El Salvador, and farmed fisheries, space for agricultural serve the same purpose, and a proposed tax production, and residences. And they hap- on the city water (which depends on the pen to be on the coastal edge of one of presence of forest-laden coffee farms in the India’s most densely populated cities,

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Kolkata (formerly Calcutta), where the wet- ing that it is not too dirty when it flows out. lands are the primary means of absorbing In Lima, Peru, treated wastewater is used to wastewater from the city’s sewers. In a produce tilapia, and studies show that fish cul- unique system of recycling, the fish and veg- tured in this way are acceptable to consumers etable farms extract nutrients from the city’s and economically viable. The construction wastewater; fish ponds covering about 4,000 costs for this lagoon-based wastewater treat- hectares encourage a range of physical, bio- ment facility were charged to the municipal- logical, and chemical processes that help ity; the local farmers who irrigated their crops improve the quality of water before it emp- with treated wastewater were happy to pay the ties into the Indian Ocean.33 land and operation costs, which were half of Popularly known as the kidney of the city, what some of them paid for groundwater.36 the Kolkata wetlands produce roughly 18,000 All the attention that urban farming is tons of fish each year for sale and support receiving can make people more aware of around 60,000 residents through fishing, fish local pollution. In Hanoi, Viet Nam, con- farming, fish processing, and related activities. cerns about how industrial runoff, garbage, Ironically, while such benefits have been an and poorly maintained canals were affecting inspiration to coastal cities around the world, the safety and flavor of fish from surround- this has not kept speculators from increasing ing fish farms prompted municipal authori- pressure on the government to develop these ties to retain large wetlands and lakes within areas for residential and industrial purposes.34 the city boundaries for aesthetic and flood Urban farmers are also adept at turning control reasons. According to a recent report, what some consider problems into solutions. fish farming “is encouraged by the authori- “Despite the health and environmental risks ties as they believe the residents of Hanoi will posed by wastewater, its use in urban and equate food production with good environ- peri-urban agriculture is a reality,” says Gay- mental health, thus providing reassurance athri Devi of IWMI. “If the city were to to consumers.” 37 impose policies that restrict urban agricul- For cities confronted with growing waste ture, they would not only be largely ineffec- disposal problems—which includes virtually tive, but they would also likely cause all cities—the strongest environmental argu- significant socioeconomic problems for farm- ment for local farming is the opportunity to ers and their families.” For instance, Hyder- reuse urban organic waste that would other- abad, India’s sixth largest city, boasts an wise end up in distant, swollen landfills. (See emerging Internet and biotechnology hub Box 3–2.)38 and is widely recognized as the meeting place People have kept livestock in cities for of northern and southern India. But 300,000 centuries to help deal with urban waste as well farmers and their families working 15,000 as provide income and food. Farm animals hectares within the city continue to rely for recycle household refuse, agricultural waste, food and income on a decidedly ancient irri- lawn cuttings, and other organic matter very gation system: water from the nearby Musi efficiently, and the manure they produce can River that is little more than untreated waste improve urban soils. Despite the common for much of the year.35 assumption that all of the world’s pigs, chick- Technologically savvy cities can see farms ens, cows, and other livestock are raised in in and around the city as allies in keeping idyllic country settings, more and more of the water coming into the city clean and ensur- world’s meat and animal products are pro-

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Box 3–2. Mining Organic Waste

Efforts to turn urban organic waste into com- miserias in composting techniques, since many post have generally been small, limited to the of them already make a living from waste col- efforts of a few farmers collecting food scraps lection, classification, and recycling, although from hotels or vegetable markets or enterpris- they often discard the organic part. In combina- ing individuals who have begun to “mine” city tion with training in small-scale gardening landfills for organic matter. It is estimated that techniques, the participants—65–70 percent in Kano, Nigeria, 25 percent of the fertilizer of whom are women—report more food for needs of nearby farmers are met with munici- household consumption and some income pal wastes.Among the barriers to greater from selling surplus food and compost. recycling of city wastes are a lack of people For restaurants, hotels, supermarkets, and interested in collecting it, high transportation other businesses that generate large amounts costs, and the fact that most urban waste sys- of food waste, converting this “garbage” into tems mix organic (food scraps, leaves, grass compost can keep down disposal costs and clips, newsprint) and nonorganic (plastic, met- even generate income. Projects from around als, glass, hazardous chemicals) waste, which the world have demonstrated the feasibility of complicates the removal of the organic compo- collecting waste from an array of settings— nent. In most countries, the cost of dumping supermarkets, restaurants, schools, hospitals— waste into landfills is so low that there is little for composting on farms and spreading as incentive to look for alternatives. fertilizer. In California, the Vons Companies Inc. In settings where the organic waste is easily and Ralph’s Grocery Company supermarket separated and where farm and garden plots are chains, with more than 585 stores between located nearby, the transformation of urban them, have been able to reduce their waste wastes into fertilizer can be a lucrative stream by 85 percent and turned their scraps business, particularly for poor urbanites. into profitable, branded products sold back to Eduardo Spiaggi of the University of Rosario in their customers. Argentina is training residents of the city’s villas SOURCE: See endnote 38.

duced in or near urban areas. found raising bees, worms, chickens, and Consider this: People in developing coun- other animals. (See Box 3–3.)39 tries now consume half of the world’s meat, But there can be too much of a good thanks to rising incomes and exploding urban- thing. Thanks to unregulated zoning and ization. And people in cities in these countries subsidies that encourage large-scale livestock are not just consuming more animal products, production, massive chicken and pig opera- they are also becoming centers of production. tions are moving closer and closer to major In Bamako, Mali, for instance, 20,000 house- urban areas, including in China, Bangladesh, holds keep livestock in the city. In Harare, India, and many African countries. This, says Zimbabwe, more than one third of house- Michael Greger, a veterinarian with the holds keep chickens, ducks, pigeons, rabbits, Humane Society of the United States, is and turkeys. In Dar es Salaam, Tanzania, 74 “bringing together the worst of both percent of people keep livestock, while in worlds—the congested inner cities of the Dhaka, Bangladesh, the figure is 80 percent. developing world combined with the con- Even in industrial countries people can be gested environment on industrial farms.” 40

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Box 3–3. Bees and Worms: A City’s Smallest Livestock

Until mid-July 2005, dozens of people in Van- conventional waste disposal. For households, couver, Canada, were engaged in a sweet but worm composting bins take up very little space illegal activity—raising bees. But thanks to a and work quickly.Worms typically eat their dedicated group of apiarists, the city’s health weight in food daily—a kilogram of worms can council changed the laws, allowing beekeepers eat a kilogram of food waste every day. to manage their hives legally. In London, bee- Vermiculture can also be done keeping is also now a legal endeavor, with at commercially.While organic waste—everything least 5,000 registered beekeepers keeping bee- from carrots to bread to yogurt—can take hives in their backyards and on rooftops. Bee- years to decompose in regular landfills, worms keepers in New York City, however, have not can compost up to 90 percent of waste in little been as lucky. They are restricted by a law that more than a couple of months.Although some prohibits raising “wild animals,” including hon- communities may have a hard time adjusting to eybees.That hasn’t stopped beekeepers there separating their organic and inorganic waste, from producing some of the best-tasting honey many have been able to do it successfully. The in New York State. Canyon Conversions Company near San Diego Consumers may be reluctant to try honey in California (a city of about 150,000 people) produced in polluted cities, but because many processes some 400 tons of municipal yard cities have a huge variety of parks, private waste per year with 200 tons of worms. gardens, and even outdoor flower stands, And in Rosario,Argentina’s third largest city, the honey produced in urban areas is just as residents of the poor Empalme Graneros neigh- good—or better—than that produced in the borhood are using worm compost made from rural countryside. In addition to producing discarded fruit and vegetable trimmings to nur- honey, bees help keep urban gardens pollinated ture plots of vegetables, while selling worms to and biologically diverse. local fishers.This income stream is no small And while urban beekeepers carry out benefit in the city with Argentina’s highest their work primarily on rooftops, a growing unemployment rate.The residents sort trash and number of cityfolk are keeping their livestock separate out plastics, cardboard, metals, and glass under kitchen sinks, in backyard bins, and even for resale. By recycling organic waste into com- huge municipal waste dumps.Vermiculture— post, the project reduced the quantity of dumped recycling organic waste with worms—can be organic waste that posed a health threat. an environmentally friendly alternative to more SOURCE: See endnote 39.

While there needs to be a place for raising humans, and city officials are grappling with animals in cities, industrial farming within how to dispose of mountains of manure.41 cities is an inhumane and ecologically dis- In many parts of the world, including ruptive way of producing meat. A 2005 report along China’s eastern coast, in Thailand by the World Bank echoed this, noting that the around Bangkok, and in Brazil near São “extraordinary proximate concentration of Paulo, there is an “excessive concentration” people and livestock poses probably one of the of factory farms as well as animal manure. In most serious environmental and public health fact, some provinces along China’s eastern challenges for the coming decades.” Many seaboard, near consumers and port facilities, experts are worried about the spread of dis- have more than 500 livestock per square kilo- eases, such as avian flu, from animals to meter, which is five times as many animals as

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the surrounding land can handle.42 within 100 kilometers of Bangkok, while giv- Even raising smaller herds of free-range ing farmers outside that zone tax-free status. livestock in cities can sometimes present waste Thanks to this, the concentration of poultry management problems. In the city of Kisumu, farms right outside of Bangkok has dropped Kenya, many residents rely on livestock for significantly over the last decade.45 income and food. But there is little land avail- able to absorb manure. According to a recent Planning Garden Cities study, three fourths of the dung produced in Kisumu is not used as fertilizer for growing In the 1880s, Ebenezer Howard felt that crops, nor is it a source of fuel for cooking and the modern city was consuming itself and heating. And because there is no regular waste everything around it. Howard envisioned a removal system in the city, the manure piles up different type of city, a “garden city,” with and up, contaminating soil and water.43 parks and green spaces and suggested popu- But now some people living in Kisumu lation and livestock carrying capacities. The are using animal waste both as a source of fuel city would include gardens to raise some of and as a money-making opportunity. With its own food, but it would also make room investment from Lagrotech Consultants, a for deliveries of food from the nearby coun- private company, and from a development tryside. Howard realized that “people stream- agency, Kisumu residents are turning dung ing into the city” not only represented a into a safe, efficient source of fuel. The dung threat to the urban areas, it also could bleed briquettes—made by mixing water, charcoal the rural areas to death. He was not propos- dust, straw, and other ingredients with animal ing a blending of the two into a homogenous manure—produce very little smoke (a health , but instead a symbiosis. “Town and hazard of other fuels, particularly for women) country must be married,” wrote Howard in and save residents from having to buy expen- Garden Cities of To-Morrow, “and out of this sive commercial fuel. Livestock owners are joyous union will spring a new hope, a new also generating additional income by selling life, a new civilization.” 46 their excess briquettes.44 The remnants of Howard’s garden city One way to prevent the problems that can be seen in greenbelt cities constructed plague industrial livestock production is to dis- during the Depression in the United States, courage factory farming in or near cities. A in the postwar new towns of Great Britain, recent FAO report suggests a combination of and in the parks that ring Portland, Oregon, zoning and land use regulations, along with today. Nonetheless, with few exceptions the taxes, incentives, and infrastructure develop- marriage between town and country has not ment that can encourage producers to raise always been “joyous.” The unchecked growth animals closer to croplands, where manure can of modern cities, aided by freeways and mass be used as fertilizer and where there is less risk transit that stretch ever farther from their of disease. According to FAO, figuring out core, remains one of the primary threats to where the best places are to produce live- the farmland that feeds them. As Howard sus- stock can help control land and livestock pected, the basic design of the modern city nutrient imbalances—in other words, raising seemed to be inherently threatening to farm- livestock in areas that have enough land to ing nearby. Rather than incorporating per- handle waste. Thailand, for example, puts manent farmland into urban design, planners high taxes on large-scale poultry production pave it over, even as the growing urban pop-

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STATE OF THE WORLD 2007 Farming the Cities

ulation puts increasing demands on the during the Middle Ages or the conservation remaining land. In the United States, 79 reserves of today, keeping the countryside percent of fruit, 69 percent of vegetables, intact seems an essential ingredient in keep- and 52 percent of dairy products are raised ing urban life from destroying itself. Farmland in metropolitan counties or fast-growing is also less of a drain on public coffers than neighboring counties in the path of sprawl, suburbs: research in the United States has which threatens to eliminate this form of shown that often spend several urban agriculture.47 times more on public services for every dol- lar that new housing generates in tax rev- In Rosario, Argentina, seven farmers’ enue than they spend on services for every markets and more than 800 community dollar generated by farms and open land. Advocates of farmland preservation point out gardens sprouted up throughout the city. that there is no shortage of creative policies at the disposal of interested municipalities. Despite all that farming can do for the The scarce commodity has been the political city landscape and the urban soul, politicians, will to confront powerful building and trans- businesses, and planners continue to regard portation lobbies.49 food as a rural issue that does not demand the The location and design of food markets same attention as housing, crime, or trans- is vitally important for urban farming. In the portation. This stubborn mindset partly absence of government leadership, the place- explains the “piecemeal approach” to plan- ment of food retailing outlets in cities is often ning for city food systems, according to a haphazard and inefficient, and it ultimately study from the Department of Geography ends up wasting food and driving up prices for and Urban Planning at Wayne State Univer- poor consumers. For example, Edward Seidler sity in Michigan. Urban planners around the of FAO’s Marketing Group notes that of the world viewed gardens and farmland within five wholesale markets in Hanoi, a city of 5 city limits as an anachronism, not to be found million, only one was planned. The others all in a “modern city.” In many cities, farming developed spontaneously and now find them- has been outlawed. Policymakers would be selves deep in the inner city, where storage and wise to realize the nutritional, social, eco- waste disposal facilities are insufficient, food logical, and economic benefits of reversing damage and losses are high, food quality is this mindset and putting programs in place to reduced, and traffic jams and parking are encourage cities to feed themselves.48 constant challenges for both buyers and sell- Planners interested in making room for ers—all resulting in higher consumer prices. farming in cities must look beyond farmers’ As many Third World cities begin to erect markets and community gardens to much housing developments and transportation deeper issues of a city’s design. An extensive infrastructure to accommodate their rapidly light rail system that reduces the need for growing populations, local officials who do highways, or a municipal composting site that not incorporate food shops and markets into generates high-quality fertilizer, or city schools their plans will force masses of residents to pay that serve local produce for lunch all represent extra and travel long distances to buy food.50 important determinants of just how much a Seidler suggests that city authorities con- city can support the surrounding country. sider establishing local retail markets that Whether it is the English commonlands cater to low-income consumers, while simul-

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taneously providing outlets for farmers, espe- and Dar es Salaam in Tanzania, city officials cially those who grow vegetables on the edge are also taking inventories of available vacant of cities. “In Dar es Salaam and Mbabane land in the city through on-the-ground sur- and Manzini in Swaziland, the local councils veys by farmers and through geographic infor- have established small retail markets to serve mation systems and are analyzing the land’s local clientele living in the suburbs,” Seidler suitability for agricultural use. In a few cases, notes. “In Barbados and in many Caribbean officials then demarcate certain areas to be countries, local councils have established small permanently used for farming, which gives retailing facilities around local bus stops to farmers the incentive to make long-term provide services to hawkers who formerly investments in the land.54 sold their produce, exposed to the elements, In the erosion-prone city of Villa María del on pavements blocking pedestrian traffic.” 51 Triunfo in Peru, where 83 percent of all In Rosario, Argentina, where farming in urban farmers are women for whom this is the the city was initially a response to the nation’s sole source of income, city officials surveyed financial crisis, officials are trying to establish the 70-square-kilometer urban landscape to it as an integral part of urban life. They cre- determine what share was suitable for farm- ated the Programa de Agricultura Urbana ing. By 2004 the municipality had estab- (PAU), a cooperative venture that unites lished a dedicated urban agriculture office in urban farmers, municipal officials, agricul- its economic development branch; had ear- tural experts, and representatives of non- marked money to subsidize seed, fertilizer, governmental organizations. The PAU helped and other inputs for city farms; and encour- urban farmers secure and protect agricultural aged an increase in local processing and mar- spaces, take advantage of value-added agri- keting. The program helped create 399 family cultural products, and establish new markets and community plots on formerly vacant and market systems. Soon, seven farmers’ land, examined sources of irrigation water, markets and more than 800 community gar- developed a municipal consolidation plan for dens—supporting some 10,000 farmers and urban agriculture through 2010, and formed their families—had sprouted up throughout a multistakeholder advisory group that sup- the city. The cooperative also involved resi- ports ongoing implementation of the plan.55 dents of Molino Blanco, a low-income hous- Mapping can be used not just to find suit- ing project, in the design and construction of able farmland but also to track food avail- a large garden park that includes walking ability, as the city of Philadelphia in the United paths, soccer fields, and large designated areas States did several years ago. It found that a where people can raise food.52 lack of healthy food options and high rates of “Urban farmers tell me that they are not diseases like cancers, diabetes, high blood only pleased to have the opportunity to gen- pressure, and heart disease coincided in the erate income and feed their families,” said low-income areas of the city. The Food Raul Terille with the Centro de Estudios de Trust’s Supermarket Campaign leveraged this Producciones Agroecologicas in Rosario and information to create the Pennsylvania Fresh a member of the PAU. “But also, after years Food Financing Initiative, an $80-million of feeling marginalized, they are making a public-private partnership that works to genuine contribution to their city and are increase the number of grocery stores in finally being recognized for it.” 53 underserved communities. Penn State Uni- From Cienfuegos in Cuba to Piura in Peru versity researchers are using National Institute

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STATE OF THE WORLD 2007 Farming the Cities of Health money to study the effects of this of local politicians, hunger activists, environ- initiative on fruit and vegetable consump- mentalists, sustainable agriculture advocates, tion patterns and on health.56 and community development groups allow If the goal is to be more self-sufficient food policy decisions to reflect a broad range when it comes to food, city officials need to of interests and tap possible synergies. For think creatively. Perhaps the most cutting- instance, hunger activists, senior citizens, and edge design innovation for bringing food farmers might join to lobby for farmers’ mar- back into cities is also the most sublime— ket coupons for the poor and elderly, so that rooftop gardens. At the midtown-Manhattan hungry citizens could buy healthy food and headquarters of Earth Pledge, an environ- farmers would have new customers.59 mental organization hoping to lower New The Hartford Food System (HFS), for York City’s temperature and reduce pollution, example, works to give people in Connecti- a green roof with an organic kitchen gar- cut better access to nutritious and affordable den—filled with lettuces, tomatoes, egg- food. The group has helped establish farmers’ plants, peppers, cucumbers, assorted herbs, markets, distributes coupons to low-income and even sweet potatoes—thrives above the households for use at these markets, created shade created by the skyline and is out of a grocery delivery service for homebound the way of ground-level pollution from cars.57 elderly people, and launched the Connecticut Rooftop gardens are springing up every- Food Policy Council—a body that helps where. City Hall in Chicago sports a green guide Connecticut’s decisions about food. roof; in Tokyo, a new ordinance requires all HFS tracks prices at supermarkets and oper- new building plans with more than 1,000 ates a 400-member community-supported square meters of floor space to cover 20 per- agriculture program that distributes 40 per- cent of their roofs with vegetation as a way cent of its produce to low-income people. It to reduce energy costs and urban tempera- also educates the public about farmland tures. (See also Chapter 5.) In Mexico, the preservation and lobbies for policies that pre- Institute for Simplified Hydroponics has serve farmland.60 developed low-cost roof garden technolo- These local councils might have another gies that will help many more landless peas- policymaking advantage. “Only an entity on ants in the world’s expanding cities feed the ground that knows the community and themselves and earn a living from urban farm- knows the nuances of the local food system ing. And in Morocco, students and commu- knows how to make the system work for local nity groups have built garden beds from old folks,” says Mark Winne of HFS. Policies tires filled with compost and vermiculite on designed in the rarefied air of bureaucracies rooftops and achieved yields dramatically may not be relevant or effective for specific greater than conventional gardening. They cities or communities. HFS interviewed hun- collected and recycled water that drained dreds of low-income Hartford residents to through the bottom of the beds, reducing determine the main causes of hunger in the water use by 90 percent over standard gar- city. After finding a strong correlation between dening techniques—a critical factor for coun- frequent bouts of hunger and poor access to tries susceptible to drought.58 transportation options, the group worked In some cases, urban food policy councils with city officials to modify bus lines so that have been formed to help guide government routes connected low-income communities decisions on food. These informal coalitions with supermarkets. HFS also helped to open

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several farmers’ markets and a new super- a better way of life.64 market in the same poorly served area.61 Investing more in rural agriculture can Without public participation, policies help ease this migration, according to a 2006 intended to support urban farming might study by FAO. The report found that gov- actually harm it. In the 1980s, the government ernments and policymakers are largely of Tanzania issued a policy encouraging peo- unaware that if “properly managed,” agri- ple in cities to grow food. This policy built on culture can not only produce food but also years of farming and cattle raising in Dar es have a positive impact on poverty alleviation, Salaam and other cities during colonial times. food security, crime control, and protection Much of that cow grazing, though, was in less of the environment in both cities and the populated parts of the cities owned by wealthy countryside. In particular, improving roads foreigners. The new policy meant animals and rural infrastructure, access to credit, and were in the densest part of the cities, creating social services in rural areas can help curb noise and manure problems.62 the rate of people leaving the country and ease Bombarded with complaints, the city gov- pressure on urban centers. People leaving ernment in Dar es Salaam responded by being the country often gravitate to a nation’s cap- stricter about noise, dirt, and manure cleanup. ital or a few large cities, a strain that can be Between 1985 and 2005, the number of ani- lifted by medium-sized towns that embrace mals kept in the city quadrupled, growing urban agriculture as farming and farming- faster than the human population did, but related industries flourish.65 the number of problems reported plummeted. The amount of land under cultivation has The most cutting-edge design innovation doubled, hundreds of jobs have been created, for bringing food back into cities is and the availability of locally grown food has increased dramatically. Women who keep cows also the most sublime—rooftop gardens. or raise vegetables in their backyards report making two to three times as much per year A low-cost option for growing food in as their husbands, inspiring people elsewhere cities might be even more important than in society. “Once national and municipal lead- ever before. The migrations that prompted ers understood the on-the-ground reality of Ebenezer Howard to demand a new pattern urban agriculture, they were convinced of its of city development are minuscule compared economic value—especially for poor families with the changes under way in the Third and women,” says George Matovu, Regional World today. “On the longer term, urban Director of the Municipal Development Part- agriculture will be sustainable especially if nership in Tanzania.63 its potential for multifunctional land use is One way to make it easier for cities to recognized and fully developed,” noted René feed themselves is to slow the flow of people van Veenhuizen, editor of Cities Farming into them from the countryside. Policymak- for the Future by Resource Centers on Urban ers in rural areas have to make living there a Agriculture and Food Security. “The sus- healthy, viable option for the world’s poor, so tainability of urban agriculture is strongly that they are not forced to move to cities. In related to its contributions to the develop- just the last 50 years, some 800 million peo- ment of a sustainable city: an inclusive, food- ple have moved from the countryside to secure, productive and environmentally urban areas in search of higher incomes and healthy city.” 66

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STATE OF THE WORLD 2007

: CITYSCAPE FREETOWN ------Urban Farms After A War

Freetown, the capital of Sierra Leone, evolved More than 2 million people were displaced, as a farming settlement. From the mid-1700s and major economic activities, such as farm- to the early 1800s, apart from being one of ing, mining, and forestry, were disrupted. Africa’s best natural harbors, this area offered People flooded into Freetown, increasing the safe drinking water, fresh grapes, apples, let- demand for food.3 tuce, spinach greens, potatoes, goats, sheep, Urban agriculture returned to the city, as chickens, and ducks to European explorers many public sector workers became unem- and traders en route to India. West Africans ployed. Some of their spouses entered the recaptured on their way to slavery and those informal sector, cultivating leafy vegetables freed in Europe and North America often and marketing fruits and vegetables within resettled in Freetown.1 and near the Freetown municipal boundary. Farming and trading emerged as the main Young displaced people and women return- socioeconomic activities under the British ing to the city turned to farming locally and colonial administration from 1808 to 1961. international trade in vegetables between After the Second World War, a freehold land Conakry in Guinea and Freetown. Those tenure system emerged, which was distinct who could not afford to travel operated as from the communal ownership found in the go-betweens and served as local retailers hinterlands. By the end of British rule, most between wholesale importers and consumers agricultural lands had been sold for urban in Freetown. Other women joined the urban use: residences, industries, and stores. Free- agriculture marketing chain by preparing town’s urban center grew in built-up land fast food for the growing numbers of unem- area and population after independence. ployed, single, separated, or divorced family The Greater Freetown Area now covers members. about 8,100 hectares. The population nearly During the war, Njala University College quadrupled between 1963 and 1985—from (now Njala University) relocated to Freetown 127,917 to 469,776 people. Economic life in early 1995, and researchers there started and food security deteriorated rapidly. It took studying technical, health, and institutional a war before agriculture began to resurge in issues among farmers in the city. For instance, the city.2 farms in Freetown are rainfed from April to In March 1991, a retired military corporal October and irrigated from November to launched the Revolutionary United Front March. During the irrigated months, farmers (RUF) rebel war from the eastern part of the work with old, worn-out containers that leak. country. In 1992, the military defending the Those who get wet are prone to falling ill country against the RUF overthrew the rul- with arthritis and pneumonia. Of particular ing All People’s Congress Party, forming the concern to health and energy experts are National Provisional Ruling Council (NPRC). school-age children, who during the week- In 1996, through a democratic process, the ends often help their parents prepare seed NPRC handed power over to the current beds, transport household refuse, water, and ruling party, the Sierra Leone Peoples Party, market the crops.4 which gradually ended the war with the help Urban farming grew even more impor- of local and international organizations. tant during the nine months of the Armed The war destroyed lives and property. Forces Revolutionary Council (AFRC) mili-

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STATE OF THE WORLD 2007 Cityscape: Freetown

innebah Thomas R. A. W

tary junta in 1997–98. As a result of an international trade embargo against the AFRC regime and the rebel blockade of trade between Freetown and its hinterland, food shortages became acute. Farming within and near Freetown became a basic survival mechanism.5 After the war ended in late 2002, the first post- war census revealed that Freetown’s population wn egetables from Guinea in Freeto had increased to 772,873 Women selling v and now contained 16 percent of Sierra Leone’s population. To help feed the burgeoning city, since 2005 the The growing population, particularly in Ministry of Agriculture and Food Security the city’s east ward, has increased the demand (MAFS) has promoted urban farming associa- for housing. Dwelling units are being con- tions and training under the U.N. Food and structed within stream valleys where farming Agriculture Organization Special Project for takes place. Farming is being pushed to peri- Food Security’s Farmers Field School. For urban lands. With the re-establishment of the instance, drip irrigation technology was Freetown City Council, the newly constituted extended to some of these plots.6 multistakeholder city team under FUPAP is In June 2006, the MAFS teamed with working toward the full integration of agri- the International Network of Resource Cen- culture into city development plans. This may ters for Urban Agriculture and Food Secu- help redress access to land as another con- rity to launch the Freetown Urban and straint to farming. Peri-Urban Agriculture Project (FUPAP). Farming—the foundation of life in Free- The project has trained people in multistake- town since pre-colonial times—was marginal- holder processes for action planning and ized by nonfarm land uses during urbaniza- policymaking for urban agriculture. Stake- tion, but it resurged in importance during the holders trained include representatives of recent war. The current attempts at placing the Freetown Municipality, the Ministry of agriculture at the core of urban planning Lands and Country Planning, the MAFS, suggest that farming will always exist in Free- Njala University, the National Commission town as long as there are mouths to feed. for Environment and Forestry, the National —Thomas R. A. Winnebah, Farmers Association of Farmers, the Decen- Njala University, Sierra Leone tralization Secretariat, and a variety of non- —Olufunke Cofie, International Water governmental organizations.7 Management Institute, Ghana

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CHAPTER 4

Greening Urban Transportation Peter Newman and Jeff Kenworthy

The meeting was over, a motion to remove the from entering. After the government sup- rail tracks was passed—and yet a rail revival porters passed their “unanimous” vote, the seemed almost certain. Friends of the Railway media were merciless in their coverage of a (F.O.R.) in , Australia, was trying to “bankrupt government.” restore the Perth-Fremantle railway in 1982 Within a year the government was voted after the government had closed it in 1978. out of office and the train was restored. Now Perth was a modern city and the car was king. Perth has 180 kilometers of electric rail, with The government wanted the railway reserve 72 stations covering every corridor of the to become a freeway, and buses were to replace city. The rail system is often the fastest way to the trains. But since the rail’s closure, buses get around the city, and patronage grew from had lost 30 percent of the riders who had 7 million passengers a year to 47 million in used the train. Further, the first signs of a 2005, with sharp increases again since fuel global oil crisis had hit Australia in 1979, and prices skyrocketed. a transportation system entirely reliant on oil- Perhaps more important, land near sta- fueled cars and buses did not seem sensible.1 tions has become the preferred site for living After four years of intense lobbying, and working. As the city has focused new F.O.R. was gaining public support. The development around stations, these areas have group had called a public meeting; the gov- become hives of activity. Perth has pioneered ernment’s political party had responded by a travel demand management system called busing in 600 supporters two hours before Travel Smart that has educated people about the start of the event, preventing any one else transportation options. As a result, more than

Peter Newman is Professor of City Policy and Director of the Institute for Sustainability and Technol- ogy Policy, and Jeff Kenworthy is Associate Professor in Sustainable Settlements at the Institute, at Mur- doch University in Perth, Australia.

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STATE OF THE WORLD 2007 Greening Urban Transportation

15 percent of car trips have changed into aspiring person from Boston to Belgrade to public transport or bicycle trips. Extensive Beijing, the car seems unstoppable.2 cycleways now lace the metropolitan area, Cities everywhere have been filling with including a “veloway” for bicycles along rail cars—leading to congestion, road accidents, lines. Funding for public transportation and and bad air quality. Traditionally the response bicycles now outstrips road funding and has been to build more road capacity, which includes a hydrogen fuel cell bus trial. displaces transit (public modes of trans- Although still powerful, the car is not portation), bicycling, and walking and which quite the king it was in Perth. Politicians causes a city to spread outwards along high- there can now bathe in the glory of having ways. Travel distances get longer and travel had the foresight to prepare their city for an times favor cars. This sets up a spiral of more oil-constrained future. The F.O.R. campaign cars, more roads, and more sprawl that seems and hundreds of others in cities around the never-ending. world demonstrate that modes other than Cars are useful, and the desire to own one the car can be facilitated by popular govern- is so great that every city has to work out how ments. For this to happen, however, civil to deal with this. Yet ownership of cars may society must develop a vision of what this not be the problem, as the extent to which will involve for each city. Turning that vision cars dominate a city varies enormously. Cities into reality will unavoidably involve politics. are shaped by their economies, their culture, “Greening” urban transportation, as Perth and their transportation priorities in a syner- has tried to do, is about finding ways to make gistic way. walking, bicycling, other nonmotorized modes This chapter uses data on urban areas from like rickshaws, buses, light rail (modern trams), the Millennium Data Base prepared for the and heavy rail more competitive with the car International Union of Public Transport and as well as about reducing the need to travel in conducted by the Institute for Sustainability the first place through land use changes, for and Technology Policy at Murdoch Univer- example, that put people’s homes and jobs sity in Australia, the most comprehensive closer together. This chapter looks at the urban transportation and land use data set rationale for doing this, at the policies that can available. Data for 84 cities in 1995 (the lat- move cities in that direction, and at some est year available) are used to establish a cases where this is happening. global perspective (available at www.sustain ability.murdoch.edu.au), while 15 cities typ- Transportation and ical of the situation in industrial and devel- oping countries are presented here to illustrate Land Use in Cities the main differences. The indicators discussed While each city has its own transportation include transportation energy, transit use, story, the past 30 years have seen an explosion , nonmotorized transport in the growth of cars in cities worldwide. In (NMT), relative speed of transit to traffic, 1970 there were 200 million cars in the and length of freeway.3 world, but by 2006 this had grown to more The variation in the amount of fuel used than 850 million—and the number is in private passenger cars in the 15 cities is expected to double by 2030. Heavily mar- shown in Figure 4–1. Not surprisingly, Amer- keted, highly successful in its political cam- icans lead the world in the use of cars and fuel, paigns, and now the symbol of success for any although there are significant differences

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STATE OF THE WORLD 2007 Greening Urban Transportation between Atlanta at 2,962 liters of gasoline Riyadh at 1 percent. Again, these patterns do annually per person and New York at 1,237 not seem to follow per capita wealth levels. liters. People in Australian, Canadian, and Some cities appear to invest in transit. Oth- cities are next, with 700–1,200 ers do not.6 liters per person. European cities use around The third indictor of significance is non- 450 liters per person, while people in East motorized transport—mainly walking and European cities use about 100–240 liters. biking, but also some rickshaw use. Figure The figures in wealthy Asian cities are also 4–3 shows that the cities with high car use and extremely low, averaging 275 liters per per- low transit generally have low walking and son. Cities in developing countries are mostly biking: North American, Australian, and New at the lower end of this array, ranging from Zealand cities average 8–16 percent (Atlanta around 70 to 300 liters per person. Ho Chi is just 3 percent) whereas European, Latin Minh City—with 27 liters per person—is American, and Asian cities are around 30 hardly measurable on the same scale.4 percent (although Shanghai registers 78 per- Cities vary in their ability to afford cars and cent and Ho Chi Minh City 44 percent). to provide roads for them, but there is sur- The density of these cities helps explain the prisingly little correlation between car fuel use differences, as distances in compact cities are and city wealth. Cities like Tokyo and Hong short enough for walking. The political pri- Kong are very wealthy, for example, but their ority assigned to facilitating NMT is also residents use 10 times and 25 times less gaso- important, which explains Bangkok’s rela- line than Atlanta. European cities in general tively low figure. and Amster- are among the wealthiest in the world, but dam have high bicycling rates—over 30 people there use six times less fuel than peo- percent—due to the exceptional provision ple in Atlanta. It seems that cities invest in of cycling infrastructure. For Chinese cities, either the ability to travel by car or the abil- the bicycle remains the largest contributor to ity to travel by other modes such as transit.5 urban transport, but this is being challenged Figure 4–2 shows the proportion of by rapid motorization. (See Box 4–1.)7 motorized transportation on transit in the The fourth important indicator is density 15 typical cities. These show an even greater of population in people per hectare of devel- spread. U.S. cities have vanishingly small lev- oped urban land. (See Figure 4–4.) In general, els of transit, although 9 percent of New higher-density cities have the most walk- York City’s motorized transport is on public ing/biking and transit use, while low-den- transportation. Australian, Canadian, and sity cities have the most car use. This is seen New Zealand cities are just a little better, clearly in a larger sample of cities. (See Figure varying from 5 percent in Perth to 14 percent 4–5.) Although there are some exceptions— in Toronto. Most European cities are over 20 Curitiba and Krakow are a little lower in den- percent transit, although a few have less than sity than expected for their low car use, for 10 percent. East European cities, in contrast, instance, and Bangkok is higher density than are all around 50 percent transit. The wealthy expected for the city with the highest car use Asian cities are very high in transit, with in Asia—the link between urban form and at the top with 73 percent. Fig- transport seems to be quite clear. Some ana- ures for cities in developing countries are lysts argue that transport patterns are mostly highly scattered, from Mumbai at 84 per- caused by other factors such as income and cent to Ho Chi Minh City at 8 percent and gasoline price, but Figure 4–6 shows the same

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STATE OF THE WORLD 2007 Greening Urban Transportation figure 4-1 figure 4-1 Atlanta suburbs is like NewAtlanta York and in the outer sub- New PerthYork urbs it is like Houston. VancouverPerth This also shows that VancouverZurich it is not income driv- MunichZurich ing these patterns, BangkokMunich because Sydney—like BangkokTokyo all Australian cities— SãoTokyo Paulo declines uniformly in SãoCuritiba Paulo wealth from the center HongCuritiba Kong outward.8 HongKrakow Kong From these trans- KrakowBogota ShanghaiBogota portation and land use Ho Chi MinhShanghai City Source: Kenworthy and Laube data, it is clear that Source: Kenworthy and Laube Ho Chi Minh City 0 500 1000 1500 2000 2500 3000 there is one set of prob- 0 500 1000Liters Per Person 1500 Per 2000Year 2500 3000 lems associated with low-density cities— Figure 4–1. Private PassengerLiters Per Transport Person Per YearEnergy Use in sprawl-based car depen- figure15 Cities, 4-2 1995 figure 4-2 dence—and a different Atlanta Source: Kenworthy and Laube set associated with NewAtlanta York Source: Kenworthy and Laube high-density cities— New PerthYork congestion-based car VancouverPerth saturation. VancouverZurich Cities built around Munich cars sometimes use BangkokMunich automobiles 10 times BangkokTokyo SãoTokyo Paulo as much as other cities, SãoCuritiba Paulo and they have land use HongCuritiba Kong patterns that suggest HongKrakow Kong there is little alterna- KrakowBogota tive. Many of these ShanghaiBogota urban areas have a pat- Ho Chi MinhShanghai City tern of low-density Ho Chi Minh City0 10 20 30 40 50 60 70 80 land use that is so car- 0 10 20 30Percent 40 50 60 70 80 dependent that it rein- Percent forces the downward figure 4-3 Figure 4–2. Proportionfigure of Motorized4-3 Passenger-kilometers spiral of greener modes Atlanta on Public Transport in 15 Cities,Source: 1995 Kenworthy and Laube of transportation. They NewAtlanta York Source: Kenworthy and Laube have traffic problems largeNew variation PerthYork in transportation energy with not only on the freeways that lace them but densityVancouver acrossPerth Sydney’s suburbs. The density also in their centers, which are often domi- of activityVancouverZurich is very high in the center (City of nated by car parks and traffic conflicts. But Munich Sydney),Zurich where the fuel use is similar to Shang- they also have no other viable options for BangkokMunich hai or Krakow, whereas usage in the inner transportation. It appears that only cars can get BangkokTokyo SãoTokyo Paulo SãoCuritiba Paulo 69 HongCuritiba Kong HongKrakow Kong KrakowBogota ShanghaiBogota Ho Chi MinhShanghai City Ho Chi Minh City0 10 20 30 40 50 60 70 80 0 10 20 30Percent 40 50 60 70 80 Percent

figure 4-1

Atlanta New York Perth Vancouver Zurich Munich Bangkok Tokyo São Paulo Curitiba Hong Kong Krakow Bogota Shanghai Ho Chi Minh City Source: Kenworthy and Laube 0 500 1000 1500 2000 2500 3000 Liters Per Person Per Year

figure 4-2

Atlanta Source: Kenworthy and Laube New York Perth Vancouver Zurich Munich Bangkok Tokyo São Paulo Curitiba Hong Kong Krakow Bogota Shanghai Ho Chi Minh City

0 10 20 30 40 50 60 70 80STATE OF THE WORLD 2007 Greening Urban Transportation Percent figure 4-3 use generally support Atlanta Source: Kenworthy and Laube New York more transit and walk- Perth ing/biking. But they Vancouver also have less space for Zurich vehicles on their Munich streets. Thus in many Bangkok of these denser cities, Tokyo cars, scooters, and São Paulo three-wheel taxis are Curitiba rapidly filling the Hong Kong streets—the traditional Krakow Bogota domain for public life Shanghai in a city—leading to a Ho Chi Minh City decline in air quality 0 10 20 30 40 50 60 70 80 and more noise and Percent traffic congestion. Worse, as public space Figure 4–3. Proportion of Total Daily Trips by Nonmotorized Modes in 15 Cities, 1995 is converted to use by figure 4-4 private vehicles, buses are slowed down and Atlanta Source: Kenworthy and Laube the public space for New York walking, cycling, and Perth other nonmotorized Vancouver transportation like Zurich Munich rickshaws is reduced. Bangkok The result is that use of Tokyo greener transport São Paulo modes begins to spiral Curitiba down in dense cities as Hong Kong well. Cars become the Krakow quickest and safest Bogota means even in heavy Shanghai traffic. This is rapidly Ho Chi Minh City becoming the case in 0 50 100 150 200 250 300 350 400 many Asian, African, Residents Per Hectare Middle Eastern, and Figure 4–4. Urban Density in 15 Cities, 1995 Latin American cities.10 us to destinations in a reasonable time. This Car-dependent and is mainly the case in U.S., Australian, New Zealand, and Canadian cities as well as increas- Car-saturated Cities ingly on the fringes of European cities and in Cities are shaped by many historical and geo- transitional cities that are allowed to sprawl.9 graphical features, but at any stage in a city’s Cities that have retained denser land history the patterns of land use can be

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Box 4–1. Is the Motorization of Chinese Cities a Threat to the World?

Some commentators fear that the world will pening, despite the government’s recent attempts not be able to cope with the growth in Chinese to build freeways. Chinese cities are built of cities as people there are buying cars so rapidly. high-rise towers, so they house some 150–200 Yet the 200 million Chinese who have moved people per hectare. Space for highways becomes into cities over the last 10 years use around 50 the limiting factor in high-rise cities, and the liters of transport fuel per person—in total, current building phase appears to be reaching the 200 million use less in a year than Atlanta’s that limit in cities like Shanghai. Atlanta, at 6 4.1 million people use and one quarter as much people per hectare, is the lowest-density city in as Sydney’s 3.5 million people. the world. Freeways there are constantly being Of course, if the Chinese choose to build expanded to enable movement, and there is still freeways and sprawl their cities like Atlanta, a lot of space for such roads. they will end up using cars like Atlanta does. But there is almost no possibility of that hap- SOURCE: See endnote 7.

changed by altering its transportation prior- and Canadian cities. Many developing cities ities. Italian physicist Cesare Marchetti has in Asia, Africa, and Latin America have argued that there is a universal travel time the dense corridor form of a transit city, but budget of around 1 hour on average per per- they do not always have the transit sys- son per day. This “Marchetti constant” has tems to support them, so they become been found to apply in every city in the Mil- car-saturated. lennium Data Base’s global sample as well as • “Automobile cities” from the 1950s in data on U.K. cities for the last 600 years onward could spread 50–80 kilometers in and defines the shape of cities:11 all directions and at low density. U.S., Cana- • “Walking cities” were and remain dense, dian, Australian, and New Zealand cities mixed-use areas that are no more than 5 that were developed in this way are now kilometers across. These were the major reaching the limits of the Marchetti con- urban form for 8,000 years, but substantial stant of a half-hour car commute as they parts of cities like Ho Chi Minh City, Mum- sprawl outwards and hence are redevloping. bai, and Hong Kong, for example, retain In some cities, like growing megacities the character of a walking city. Krakow is or rapidly sprawling ones, the travel time also mostly a walking city. In wealthy cities budget for an increasing proportion of peo- like New York, London, Vancouver, and ple can be exceeded. Invariably people will Sydney, the central areas are predominantly adapt by moving closer to their work or find- walking cities in character. ing a better transportation option. The search • “Transit cities” from 1850–1950 were for better options can form the basis of social based on trams and trains, which meant movements that seek to provide greener they could spread out 20–30 kilometers, transportation. with dense centers and corridors following There are many reasons to overcome car the rail lines and stations. Most European dependence and car saturation. (See Table and wealthy Asian cities retain this form, as 4–1.) Perhaps the best way to see it overall is do the old inner cores in U.S., Australian, the lack of resilience in a city when cars begin

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figure 4-7 figure 4-7

3000 3000 Source: Kenworthy and Laube Source: Kenworthy and Laube 2500 2500

2000 2000

1500 1500

1000 1000 Liters Per Person Year Liters Per Person Year 500 500

0 0 010 20 30 40 50 60 70 010 20Kilometers 30 Per 40 Hour 50 60 70 Kilometers Per Hour STATE OF THE WORLD 2007

Greening Urban Transportation figure 4-5 figure 4-5 3000 stranglehold of the sin- 3000 Source: Kenworthy and Laube Source: Kenworthy and Laube gle “car-only” option 2500 for cities and provid- 2500 ing instead a wide range of options. This 2000 2000 can build resilience into the city, especially 1500 when it faces crises like 1500 climate change and the 1000 peaking of world oil 1000 production as well as Liters Per Person Year

Liters Per Person Year the variations in eco- 500 500 nomic and social func- tions that transport 0 12 00 50 100 150 200 250 300 350 needs to address. 0 50 100 150 200 250 300 350 Residents Per Hectare Fuel is a major Residents Per Hectare problem for car- Figure 4–5. Urban Density versus Private Transport Energy dependent cities if pre- Use in 58 Higher-Incomefigure 4-6 Cities, 1995 figure 4-6 dictions about global 1500 1500 oil production peak- Fringe Suburbs Source: Kenworthy and Laube ing come true. Cities Fringe Suburbs Source: Kenworthy and Laube that are not prepared 1200 1200 with greener trans- portation options may Outer Suburbs 900 Outer Suburbs find the era of oil 900 depletion more diffi- cult than cities that 600 have struggled to 600 combat car depen- Inner Suburbs dence. However, fuel Liters Per Person Year Inner Suburbs Liters Per Person Year 300 is only one of the 300 issues listed in Table City of Sydney 4–1. Too many cars in 0 City of Sydney 0 0 50 100 150 200 250 300 350 400 a city will continue to 0 50 100Residents 150 and 200Jobs Per 250Hectare 300 350 400 be a problem no mat- Residents and Jobs Per Hectare ter what fuel is used. Figure 4–6. Urban Density versus Private Transport Energy But even fuel prob- Use in Local Government Areas in Sydney, 2002 lems in vehicles are not easily dealt with by to dominate. A city needs many kinds of simply improving efficiency. Table 4–2 sets transportation and land use options, not just out the fuel efficiency performance of trans- one type. This is what Eric Britton, an Amer- port options in the global cities sample.13 ican transport planner living in Paris, calls Urban car travel is on average nearly twice the New Mobility Agenda—breaking the as energy-consumptive as average urban bus

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Table 4–1. Problems in Cities Related to Cars

Environmental Economic Social Photochemical smog Costs from accidents and pollution Oil vulnerability Toxic air emissions Congestion costs Loss of street life and community High greenhouse gas High infrastructure costs in new Loss of public safety contributions sprawling suburbs Access problems for those Loss of forest and rural land Loss of productive agricultural without cars and those with Greater stormwater problems land disabilities from extra hard surface Loss of urban land to asphalt Road rage Traffic problems—noise, neigh- Obesity and other health impacts borhoods cut up by roads

travel, 3.7 times more than typical light rail emphasize the importance of developing a or tram system travel, and 6.6 times more good backbone of electric rail in cities if energy-intensive than average urban electric energy conservation is to be enhanced. Cities train travel. Light rail and tram systems typ- without such systems are the ones with very ically involve a lot more stopping and start- high gasoline use. ing than heavy rail, with stations much closer Many commentators look at the theoret- together. So although their average passenger ical potential in the various modes to see if load is similar to heavy rail, their energy effi- actual passenger loads could be increased. ciency is a little poorer. Diesel rail is only a lit- Bus loadings vary enormously, although these tle more fuel-efficient on average than an are not easily improved if, for example, a bus urban bus. Average occupancies on trains are route is through highly dispersed suburbs. roughly equal across types—generally more The main target is the ridership level in cars, than twice that of buses and about 20 times which could carry four people instead of the higher than cars. Overall, these data re- average 1.52. This average number is so uni- versal, however—it ranges from a low in of 1.20 to the highest in Table 4–2. Average Fuel Efficiency and Manila at 2.5—that it appears unreal- Occupancy by Mode in 32 Cities, 1990 istic to expect much higher occupancy. Average Fuel Measured Average Car pooling has little potential in this Mode Efficiency Vehicle Occupancy area as it offers participants only a lim- (megajoules per (number of ited timetable. But public transport has passenger-kilometer) occupants) a much higher range—from 1.8 in bus Car 2.91 1.52 jitneys in Manila to 239.4 in Mumbai Bus 1.56 13.83 per carriage (often with many people on Heavy Rail (electric) 0.44 30.96 Heavy Rail (diesel) 1.44 27.97 the roof). So there is a real potential for Light Rail/Tram 0.79 29.73 change in transit occupancy levels.14 The other way to improve vehicle Note: Rail mode occupancies are given on the basis of the fuel efficiency is through improving average loading per wagon, not per train.The average occu- pancy of cars is a 24-hour figure. the vehicle technology itself. Since the SOURCE: See endnote 13. first oil crisis in the early 1970s, the

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STATE OF THE WORLD 2007 Greening Urban Transportation solution has been cast as one of creating more mini-taxis). These are cheap to run but dirty, technologically efficient cars and trucks. This causing air pollution that is sometimes three is still seen by many commentators as the to five times the level recommended by the most important response. Energy entrepre- World Health Organization.17 neur Jeremy Leggett of Solarcentury, for In Delhi, one study suggested that 10,000 instance, suggests that U.S. dependence on people were dying every year from air pollu- Middle Eastern oil would be reduced to zero tion. Anil Agarwal and Sunita Narain from the if fuel efficiency were improved in the U.S. Centre for Science and Environment there vehicle fleet by just 2.7 miles per gallon. This first raised this issue in the early 1980s; in assumes that people do not drive more if 1985, environmental lawyer M. C. Mehta they need less fuel per kilometer, yet the past sued the government of India for inaction on few decades have seen people driving more the issue. In 1998, after much consideration, and more in the United States.15 the Supreme Court mandated that all buses Vehicle engines have become more effi- in Delhi use compressed natural gas (CNG) cient in recent decades, but this has been off- as fuel by 2001. By 2006, some 80,000 CNG set in the United States and Australia by an vehicles could be found on Delhi’s streets, increasing proportion of heavier sports util- including all public buses and mini-taxis. Air ity vehicles in the overall fleet. Thus U.S. pollution dropped by 39 percent. Now other vehicle fuel efficiency improved from 1975 Indian cities have followed, and Beijing wants to 1987 but has dropped from 26.2 miles per to do likewise.18 gallon then to 21.4 in 2006, and Australian To deal with another major problem in car- fleet averages are now below their levels in saturated cities—congestion—municipal gov- the 1960s. In contrast, European and Chi- ernments often turn to freeways. These are nese standards on vehicles are being usually proposed to help free up congestion. increased, which is likely to have ripple Speeding up traffic will save time (at least effects throughout the vehicle industry. for awhile) and is thought to save fuel and Huge technological advances are available emissions because vehicles are involved in in vehicle fuel efficiency; they just need to less of the stop-and-start driving that wastes be mainstreamed.16 fuel. Traffic planners use benefit-cost analy- Air quality data from across the world’s ses based on these ideas to justify the large cities indicate continuing problems in this capital cost of freeways. But the data do not area as well. Vehicle and fuel technology support these contentions. improvements in most industrial-country Is congestion associated with higher fuel cities have been able to hold overall ambient use in cities? No, cities with higher congestion air pollution levels steady or reduce them have lower fuel use. (See Figure 4–7.) Those despite increases in driving. But this is not the with the least congestion use the most fuel. case in cities in most developing countries. Although individual vehicles in less-congested Yet this is even more important in these cities are moving more efficiently, they are high-density cities, where air pollution threat- being used much more and for longer dis- ens the health of millions. In cities like Mex- tances; at the same time, people in these cities ico City, Delhi, Mumbai, Kolkata, and are not using more fuel-efficient modes of Dhaka, most traffic consists of three-wheeler transportation as much.19 taxis with two-stroke engines (in Mexico When road capacity increases, car use does City, for instance, 55 percent of traffic is too, to fill the space created. In a study of U.S.

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figure 4-7 Greening Urban Transportation

3000 relative to their wealth Source: Kenworthy and Laube are those in Africa and 2500 the Middle East. This would indicate a mud- dled development 2000 assistance priority sys- tem.21 1500 Limiting car use in order to reduce con- 1000 gestion is a more sus- tainable solution than Liters Per Person Year building freeways. 500 This has been done in Greater London. 0 010 20 30 40 50 60 70 Mayor Ken Living- Kilometers Per Hour stone did what many Figure 4–7. Average Road Traffic Speed versus Private people thought was impossible—he levied Transport Energy Use in figure58 Higher-income 4-5 Cities, 1995 a congestion tax that cities over the past 30 years, the Texas Trans- proved to be popular. For many years trans- 3000 portation Institute found that there was noSource:port Kenworthy economists and Laube have recommended that difference in the levels of congestion between cities tax the use of cars to reduce congestion cities2500 that invested heavily in roads and those and to pay for motor vehicles’ external costs, that did not. Thus it is possible that a policy such as pollution and accidents. Although of 2000road-building designed to reduce traffic can Singapore and had already set up these actually have the opposite effect and increase it.20 1500 Table 4–3. Freeways in 84 Cities, Summary The building of freeways varies by Country or Region, 1995 considerably across the world’s cities.1000 Data on the amount of free- Cities within Freeways per Freeways per Region or Country Population City Wealth wayLiters Per Person Year per person in cities generally indicate500 that “if you build roads, (meters per (meters per $1,000 thousand population) gross regional product) cars will come.” (See Table 4–3.) United States 156 4,970 West 0European cities and wealthy Australia and Asian cities0 place 50 very little 100 empha- 150 200New Zealand 250 300 129 350 6,520 sis on such roads. These citiesResidents are PerCanada Hectare 122 5,850 among the wealthiest in the world. Western Europe 82 2,560 Asia high-income 20 650 Latin American and Chinese citiesfigure 4-6 Eastern Europe 31 5,260 have1500 50 times less freeway per Middle East 53 11,880 capita than U.S. cities do. When Latin America 3 620 Fringe Suburbs Source: Kenworthy and Laube freeways are expressed in terms of Africa 18 6,410 Asia low-income 15 3,990 meters1200 per dollar of wealth in the China 3 1,170 city, then sadly the cities that are investing mostOuter heavily Suburbs in freeways SOURCE: See endnote 21. 900

75 600

Inner Suburbs Liters Per Person Year 300

City of Sydney 0 0 50 100 150 200 250 300 350 400 Residents and Jobs Per Hectare

STATE OF THE WORLD 2007 Greening Urban Transportation

systems, London was the biggest city to Embarcadero Freeway from its waterfront attempt it. district in the 1990s after the Loma Prieta Officials ringed London’s inner city with earthquake in 1989. It took three ballot ini- sensors that let people pay automatically or tiatives before public consensus was reached, that fined those who did not pay when they but the freeway has been rebuilt as a tree- crossed into the central city. And they put the lined boulevard with pedestrian and cycle money raised back into better transit. Traffic spaces. As in most cases where traffic capac- was reduced by 15 percent and bus service ity is reduced, San Francisco has not found improved dramatically, as buses were better it difficult to ensure adequate transport. Traf- able to meet their schedules and the city sup- fic calming studies for many years have shown plied more of them. People who continued to that cities adapt as people switch to different drive appreciated the 60,000 fewer vehicles a transport modes and stop taking unnecessary day entering central London; 50–60 percent car trips and as cities create land use changes of those who stopped driving changed to that are more compatible with the new traf- transit. Stockholm is now moving toward a fic capacity. Regeneration of land uses in the congestion tax after a six-month trial found area has followed this change of transporta- a reduction in traffic of 25 percent in the tion philosophy.24 morning rush and 40 percent in the evening. , South Korea, has removed from its About half the commuters moved to transit, center a large freeway that had been built with a 4.5-percent increase in its use.22 over a major river. The freeway had become controversial because of its impacts on the Some cities faced with congestion built environment as well as the river. After a mayoral contest in which the vision for a dif- have decided not to build freeways— ferent kind of city was tested politically, the and have turned out to be global new mayor began a five-year program that saw leaders in green transportation. the freeway dismantled, the start of a river rehabilitation process, the restoration of a Some other cities faced with congestion historical bridge over the river, the restoration have decided not to build freeways—and have and rehabilitation of the river foreshores as a turned out to be global leaders in green trans- public park, restoration of adjacent build- portation. Copenhagen, Zurich, Portland in ings, and extension of the underground rail Oregon, and Vancouver and Toronto in system and a bus rapid transit (BRT) system Canada all faced considerable controversy to help replace the traffic. The project has when freeways were initially proposed. The been very symbolic for Seoul, as the river city governments decided instead to provide was a spiritual source of life for the city. Now greener options—light rail lines, cycleways, other Asian cities, especially in Japan, are traffic calming, and associated urban villages. planning to do similar projects, and Aarhus in All these cities had citizen groups that pushed Denmark has removed a major arterial road visions for a less car-oriented city and a polit- covering a small river and created a beautiful ical process that allowed and encouraged foreshore regeneration.25 their inputs.23 What these projects have shown is that Today many other cities are trying to we should, as David Burwell from Project for demolish freeways that have blighted central Public Spaces, says, “think of transportation urban areas. San Francisco removed the as public space.” Freeways, from this per-

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spective, become very unfriendly solutions they can travel less. Transit needs densities as they are not good public spaces. But boule- over 35 people and jobs per hectare of urban vards with space for cars, cyclists, pedestrians, land (though preferably 50 people), cycling and a busway or light-rail system—all pack- also begins to be effective over 35 people per aged in good design and with associated land hectare, while walking requires densities over uses that create attractions for everyone— 100 people and jobs per hectare.29 these are the gathering spaces that make And third, transit service levels and con- green cities good cities. The Aarhus River nectivity need to allow time savings to occur. now attracts people and investment to the area Transit must be available at 15-minute inter- that was once blighted by the busy road. The vals or less and be provided at night and on Demos Institute, a U.K. public policy research weekends. A city with inadequate public trans- group, has shown how public transport helps portation can be restructured into a series of create good public spaces that in turn help transit cities where local bus services link to define a city.26 a faster service down corridors. These local Traffic engineers are increasingly aware of bus services can then go across the corridors this new paradigm for transportation plan- by linking into stations in a coordinated way ning. Andy Wiley-Schwartz of the U.S. pub- from many directions. Vancouver and Sydney lic policy group Project for Public Spaces have restructured in this way, and Denver says that “road engineers are realizing that has a rail project planned that will transform they are in the community development busi- that city’s transit system.30 ness and not just in the facilities develop- ment business.” He calls this the “slow road” Rebuilding Cities with Transit movement. A similar movement in Denmark spearheaded by the urban designer Jan Gehl To reverse sprawl-based car dependence, it is has stressed the importance of making all almost impossible to redevelop a whole city public spaces, especially roads, into people-ori- so that transit is faster than the traffic. But it ented spaces where the priority is for pedes- is possible to make transit faster than traffic trians and cyclists.27 down all main corridors. The European and Both car-dependent and car-saturated cities Asian cities with the highest ratio of transit to thus need a combination of transportation traffic speeds have achieved this with rail. and land use options that are more favorable Rail systems are faster in all 84 cities in the for greener modes—that is, they must save Millennium Data Base by 10–20 kilometers time compared with a car. First, public trans- per hour (kph) over bus systems, which rarely portation needs to be faster than traffic down average over 20–25 kph. Busways can be each major corridor. Cities where transit is rel- quicker than traffic in car-saturated cities, atively fast are the ones with a reasonable but in lower-density car-dependent cities it is level of support for it (see the data on the 84 important to use the extra speed of rail to cities on the Web site). The reason is simple: establish an advantage over cars in traffic. public transport in these cities saves time.28 This is one of the key reasons railways are Second, more people need to live and work being built in more than 100 U.S. cities.31 where they have greener transportation Rail, together with proper zoning, can options. Densities in central cities, regional induce density around stations. The Metro- centers, and neighborhood centers need to rail system in Washington, DC, built in 1976, increase so that whatever mode people choose has grown to 168 kilometers of track with 86

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STATE OF THE WORLD 2007 Greening Urban Transportation stations and has become a key factor in shap- Council created quality urban spaces, good ing housing and employment patterns. This cycling and walking facilities, reliable electric process—called transit-oriented development, rail (the Sky Train) and electric trolley buses, or TOD—is becoming a guiding philoso- and high-density residential buildings with at phy for planners, politicians, and developers least 15 percent public and cooperative hous- as it not only reduces car use, it also saves ing. The population has grown by 135,000 money on infrastructure and helps create in the last 20 years, and transportation pat- community and business centers.32 terns have changed. Car trips in the city Centers or TODs need to be planned declined by 31,000 vehicles per day between along every public transport system so that 1991 and 1994 (35 to 31 percent of all trips), transit cities are built as an antidote to auto- while cycling and walking increased by mobile cities. In these centers—especially 107,000 trips daily, rising from 15 to 22 per- major regional centers—walking and cycling cent of trips. By 2006, walking and cycling need to be given priority so that short jour- had gone up to 30 percent of trips.35 neys can be done quicker. The walking city is Families are moving into the city, and just as functional in today’s economy as in any schools, child care centers, and community other period of history. A combination of centers are now crowded, while the number transit cities and walking cities can be built of cars owned in the city has dropped to less within an auto city to make it more resilient. than it was five years earlier—probably a Most Australian and Canadian cities are being world first, especially in a city undergoing an planned and redeveloped with this concept in economic boom. The city requires each devel- mind, as are Portland (Oregon), Chicago, opment to provide public spaces and social and Denver in the United States.33 facilities equal to 5 percent of the cost of the Less than 1 percent of the trips in Den- project. These funds improve the city’s walk- ver are by transit, yet the city is rebuilding ability as well as local community facilities. itself around six new rail lines. Inspired by Vancouver also has redeveloped many areas neighboring Boulder, with its transit and around the Sky Train stations.36 bicycle-friendly center, Denver groups like Paris, like many European cities, has a the Transit Alliance began a campaign to strong transit system and a walkable central transform the transit and land use system in area, but over recent decades it has given the mid-1980s. A partnership was forged more and more space to the car. Now, in a bid between political leaders, business, non- to reclaim its public spaces, it is implement- governmental organizations (NGOs), and ing a series of policies to reduce the number neighborhood groups. In 2004, voters of cars in the city. The new measures include approved a proposition to raise $4.7 billion 320 kilometers of dedicated bike lanes, con- to provide 192 kilometers of new rail track version of one-way express routes for motor with 70 new stations, 30 kilometers of bus vehicles into two-way cycle lanes with addi- rapid transit, and a plan to focus develop- tional street trees, and the removal of 55,000 ment around the transit system.34 on-street parking spaces a year. The city also Greener transportation has begun to trans- plans a new light rail system linking a dozen form Vancouver, Canada. The city’s popula- subway and express train lines, providing tion, like that in many North American cross-city linkages, and 40 kilometers of ded- areas, began declining in the icated busways that enable buses to travel at 1970s and 1980s. In response, the City twice their normal speed, with bus stops that

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provide real-time information. Mayor be transported and the space available in the Bertrand Delanoë says 80 percent of Parisians central area. In Mumbai, where 5 million support these innovations.37 people a day arrive by train, the space is so Bus rapid transit is filling a niche between confined that only rail could work. In high- rail and conventional buses. (See Box 4–2.) density cities, transit-oriented development Its main features are dedicated lanes, pre- nodes are already in place, they simply need paid fares, level boarding, frequent service, the transit. Bangkok has begun to provide a large capacity, signal priority, and intelligent rail rapid transit system through and above control systems. As BRT can fit onto existing its congested streets that has an average traf- roads, it is cheaper than rail. , Curitiba, fic speed of 14 kph and a transit (bus) speed and Bogotá were the first cities to demon- of 9 kph.41 strate BRT on a large scale.38 All these hesitant moves toward greener The strength of BRT is that it can be like urban transportation received a boost from a rail system in bypassing road traffic. In higher oil prices during 2006. According to many cities in developing countries, thou- the American Public Transportation Associ- sands of minibuses have crammed the streets. ation (APTA), use of public transport in the With its extra speed, some BRT systems can United States in the first quarter of 2006 carry 20,000 people an hour. Buses in traffic was more than 4 percent above a year earlier. can rarely carry 8,000 passengers per hour. Ridership on light rail was up 11.2 percent, BRT offers a greener option that is faster and buses carried 4.5 percent more passen- than traffic or minibuses. Buses have emissions gers. Bus use has seen some astonishing and noise problems, so they are less able to growth, especially in smaller cities, notes attract dense development around their main APTA president William Millar. Tulsa, Okla- stops, though this can be overcome with homa, has seen bus travel jump 28 percent in emissions regulations (especially by favoring one year, for example. Many systems are run- CNG) and by noise insulation in buildings.39 ning their buses on natural gas or cooking oil, Paris, Los Angeles, , Miami, to save money and draw in green riders. But Boston, , Mexico City, Jakarta, Bei- it is light rail that is booming across the jing, Kunming, and Chengdu are all now United States. Phoenix, Charlotte in North developing BRT systems. Describing the Carolina, and Oceanside in California are BRT trend in Chinese cities, the Interna- building light-rail lines from scratch. Denver, tional Energy Agency notes: “If Chinese Dallas, St. Louis, and many others are racing cities continue the momentum they have to extend existing systems, sometimes along gained in the past few years, transport will old railway tracks.42 serve city development, the strangulation by smaller vehicles seen elsewhere will be Facilitating Walking and Biking avoided and Chinese cities will move a large step towards sustainability.” 40 Nonmotorized transport—bikes, rickshaws, Transformation of many car-saturated walking—needs to be given as much priority cities in the developing world can occur as transit if it is to be facilitated. The large through a well-placed BRT or rail system, as numbers of people who walk or bike or who so much activity is already built into each cor- would do so if safe routes existed provides ridor. The question of whether to use BRT plenty of justification for cities to set aside or rail depends on the number of people to whole streets and parts of streets.

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Box 4–2. Bus Rapid Transit:The Unfolding Story

Since 1974, when the bus rapid transit system to force private bus companies to reform.The in Curitiba, Brazil, opened, engineers have municipal transit agency collected fares and known it was possible to provide the speed, paid bus companies by the kilometer. Bus oper- capacity, and comfort of subways at a fraction ators in other Latin American cities blocked of the cost. Curitiba was able to move roughly such changes. 12,000 passengers per direction at peak hour In 1998, Quito built the first real Curitiba- (pphpd) at average speeds greater than 20 kph. style BRT,routed boldly through the city’s his- Although most metrorail or subway systems torical core on narrow streets. Its speed and have capacities above 20,000 pphpd and speeds capacity are slightly lower than Curitiba’s, as it around 30 kph, Curitiba’s system was closer to goes through such a dense city center. In 2006, those levels than any bus transit had achieved. the Quito BRT lane was briefly reopened to Curitiba built beautiful tube-shaped stations mixed traffic, however, significantly compromis- with platforms at the same level as the bus floor. ing the system and illustrating one of the risks By paying before entering the tube, passengers of BRT. could quickly enter all four bus doors.With a Bogotá’s TransMilenio BRT system was built dedicated right of way and signals that gave pri- by Brazilian and Colombian engineers who had ority to the bus corridors, buses avoided traffic. analyzed the Curitiba and São Paulo systems. Buses were switched from direct routes to The main bottleneck in Curitiba is the bus stop. trunk and feeder services, which cut the num- During rush hour, buses back up waiting to dis- ber of them on the roads. Businesses enjoyed charge passengers.TransMilenio’s innovation was the decreased traffic, reduced air pollution, and a passing lane and multiple bays at each stop. high-speed passenger access. Up to three buses, not just one, can allow pas- The share of trips in Curitiba taken by public sengers to board and alight at once.The passing transport increased with the BRT and remained lane also allowed express bus services.Trans- above 70 percent for over two decades, coun- Milenio achieved an operating capacity of tering the iron rule that transit use declines 35,000 pphpd and speeds around 28 kph.With with economic development.The system’s low overcrowding,TransMilenio moves 53,000 pas- cost made it possible to expand bus service to sengers per direction per hour, comparable to keep pace with metropolitan growth.When all but the highest-capacity metros.With redes- BRT expansion stopped in the early 1990s, the igned streets, bicycle lanes, sidewalks, and public share of trips by public transit began to decline. spaces, traffic accidents on the corridor dropped, Today it is about 54 percent—albeit still high bicycle and pedestrian trips increased, air pollu- for a city with motor vehicle ownership of tion decreased, and the quality of life improved. around 400 cars per 1,000 people. The rapid dissemination of BRT since the For more than two decades, BRT failed to late 1990s owes much to Bogotá’s charismatic thrive outside Curitiba. Brazilian cities such as Mayor at the time, Enrique Peñalosa.Also, São Paulo, Belo Horizonte, and Porto Alegre development agencies and NGOs began to rec- built bus lanes superficially resembling Curi- ognize motorization-related problems, from air tiba’s but without the key elements: prepaid pollution to climate change. Many private bus platform-level boarding stations, restructured companies that had opposed BRT became bus routes, and bus priority through the city threatened by growing private motor vehicle center.When experts considered why no city use and paratransit minibus services; when they could replicate Curitiba’s success, they noted visited profitable bus operators in Bogotá and that its Mayor, Jaime Lerner, had been appointed Curitiba, they became BRT supporters. during a dictatorship and had military backing Jakarta opened the first Curitiba-style BRT

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Cities need to create a network of “green Box 4–2. continued streets” where motor vehicles are banned. This is happening in Denmark and the in Asia in January 2004.Three corridors Netherlands, where cities have bicycle infra- of TransJakarta are completed, and three structure such as cycleways. Whole streets more are under design.While capacity are set aside for bicycles, and the number of (5,000 pphpd) and speed (18 kph) are not people using bikes is increasing. In Copen- as high as in Curitiba, correcting design flaws such as having only a single door on hagen, for instance, 36 percent of residents each bus and at each station could more biked to work in 2003 (27 percent drove, than double capacity. 33 percent used transit, and 5 percent In December 2004 Beijing followed walked). In Chinese cities, which have a suit, with support from the Energy Foun- long history of cycling, many local mayors dation. Seoul, South Korea, also built an began to remove bicycle and pedestrian extensive bus priority system, though it rights in favor of cars. Now that the national does not have all the BRT features. Mexico City followed in 2005 with Metrobus, with government has outlawed anti-bike mea- early World Bank involvement and support sures, the green streets of Chinese cities are from EMBARQ at the World Resources to be restored. Yet the tension between car Institute. New systems have opened in drivers and cyclists is likely to remain, as it Hangzhou, Guayaquil, and a half-dozen does in all cities.43 other cities.Today, new BRT systems are Providing green streets was also a goal of under development in dozens of cities in Indonesia’s Kampung Improvement Pro- both developing and industrial countries. The systems in Brisbane, Ottawa, and gram, a slum-upgrading initiative. In several Rouen in France are among the best Indonesian cities, such as Surubaya, narrow examples in industrial countries. streets within the kampungs were kept closed Yet obstacles to the spread of BRT to cars, and traditional social life was main- remain.There is a risk that the misapplica- tained. By banning motorized vehicles, the tion of the lessons of Bogotá’s TransMile- government helped protect the revitalizing nio will lead to suboptimal, largely failed kampungs from gentrification. The only systems. Even U.S. cities have branded many marginal improvements in bus ser- modes of transportation used within the kam- vices as BRT,though these systems lack pungs are foot, bicycle, and becak, the tradi- most of the features that made Curitiba tional Indonesian trishaw.44 and Bogotá such a success.And Metro and Every city desiring to have greener trans- light rail interests have organized against port will need to favor its public transport BRT in cities such as Hyderabad. Much of and NMT system over road building. This this competition is healthy, but for many is fundamental to greening urban trans- large Asian megacities, integrated metro and BRT systems could offer a much portation. It all comes down to priorities in denser, faster network for less than a the planning of a city. (See Box 4–3.) Two metro-only system. former governors from different parties in —Walter Hook the United States, Democrat Parris Glen- Institute for Transportation dening and Republican Christine Todd and Development Policy Whitman, agree: “If you design communi- ties for automobiles you get more automo- SOURCE: See endnote 38. biles. If you design them for people you get walkable, livable communities.” 45

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are required to keep ahead of the avalanche Box 4–3. São Paulo Bicycle Refuge in car use. To fund public transportation, cities have had to find innovative solutions, Cycling is not an easy option in traffic- such as the congestion tax in London or the choked São Paulo, a sprawling metropol- use of land sales around stations for Copen- itan region of 19 million. Motorized hagen’s new light rail. vehicles are responsible for 90 percent of Car-dependent cities without adequate São Paulo’s smog, which often hangs over the city in a dark veil, contributing to transit need to build new systems because severe respiratory problems. Many of the traffic growth and are accel- wealthiest residents forgo the streets; the erating car dependence. In recent decades city’s huge helicopter fleet is second only this has meant new train systems. As indi- to New York City’s. cated earlier, rail can offer a faster option But a one-of-a-kind bike parking lot in than cars (often with average speeds over 50 the São Paulo suburb of Mauá is prompt- kph) and can facilitate the development of ing city officials to rethink the role of cycling. Cyclists wanting to ride to the walkable centers. But transportation fund- Mauá rail station had nowhere to park ing sources have tended to favor buses, until 2001, when station manager Adilson as these fit into the main priority of build- Alcantâra created ASCOBIKE (Association ing roads.46 of Bicycle Riders). For a $5 monthly fee, Political intervention has led to the revival members park their bikes and receive reg- of rail when funding has been opened to ular maintenance.The initial 700 spaces local choice. For example, the U.S. federal filled quickly, 1,800 members have joined, and the association is planning to expand. transportation funding process was freeway- Laura Ceneviva of the Environmental oriented from its inception in 1956 until the Department of the City of São Paulo and 1990s. Then the Surface Transportation Pol- the head of the city’s bicycle working group icy Project (a coalition of over 100 NGOs) said “users pay a low fee for a good service, drafted the Intermodal Surface Transportation and jobs are created as well.There is no Efficiency Act of 1991, which requires that reason why we could not reproduce this local choices be made by cities. Funding for successful and efficient service throughout São Paulo.” greener transportation has grown, and the act — Jonas Hagen has been reauthorized twice with large con- Sustainable Urban Transport Consultant gressional support.47 Car-saturated cities can model their tran- SOURCE: See endnote 45. sit systems on Hong Kong and Tokyo, where transit is funded almost entirely from land redevelopment. In poorer cities, the use of The Economics of development funds for mass transit is clearly Urban Transportation justified because transit helps transform the economy through better planning and effi- Many cities built around nineteenth-century ciency in the city.48 rail in Europe and parts of the United States, Transit-based cities spend around 5–8 Australia, and Latin America remain in their percent of the GDP of the city’s region on transit city form. As transit systems need to transportation, but in heavily car-based cities keep pace with urban growth, new rolling the figure is more like 12–15 percent (and it stock and lines into car-dependent suburbs reaches 18 percent in Brisbane). Why? It

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appears to be due to the costs of car travel $18 billion in capital opportunity costs due and the sheer space required for cars. Car to space saving and $3–4 billion in annual dri- travel is estimated to cost more than transit ving costs. And this does not include the (about 85¢ per passenger-kilometer versus reduced external costs due to pollution reduc- 50–60¢), even though motorists routinely tions or the health savings due to less obesity think it is cheaper—no doubt because they and depression associated with excessive car fail to take into account such costs as depre- use. Greener transportation is a healthier eco- ciation and insurance. Data from U.S. cities nomic proposition.51 show that transportation costs between the 1960s and 2005 have risen from 10 to 19 The biggest economic impact of cars percent of household expenditures (before the recent rise in gasoline prices); cities with on cities is the sheer space they take the highest level of car dependence have the for roads and parking. highest percentages and those with better transit, the lowest.49 The economics of greening transporta- The biggest economic impact of cars on tion have been assessed by the Center for cities is the sheer space they take for roads and Transit-Oriented Development in Oakland, parking. Freeway traffic carries 2,500 people California. Based on a detailed survey across per hour, a bus lane carries 5,000–8,000, a several states, the staff calculated that people light rail or BRT can carry 10,000–20,000, in 14.6 million households wanted to live and a heavy rail system carries 50,000 people within half a mile of a TOD. This is more than per hour—20 times as many as a freeway. It twice the number who live there now. The is no wonder that freeways fill so quickly. market for TOD is based on the fact that Likewise, most car-dependent cities require those living in such centers now (who were five to eight parking spaces for every car. All found to be smaller households, although this space costs money and is simply unpro- the same age and the same income level on ductive land.50 average as those not in a TOD) save some 20 Two calculations for Sydney illustrate the percent of their household income by not uneconomic, space-hungry nature of car having to own so many cars. People in TODs dependence. If downtown Sydney closed its owned 0.9 cars per household compared with rail system, the central area would be required 1.6 cars for other people. This freed up on to build another 65 lanes of freeway and average $4,000–5,000 per year. In Australia, 1,042 floors of multistory car park. In real- a similar calculation showed this would save ity, business would just scatter instead, as it some $750,000 over a lifetime.52 does in most heavily car-dominated city cen- The economic benefits of greening urban ters. This is also a big economic issue in transportation are even beginning to be seen today’s global economy, as the new interac- by some parts of the normally car-oriented tive kind of jobs that are becoming available conservative side of politics. According to seem to favor city centers where a large con- the Washington lobby group Free Congress centration of people can meet. Another rel- Foundation: “Conservatives tend to assume evant calculation: if the next million additional that transit does not serve any important people in Sydney were located in transit-ori- conservative goals. But it does. One of the ented development so that each household most important conservative goals is eco- had one less car, the city would save around nomic growth. In city after city, new rail tran-

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sit lines have brought higher property values, plans, since each part of a city has different more customers for local businesses and new economic functions. The cities that have development.” 53 done best at building regional transit sys- tems—Zurich, Munich, Hong Kong, Sin- Needed: Political Leadership gapore, and Tokyo—also have active local transport planning processes. Zurich has each and a Vision of canton choosing the timetable they require Greener Options for their transit.55 Surveys constantly show that people want Cities are organisms that work as a whole to see greener transportation options given regional system and as a series of local parts. higher priority in their cities. In Perth, peo- They need viable governance systems at both ple were asked if they saw a need for more the regional and the local level to create green transit, walking, and biking over cars, and transportation options for more resilient and 78 percent agreed they did. Then they were sustainable cities. asked if they would transfer road funding to Visionary master plans and regional gov- pay for these greener modes, and 87 percent ernance structures enabled governments to agreed with that idea. In Porto Alegre, Brazil, build the urban freeways of the auto city. a people’s budget approach asked citizens to Today, cities need new visionary plans to gen- assign priorities for expenditures; the vast erate the political momentum and find the majority of neighborhoods put greener modes funds for greening transportation, as well as of transportation above the need for more the governance structures that can carry out roads. In Milwaukee, Wisconsin, a survey the plans. Regional governance structures showed that bus and rail projects were favored for transportation exist in most cities in by 70–85 percent of those surveyed, whereas Canada and Australia and, to a lesser extent, “more highway capacity” came in last, with the United States. Bogotá and Curitiba relied 59 percent support. A gasoline tax was the on regional governance systems, city money, preferred way to pay for such improvements. and World Bank support to build their trans- And in Oregon, the Transportation Priorities formative transit systems. Mumbai and Project showed similar sentiments about tran- Kolkata also have a regional governance sys- sit over freeway options.56 tem that manages their massive transit sys- In the past, transportation priorities have tems. Megacities without such a system will generally been set by engineers, not the pub- find regional transit difficult.54 lic. But in the United States, at least, voters are sending the clear message that they want Cities need new visionary plans better options and are willing to pay for them. Between 2000 and 2005, voters in to generate the political 33 states approved 70 percent of transport momentum and find the funds ballot measures, generating more than $70 for greening transportation. billion in investments—much of it for pub- lic transportation.57 But regional transit systems cannot work Even in Atlanta—the city with the fewest unless local systems feed into them. Local people per hectare and the most car use per governments, residents, and businesses need person—there are signs of hope. A $2.8- to come up with their own green transport billion Beltline loop has been proposed that

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will link unused railroad rights-of-way with As described in this chapter, reaching that the city’s existing transit lines and will create goal requires: walkable communities joined together by • a transit system that is faster than traffic green trails and public transport. The project down all major corridors; has lifted the sights of the city, bringing • viable centers along the corridors that are together a coalition of interests. “It’s very dense enough to service a good transit important that cities and communities go system; for a big vision,” says Peter Calthorpe, an • walkable areas and cycling facilities that urban planner based in San Francisco, “Cities can mean easy access by nonmotorized need these bold moves and elements to make means, especially in these centers; them exciting places to live. It’s exactly the • services and connectivity that can usually kind of thing that will differentiate a city guarantee access without time wasting; from the suburbs. Suburbs are the sum of a • the phasing out of freeways and phasing in lot of little ideas.” 58 of congestion taxes that are directed back Determining the views of the public on into the funding of transit and walk/cycle how they want their city to function in the facilities as well as traffic-calmed boule- future can involve deliberative democracy vards; and techniques, such as town meetings as occurred • continual improvement of vehicle engines in New York after the September 11th terrorist and fuels to ensure that emissions, noise, attack. In Perth, 1,100 people were brought and fuel consumption are all reduced. together to plan the city; the result was a Cities need visions about how they can strong endorsement for greener transport in be transformed from car dependence and car a greener city. In the United Kingdom, a saturation to greener modes. And they need foresight technique has been used to look at political leaders who can overcome the vari- how cities can be envisioned. The greening of ous barriers that prevent these visions from urban transport options proved to be the one coming true. the community desired the most.59

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: CITYSCAPE LOS ANGELES ------End of Sprawl

Los Angeles is known around the world as class, and it served conservative national inter- the mother of sprawl, thanks to countless ests (based on the belief that no homeowner, aerial photographs portraying vast landscapes with so much work to do, would have enough of monotonous suburban houses. It may spare time to be a revolutionary). The housing come as a surprise to learn that Los Angeles policies were also segregationist, since nearly will soon be known instead as the birthplace all early suburbs were restricted to whites. of the post-suburban city. Zoning regulations for housing, first tested in Los Angeles is a city, a county, and a Los Angeles, instituted further restrictions region—an immense mosaic of continuous against mixed-use or multifamily housing.2 development in Southern California. The Los Angeles was the engine behind an city’s 1,300 square kilometers are inhabited emerging, nationally organized real estate by 3.8 million people (according to the 2005 lobby at the beginning of the twentieth cen- U.S. Census estimate), translating to a den- tury—an industry dominated by residential sity of 30 persons per hectare or 2,930 per- builders who monopolized the ever-widening sons per square kilometer. Compared with periphery. In an effective marriage between other global cities, Los Angeles is unques- the government and housing construction tionably “suburban” if the term means low interests, 58 percent of Californians became density. Los Angeles has half the density of homeowners by 1960 and the figure never London, one quarter as much as São Paolo, climbed higher.3 and one tenth as much as Hong Kong or Los Angeles continued its unabated Mumbai.1 growth as long as geography, policy, econom- Seemingly unbounded expansion has been ics, and the environment were amenable. It part of the city’s geographic pattern for over is only in the new millennium that definitive 200 years. The first ring of single-family, research corroborated Angelenos’ impression detached dwellings was followed by an explo- that “sprawl has hit the wall.” There is no sion of suburbs following World War II, when more land for easy suburban growth, the immense residential developments like West- commute times exceed viability, and water— chester, Lakewood, much of Orange County, long a determining resource in Southern and the San Fernando Valley were built up. California—is in short supply. Yet Los Ange- Like their contemporaneous if more famous les expects to add 6 million new inhabitants— cousin Levittown, on Long Island, New York, the population of two Chicagos—by 2020. these subdivisions came to define the image The mother of sprawl must now transform of suburban sprawl. herself into the mother of invention, and From the mid-1940s to the mid-1960s, there are signs that she is doing just that.4 tens of thousands of home sales were financed The city has slowed its outward growth by the federal government through various and has begun to fill interior gaps in the city means such as mortgage interest deductions, fabric. In 2000, the Los Angeles urban area Federal Housing Administration loans, and was more densely populated than San Fran- infrastructure subsidy. Federal housing policy cisco, New York, or Washington, DC. Unlike had several political uses: it was an employ- the dramatic landscape transformation ment program for the vast construction wrought by postwar suburbia, the next metro- industry, it provided housing to the middle politan era is creeping into the city more

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STATE OF THE WORLD 2007 Cityscape: Los Angeles

© Bettmann/CORBIS

Still, within that urban core of poverty as well as in the inner-ring suburbs and some of the early postwar sub- urbs, there is a flower- ing of infill projects that are adding to the housing stock and to neighborhood quality. Formerly industrial sections of downtown are witnessing rein- vention as young , in 1950 urban dwellers move ewood, Los Angeles County New homes in Lak into the new market-rate housing. Streets that had been abandoned stealthily, as existing neighborhoods fill in are now filled late at night with people walk- and grow denser. Residents notice changes ing dogs and dining out. Creative nonprofit that may not seem linked: traffic increases, housing corporations are demonstrating housing prices skyrocket, parking is more ways to build affordable, multifamily housing difficult, children need to be bused to outly- on scattered sites throughout the region. ing schools, new lofts are built downtown, Mixed-use developments are supporting communities grow more ethnically diverse, local retail and services along with housing. neighborhood organizations become more Smaller public schools are being established protectionist, older houses are torn down and in older neighborhoods so that children can replaced by multifamily housing where per- be educated locally. mitted, and older housing stock is upgraded.5 Los Angeles has a more than adequate Some of this infill is improving the quality supply of sites for future infill, with residents of life in Los Angeles. Yet in certain areas the of every income and race willing to live at results are a looming disaster. For example, higher densities, provided they get the hous- the core of urban poverty in the region is a ing and services they need. Local policymak- vast, 272-square-kilometer zone that cuts ers are struggling to create stronger public across municipal boundaries and holds nearly guidance, so that the next Los Angeles will be 40 percent of the county’s poorest house- characterized by greater community equality. holds. These neighborhoods are growing The lessons this city of nearly 4 million holds more overcrowded with shadow housing, as for metropolitan futures may stem the tide of new generations of immigrants double and exporting the tired U.S. suburban model to triple up in existing apartments or turn gar- the rest of the world and may simultaneously ages into semi-habitable quarters. Inadequate cultivate a new, more compact Los Angeles.7 infrastructure and services exacerbate prob- —Dana Cuff lems of poverty and inequity.6 University of California, Los Angeles

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STATE OF THE WORLD 2007 : CITYSCAPE MELBOURNE ------Reducing a City’s Carbon Emissions

Melbourne’s Queen Victoria Market, a nine- mum Green Star rating of six. Lord Mayor teenth-century shopping complex, has a mod- John So wants the building to set a bench- ern facade: 1,300 solar panels—the largest mark for sustainable design: “We hope that single urban grid-connected solar installation CH2 will change the way that buildings are in Australia. Regularly classified as one of the designed and constructed in Melbourne, world’s most livable cities, Melbourne has Australia and round the world.” 4 60,000 residents and a 660,000 daytime Solar-powered louvers on the building’s population, is the heart of a of facade track the sun, and automatic “night 3.6 million, and has emerged as a national purge” windows allow fresh air to cool the environmental leader.1 building after dark. Wind turbines, solar pan- The Melbourne City Council is promoting els, and a gas-fired cogeneration plant provide partnerships between business and govern- power. A water mining facility mines water ment that encourage business growth while from a neighboring sewer, treats it to Class A promoting environmental quality. The city standard, and uses it to flush toilets and run intends to build new export-oriented indus- the cooling towers. The new building uses 87 tries and jobs, with a target of a 60-percent percent less energy than the old one and 72 growth in environmental management capac- percent less water, while providing occupants ity. The council has adopted important envi- with 100 percent fresh air.5 ronment strategies on carbon emissions, These types of innovations are being water consumption, and waste management.2 adopted citywide, as the new Melbourne The ambitious Zero Net Emissions by Planning Scheme requires that all new office 2020 effort, on reducing carbon emissions, buildings improve energy efficiency, reduce is backed by comprehensive policies and pro- emissions, use passive solar design, use solar grams. As the first Australian city to achieve energy or heat pump technology, collect and all five carbon-reducing milestones of the reuse rain water, recycle wastewater, encour- Cities for Climate Protection Campaign orga- age waste recycling, and have no impact on nized by the ICLEI–Local Governments for the solar collecting of adjoining buildings. Sustainability, Melbourne has turned the For existing buildings, owners are encour- serious threat of climate change into a triple- aged to audit and reduce their own energy bottom-line opportunity by combining mar- and water use with the GreenSaver program, ket mechanisms and regulation. While some which subsidizes participants’ energy and observers claim that fighting climate change water audits, as well as products such as low- requires costly action, Melbourne is showing flow showerheads, efficient light bulbs, and that businesses can reduce operating costs draft sealers. A quarterly Melbourne Forum and improve their competitiveness with holds commercial green building discussions energy-efficient design.3 with the real estate, property development, The City Council, which has already cut and architecture sectors to drive the adoption its own carbon dioxide emissions by 26 per- of sustainability principles. A municipal Sav- cent, has decided to lift its 2010 target from ings in the City program helps hotels reduce an initial goal of a 30-percent cut to 50 per- greenhouse gas emissions and the impacts of cent. Its new office complex, Council House water use and waste. City-run pilot projects 2, is the first in Australia to achieve the maxi- are targeting high-rise apartment buildings.6

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STATE OF THE WORLD 2007 Cityscape: Melbourne

David Hannah/City of Melbour ne

Other Council initiatives million trees to offset include purchasing green emissions generated in power for street lighting and transporting athletes to Council buildings and form- Melbourne, provided free ing neighboring councils into public transport during a green power bulk buying the event, and housed ath- group. The city is promoting letes in “green” buildings.9 a voluntary carbon market Melbourne’s leadership to allow businesses flexibil- role has most recently been ity in emissions manage- demonstrated by its mem- ment and is investigating bership in the Large Cities joining the Chicago Car- The Council House 2 b Climate Leadership Group bon Exchange. uilding that is supported by the The city is also promoting carbon Clinton Foundation’s Cli- sequestration through urban tree planting mate Initiative. Mayor So linked the grand and a pilot investment in rural conservation plan with the practical “agreement to create plantings to offset emissions from the Town a buying club for member cities to get lower Hall. Melbourne’s car fleet has signed up prices for sustainable products.” 10 with Greenfleet, which plants 17 trees per car. Melbourne’s commitment to combating When Mayor So attended the 2005 World climate change has the support of Labor, Environment Day in San Francisco, emissions conservative, independent, and Green coun- from his travel were offset by tree planting.7 cilors. The two major Melbourne-based The city has also created a $5-million banks are active members of the U.N. Envi- Sustainable Melbourne Fund that has been ronment Programme’s Finance Initiative, working with Investa Property Group, Aus- and the National Australia Bank highlighted tralia’s largest listed owner of commercial its award-winning green headquarters in its property, to finance a Greenhouse Guarantee 2005 Corporate Social Responsibility Report. program that delivers energy savings to com- The State Government and the private-sector mercial tenants. The fund also invests in Property Council have also been closely water-saving infrastructure. Businesses, uni- involved in these efforts.11 versities, and other organizations can under- Elected councilors, senior staff, and com- take a water audit to determine possible munity and business supporters have com- savings. The fund will finance the purchase bined to set achievable and ambitious targets and installation of water-saving technology. and then raise and expand them. The goal is The recipient then has a lower water bill but “an Environmentally Responsible City which pays the fund the difference between the old seeks to actively increase natural assets through and new bills until the investment plus inter- the decisions it takes, the development it est is repaid.8 chooses to pursue and the benefits and The 2006 Melbourne Commonwealth impacts these have on the natural world.” 12 Games set new benchmarks in reducing the —The Honorable Tom Roper environmental impacts of a world-class event. Former Minister, Victoria Government, The state and the city cooperated to plant a Australia

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CHAPTER 5

Energizing Cities

Janet L. Sawin and Kristen Hughes

At night, Earth’s cities are visible from space have access to modern energy services. as stars or chains of light in a sea of blackness. Even as industrializing and poor nations Many appear to be vibrant and to exude seek to expand their economies to levels energy. People are drawn to the “lights on nearer those of rich nations, Earth’s atmos- Broadway,” for example. But a closer exam- phere and ecosystems are demonstrating real ination reveals complex webs of streets, enor- limits to our ever-increasing consumption of mous buildings, vehicles, and burgeoning resources. Partly in recognition of this, hun- populations—all of which need energy to dreds of cities around the world are working build, use, and sustain. To meet these needs, to reduce their ecological footprints.1 cities draw energy from the world around The re-visioning of urban life reflects a them, providing local benefits—but with critical moment in the history of cities, as health, security, and environmental conse- many unfavorable factors have converged to quences for all. make present trends insupportable. Over the The portrait of urban energy use today past 150 years, cities have become increasingly contains real differences in consumption and reliant on dirty and distant energy sources, resulting ecological footprints among the leaving them vulnerable to supply disruptions world’s cities—differences that reflect the vast and destroying community-based notions of financial wealth separating the world’s most environmental protection. In the next few industrialized, rich urban areas from the poorer decades, the vast majority of expanded energy cities just now experiencing rapid economic supply will be to meet the needs—direct and growth. Indeed, millions of people who live in indirect—of cities. Increasingly, cities will or around the world’s poorest cities do not need to play a more active role in planning and

Kristen Hughes is a research associate and doctoral candidate at the Center for Energy and Environmental Policy, University of Delaware.

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building their own energy futures. advent of the fossil fuel age—which provided Cities in the future will bear the brunt of power for elevators, electric lights, and motor many challenges related to today’s unsus- vehicles—enabled cities to become what they tainable energy systems—from air and water are today.2 pollution to climate change—particularly as Direct energy consumption per person in growing populations put increasing pres- industrial-country cities is often lower than in sure on resources. As cities continue to rural areas due to the greater density of liv- expand, the enormity of their contributions ing and commuting spaces. Urban residents to major social and environmental problems in Japan, for example, use less energy per is only expected to rise. Yet this same enor- capita than rural residents do. In older cities, mity of scale offers cities the potential to designed before the widespread use of private make beneficial changes with significant local cars, energy use per person is lower than in and global impacts. As this chapter describes, sprawling modern cities. The dense environ- cities hold the key to mitigating problems ment of Manhattan more than compensates through urban planning, building design, for its massive, often old and inefficient build- and choice of end-use products and energy ings, making New York City one of the most resources and technologies. Around the resource- and energy-efficient places in the world, numerous cities are already improv- United States.3 ing their efficiency and producing more of In developing countries, where many rural their energy locally and sustainably, and people lack access to modern energy services, many of these efforts can be replicated else- the reverse is often true. The one third of where to reduce environmental impacts and India’s population who live in cities con- improve the quality of life for urban and sumes 87 percent of the nation’s electricity. rural dwellers alike. And in China, urban residents typically use 40 percent more commercial energy than their Urban Energy Needs rural counterparts. (People in rural China actually use more total primary energy, mainly and Constraints in the form of biomass, but most of this is lost It took millennia to make the transition from during inefficient combustion.)4 human muscle power to draft animals and Cities require energy to build infrastruc- then to primitive machines that tapped renew- ture, to light, heat and cool buildings, to able energy flows from wind and water. In cook, to manufacture goods, and to transport contrast, the Industrial Revolution came along people. The infrastructure itself, including in the mere blink of an eye. In the span of a streets, buildings, bridges, and other urban few generations, cities were transformed from features, represents large quantities of embod- dense areas of narrow streets with small, low ied energy—the energy invested in these dwellings to skyscrapers and sprawling sub- structures during their lifetimes from the cra- urbs. Over time, urbanites traded horses for dle of raw materials, to city block, to eventual streetcars and, eventually, private vehicles. grave. (See Box 5–1.) Urban residents also Rarely very large before the advent of steam consume large amounts of energy indirectly engines, urban populations began to soar as in the food and other goods they import.5 opportunity drew waves of immigrants to Most if not all of the energy used directly cities and as cleaner streets reduced death in cities must be imported as well, raising a rates. Energy use surged as well, and the host of significant costs and challenges. Pipes

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Box 5–1. Reducing Construction’s Environmental Impact

The construction industry accounts for more covered a way to produce lighter, stronger

than one third of global carbon dioxide (CO2) bricks and build aggregate entirely from fly emissions and produces nearly 40 percent of all ash. Completely replacing cement with fly ash human-generated waste.That waste traps enor- may also be possible. Increased use of fly ash mous amounts of embodied energy. For exam- can reduce the need to manufacture cement ple, concrete (composed of sand, aggregate and crushed stone, while also sequestering a such as crushed stone, and a cement binder) toxic substance. contains about 817,600 Btus per ton.A ton of Using local and traditional materials for con- steel contains 30 million Btus—about half the struction, such as stone, wood, clay, and plant annual energy consumption of a typical home in materials, can reduce costs, provide local jobs, San Francisco. and improve occupants’ comfort and health While steel contains a higher amount of while minimizing the embodied energy of con- embodied energy per ton, concrete accounts struction materials. Energy inputs for production for the largest portion of construction waste. are often lower, and transportation needs— Although cement represents only 12 percent which account for 12 percent of concrete’s of the average concrete mixture, it accounts for embodied energy—are reduced substantially. 92 percent of concrete’s embodied energy.In Some people are taking the next step by 1997, manufacturing 1.5 billion tons of cement opting to reuse construction “waste.” The

worldwide emitted more CO2 than Japan did demolition of Boston’s Central Artery, a stretch that year.The industry’s impacts could be of freeway replaced during the infamous Big reduced significantly with more use of fly ash— Dig project, generated 20,000 tons of waste a fine waste powder produced during coal concrete and over 38,000 tons of waste steel, combustion that is toxic if inhaled. Increasing most of which went to landfills. However, Big the generally accepted rate of 15 percent fly Dig engineer Paul Pedini had a different vision ash content in cement to a feasible 65 percent for the old highway: he took some concrete could avoid emissions of the equivalent of slabs and steel beams and built himself a house. Germany’s entire annual contribution to —Stephanie Kung climate change. In mid-2006, researchers dis- SOURCE: See endnote 5. carrying gas, for example, pose serious safety age transmission line in Italy, leaving 57 mil- and environmental threats in urban areas, lion people in the dark.6 where leaks or explosions can cause injuries Transmission bottlenecks are particularly and deaths. Electricity generally comes from pronounced in large metropolitan areas, large, central power plants via transmission which require vast amounts of power to tra- and distribution (T & D) systems that are verse great distances through a limited num- often inefficient and unreliable. The central- ber of lines. The share of electricity lost along ized grid permits blackouts to cascade the way ranges from 4–7 percent in industrial throughout entire regions. The August 2003 countries to more than 50 percent in parts of blackout in the northeastern United States the developing world, where much of the and Canada, for example, which was caused loss is due to people tapping lines illegally. In initially by a fallen tree, affected 50 million parts of New Delhi, electric cables are caught people and cost the region $4.5–10 billion. in a tangle of hooks and wires as slum A month later, another tree hit a high-volt- dwellers, small factories, Hindu temples, and

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even wealthy businessmen siphon off 36 per- Furthermore, heavy reliance on fossil fuels, cent of the city’s power.7 particularly in cities, is the primary driver of One of the greatest challenges of the cur- global climate change. Cities now house just rent system is getting energy services to all shy of half the world’s population, but they urban residents. Nearly one fifth of the esti- are responsible for the vast majority of green- mated 1.6 billion people worldwide who lack house gas emissions from human activities.11 access to electricity and other modern energy services live in the world’s cities. Because Reducing Demand without access is defined as areas with grid exten- sions, the actual number truly without access Dimming the Lights could be higher. About one third of Africans Much of the energy that people pipe, wire, live in urban areas, and at least one quarter of and truck into cities is used by and in build- city dwellers on the continent do not have ings—constructing and operating them as access to electricity.8 well as making their occupants comfortable. Too many of the world’s people thus must Globally, buildings account for more than struggle daily to afford or find energy 40 percent of total energy use. When the resources—most often wood, charcoal, dung, energy required for materials, transportation, or other biomass. Indoor air pollution caused and construction is included, buildings devour by burning these inferior fuels results in mil- more than half the energy used in the United lions of deaths annually. Heavy reliance on States each year.12 biomass has also increased the destruction As cities become more populated, more of forests around cities, exacerbating local and more of the world’s buildings are found air pollution and soil erosion. In India, Sri in urban areas. In 2005, Shanghai constructed Lanka, and Thailand, wood harvesting by more building space than exists in all the the urban poor has produced a halo of defor- office buildings of New York City. Every estation around cities, towns, and roads. And month, China adds urban infrastructure equal a radius of some 400 kilometers has been to that found in Houston, Texas, simply to cleared around Khartoum in Sudan.9 keep up with the masses of people migrating For those with access to modern energy from rural areas to cities.13 services, the predominant fuel used for non- The advent of cheap and readily available transport energy is coal, which accounted for energy let the modern building work in spite nearly one fourth of total global energy use of nature rather than with it. Yet around the in 2003; the International Energy Agency world there is a small but rapidly growing (IEA) projects that coal consumption will movement to make buildings “green”—low- continue to rise significantly through at least ering their energy needs, for example, 2030. Energy from coal and other conven- through efficiency improvements, embod- tional sources comes with high costs, includ- ied energy reductions, and the use of on-site ing soil and water pollution resulting from energy resources. Green buildings incorpo- resource extraction and use, air pollution rate designs and technologies often consid- from burning, and associated health prob- ered new and innovative; in reality, many of lems. In China alone, coal use causes the these ideas have been around for centuries. death of 100 miners weekly on average, sig- Today, architects, planners, and others are nificant urban air pollution, and acid rain rediscovering traditional ways to light, heat, damage to more than a third of the country.10 and cool indoor spaces and adapting them for

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modern uses. In developing countries, one of the most Lighting accounts for nearly 20 percent of cost-effective ways to increase thermal com- total electricity consumption worldwide. fort for the urban poor is to install ceilings Much of this occurs when the sun is shining. beneath their roofs in order to reduce heat Thus energy use could be reduced dramati- loss; energy savings from such programs in cally with simple design techniques such as South Africa have exceeded 50 percent.16 natural daylighting, mirrors and reflective “Waste” heat that is vented in conven- paints, and light shelves—horizontal fins at tional large-scale power plants or in small windows that act as shading devices, reduce systems like microturbines or fuel cells can be glare, and allow daylight to penetrate deep captured for heating, cooling, or additional into buildings. Technology has improved to power generation. Such combined heat and the point where glass transmits light while power systems improve overall efficiency lev- reflecting unwanted heat. These techniques els dramatically. The Verdesian, a new build- and materials not only offset some of the ing in New York City’s Battery Park, captures lighting load, they also lower the significant heat from a natural gas microturbine to pro- heat gains associated with lighting, reducing duce hot water, increasing overall energy effi- air conditioning needs.14 ciency to 80 percent or higher, compared with the 25–35 percent efficiency of a typi- cal fossil fuel power plant.17 The Accord 21 Building, opened in The means used to distribute such heat can 2000 in China, uses 70 percent less also improve efficiency. Radiant floor heating, energy than standard buildings. for example, is generally more energy-efficient than conventional alternatives, and today’s Once design changes have lowered the systems can operate with fossil or renewable need for artificial light, energy demand can be fuels. Rediscovered early in the twentieth reduced further with modern technologies century and now commonplace in much of like motion sensors—which turn lights, appli- Europe and the United States, radiant heat- ances, or machinery off when they are not ing was devised by the Romans, who placed needed—and energy-efficient bulbs and terra cotta pipes beneath stone floors to heat lamps. Conventional incandescent bulbs con- villas with flue gases from wood fires. A more vert about 10 percent of energy to light and modern technique is used in the Hewlett the remainder to heat. In contrast, compact Foundation building in Menlo Park, Cali- fluorescent bulbs and light-emitting diodes fornia, where air is circulated through a raised (LEDs) use far less energy to produce a com- floor, heating and cooling workers rather parable amount of light while producing a than the space above them and allowing indi- fraction of the heat. These alternatives cost viduals to control temperatures.18 more upfront, but they save energy and During hot months, space cooling is money over their lifetimes.15 becoming increasingly important to keep Heating water and space also requires sig- cities running. The concrete and asphalt jun- nificant amounts of energy. Better insulation, gles that replace natural life absorb heat and proper building orientation, and the use of raise urban temperatures further, creating solar heating and other techniques can dra- what is known as the “heat island effect.” In matically lower energy demand and associated China’s major cities, air conditioning accounts costs, as can reducing the scale of buildings. for 40 percent of the public’s summer energy

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demand and is the primary cause of power Fahrenheit) higher than the ambient tem- shortages that began in 2003. And in Tokyo, perature; atop a “green roof,” the tempera- a modeling study found that waste heat emis- ture on a hot day can actually be below sions from air conditioning are responsible for ambient. A study of an eight-story residential 1 degree Celsius of warming during the sum- building in , Spain, found that adding mer, exacerbating the heat island effect. A a green roof cut annual energy use by 1 per- similar study of Houston, Texas, found that cent, while reducing the peak cooling load on total waste heat emissions were responsible for upper floors by 25 percent. With enough warming of up to a half-degree Celsius in “cool” or green rooftops throughout a city, daytime and 2.5 degrees at night.19 substantial reductions in the For at least 2,000 years, people in the effect are possible, with the added benefit of Mediterranean region have passively cooled less urban smog. Green roofs also filter and buildings with a variety of techniques. These retain storm water, reducing urban runoff include cross ventilation over the surface of problems, and they create habitat for birds a pool of water, open buildings, tree shading, and recreational space for people.23 careful placement and sizing of windows, Each of these features alone provides sig- and the use of massive, thick walls and floors nificant savings. The integration of intelli- as insulation from summer heat. Some of gent design with several efficiency measures these techniques are being revitalized today, can reduce energy use to half or less that in along with options not available two mil- a comparable conventional building. Some lennia ago.20 experts believe savings of up to 80 percent are Natural ventilation—the use of outdoor air possible. As peak loads for lighting, heating, to cool buildings—reduces the need for air and cooling decline, the required size of boil- conditioning in some climates. Studies show ers, fans, and other machinery does also, pro- that effective night ventilation, adapted to viding greater savings in energy and local conditions, could reduce the cooling construction costs. The Accord 21 Building, load in office buildings by 55 percent or opened in 2000, was the first internationally more. And the U.S. Environmental Protec- certified green project in China. It uses 70 tion Agency (EPA) estimates that careful percent less energy than standard buildings, placement of trees can reduce the energy causing astonished inspectors to return repeat- required for cooling by 7–40 percent, edly to check that energy meters are func- depending on the extent of tree canopy.21 tioning properly.24 Another way to reduce energy demand There are good economic reasons for con- for cooling is to top buildings with reflective structing more-efficient buildings: they gen- surfaces—such as white paint or metal shin- erally have healthier and more-comfortable gles that act as radiant barriers. An EPA- occupants, higher worker productivity, funded study that considered both cooling reduced tenant turnover, and better per- benefits and heating penalties of such “cool forming students in schools. The Interna- roofs” found significant net savings in energy tionale Nederlanden Bank headquarters in use for 11 major U.S. cities.22 uses about 10 percent of the Green roofs and walls reduce heat gain in energy of its predecessor and reduces worker summer and they also insulate buildings from absenteeism by 15 percent, for a total savings cold in winter. Temperatures on conventional of $3.4 million annually. In the United States, roofs can be 50 degrees Celsius (90 degrees the average premium for a “green” building

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STATE OF THE WORLD 2007 Energizing Cities is 2–5 percent, but studies find that the asso- dens of Babylon, constructed around 500 ciated financial benefits over 20 years are BC. The lessons of these ancient practices, more than 10 times the initial investment. combined with state-of-the-art technolo- And the costs of green buildings are falling gies and materials, provide today’s cities with design and construction experience.25 with powerful tools to achieve dramatic Although the marginal cost of improving efficiency improvements.28 efficiency is lowest when buildings are con- structed, retrofits can be highly cost-effective Powering Cities Locally as well. Simple strategies like daylighting, efficient lighting, and glazing can pay for When Thomas Edison installed his first elec- themselves in as little as one year. More than tric systems in the late nineteenth century, he 300 retrofit projects—from insulation to envisioned an industry with dozens of com- water system improvements—undertaken in panies generating power close to the point of China in recent years had an average pay- use. Such a system would be particularly back period of 1.3 years.26 suited to densely populated urban areas. Ini- Such advances can also provide important tially, the industry evolved along these lines, benefits for the world’s poor. In industrial with many companies producing power on nations, maximizing efficiency through site and capturing the waste heat. But by design and cost-effective end-use technolo- the mid-1930s most industrial countries had gies can ensure that poor residents are not established monopoly industries, driven forced from their homes by rising energy greatly by the economic benefits of ever- costs. In the developing world, efficiency larger generating stations matched with trans- advances can bring dramatic quality-of-life mission and distribution systems. It was not improvements by making energy services until the 1980s that efficiency limits were more affordable to the poor. LEDs, for met—which, combined with a variety of eco- example, provide an estimated 200 times nomic and environmental challenges, led more useful light than kerosene lamps. At many experts to realize that bigger is not $55 each, solar-powered lamps with LEDs always better when it comes to energy pro- could brighten the nights of the poor. In duction.29 Tembisa, a shantytown of Johannesburg, Small-scale, locally installed power equip- South Africa, a survey found that almost ment, also called distributed generation (DG), 10,000 households spend more than $60 could enable cities to meet much of their each for candles and paraffin every year; own energy needs once again. Today, DG with access to microcredit (see Chapter 8), remains more expensive per unit of energy such families could afford cleaner, better output than conventional, centralized gen- lighting freely powered by the sun.27 eration, but costs continue to fall and asso- In ancient Greece, many cities were ciated benefits are significant. Distributed planned in grids so that every home had generation reduces the need for expensive access to the sun for warmth and light in transmission and distribution infrastructure winter; the ancient Romans went so far as while lowering grid losses. By bypassing the to pass “sun-right laws,” forbidding builders T&D system, DG also improves reliability from blocking access to the winter sun. and reduces vulnerability to accident or sab- Green roofs date back thousands of years, otage. Because they are modular and can be the most famous being the Hanging Gar- installed rapidly, distributed small-scale gen-

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erators can expand to keep pace with demand power are the fastest-growing electricity as a city grows, deferring or preventing the sources, and biofuels are the world’s fastest- need for new central power plants. This is par- growing fuels; all are experiencing double- ticularly important in developing countries, digit annual growth rates.32 where migration is rapidly raising urban num- bers as well as energy demand. And distrib- Green roofs date back thousands uted systems provide local control and of years, the most famous being ownership of energy resources, encouraging community-level economic development. the Hanging Gardens of Babylon, (See Chapter 8.) constructed around 500 BC. Most DG today comes from inefficient diesel generators or natural gas turbines. But Wherever the sun shines, buildings— several new options are emerging, with tech- whether shacks or skyscrapers—can become nological progress on a variety of fronts. For mini-power or heating stations. Solar photo- example, advanced technologies such as high- voltaics (PVs) generate electricity directly performance microturbines and fuel cells from sunlight, often at precisely the time promise reliable, efficient alternatives. Fuel when power demand is greatest and electric- cells require minimal maintenance and can be ity is most costly. PV technology has advanced sited in crowded urban centers because they to the point where it can literally be inte- are clean, quiet, and highly flexible. Several grated into structures—in roofing tiles and fuel cell technologies are under develop- shingles, outer walls, and glass windows— ment, with many already producing power generating not only electricity but also shade for modern office buildings and hotels; and insulation. When used for building advanced fuel cells could soon generate facades, PVs can be cheaper than granite or enough energy to supply a large proportion marble. Building-integrated PV (BIPV) is of the electricity and heat needed to power now widely used in Europe and is spreading a city and warm its buildings.30 to other regions as well. The IEA estimates Today fuel cells or advanced microtur- that BIPVs could meet nearly one fifth of bines must rely primarily on natural gas that annual electricity demand in Finland, more has to be piped into cities. But alternatives than 40 percent in Australia, and about half already exist: methane from a local landfill will of the total in the United States.33 soon drive a fuel cell in the city of Vaasa, Solar thermal systems, which use the sun’s Finland, supplying heat and power for 50 warmth to heat water and space, adorn homes. Eventually, fuel cells can use hydro- rooftops from Freiburg in Germany to gen produced from a variety of renewable Jerusalem in Israel and can pay for them- sources.31 selves in just a few years through fuel savings. Far beyond feeding turbines and fuel cells, Shanghai and other Chinese cities are becom- renewable resources can provide energy for ing hotbeds for solar energy, driven by the cooking, lighting, heating, cooling, and even need to reduce coal and oil consumption. transportation in the world’s cities and China now leads the world in the manufac- beyond. Renewables already meet the energy ture and use of solar thermal systems. Solar needs of millions of people around the globe, power and heating offer enormous potential and renewable energy markets are experi- in other developing-country cities as well, encing exponential growth. Wind and solar where they could provide electricity, heat,

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and hot water for families and communities and disposal costs the city more than $1 in informal settlements that currently have no billion annually. In industrial- and develop- access to the electric grid or other modern ing-country cities alike, per person genera- energy services—and for far less than it would tion of municipal waste is increasing with cost to extend the grid.34 population and lifestyle changes. Due pri- marily to a lack of resources and disposal A new district with 1,000 dwellings sites, as much as 90 percent of the waste in some developing-country cities is not col- in Malmö, Sweden, meets 100 percent lected; instead, it is burned or left to rot in of its electricity needs with solar the streets, creating heavy smoke and fumes, and wind power. water pollution, and disease.37 But one person’s trash is another’s black Cities can also tap the insulating proper- gold, and urban waste can be used to pro- ties of the ground beneath them. Heat duce everything from cooking fuel for indi- pumps use the near-constant temperatures of vidual households to grid-based electricity Earth or groundwater as a heat source in for office buildings and homes or biofuels for winter and a heat sink in summer to heat and modern vehicles. Where waste does make it cool water and space. The U.S. military to landfill sites, methane can be extracted to replaced individual space heating, cooling, generate electricity, reducing release into and water heating systems with ground- the atmosphere of a greenhouse gas (GHG) source (also called geothermal) heat pumps that is 21 times more potent than carbon in more than 4,000 housing units in Fort dioxide. Landfill gas produces electricity in Polk, Louisiana, eliminating nearly one third many U.S. cities, in São Paulo in Brazil, and of the community’s electricity use and 100 in Riga in Latvia, and it meets nearly two percent of the natural gas previously required thirds of power demand for lighting in Mon- for heating and cooling. In the world’s terrey, Mexico.38 largest residential application of this tech- Waste can also be treated in anaerobic nology to date, the Beijing Linked Hybrid digesters, which break down almost any Project will use heat pumps to heat and cool organic material—from paper and yard waste almost 140,000 square meters (1.5 million to garbage and municipal sewage—into com- square feet) of new apartments.35 postable solids, liquid fertilizer, and a gaseous There is evidence that high-temperature fuel that can be carried or piped to stoves, geothermal water was used to heat buildings heaters, electric turbines, and any device in ancient Pompeii. Today, such sources are fueled by natural gas. Most poor people in the tapped for district heating systems in cities in developing world spend at least 20 percent of France, Iceland, the United States, Turkey, their monthly incomes on fuel for cooking. and elsewhere. Paris has the largest such sys- But low-cost, household-sized digesters fed tem in the European Union.36 with feedstock readily available in urban areas Although cities have little land available can displace dung or firewood, reducing pres- for energy crops, they have an enormous sure on local forests while providing families potential resource for biomass energy: urban with a smoke-free and healthier environment. waste. New York City, for example, pro- And a Tanzanian study found that biogas duces 12,000 tons of garbage per day. The could save five hours of household labor daily, waste must be shipped as far away as Ohio, giving women and children more time for

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productive activities.39 deep, frigid waters of Lake Ontario for dis- On a larger scale, many industrial-country trict cooling. Toronto’s system has enough cities—including , , and capacity to cool 3.2 million square meters Zurich—are converting waste to gas for of office space, or the equivalent of 100 energy. In early 2006, San Francisco launched office towers.42 a pilot project to produce power from dog Although few cities will meet all their waste after finding that it accounted for nearly energy needs with distributed renewable 4 percent of the residential garbage collected. resources in the foreseeable future, some Oslo, Norway, has perhaps the largest system urban areas are already doing so. A new dis- in the world that uses raw sewage to produce trict with 1,000 dwellings in Malmö, Swe- space and water heating. Heat is drawn from den, meets 100 percent of its electricity the sewer and transferred to a network of needs with solar and wind power, gets its water pipes that feed thousands of radiators heat from sea and rock strata and from the and faucets throughout the city. And the sun, and fuels its vehicles with biogas from Swedish coastal city of Helsingborg runs its local refuse and sewage. The planned Chi- buses on biogas made from local organic nese eco-city on Dongtan Island will tap wastes. New technologies can convert even similar resources for an expected popula- inorganic materials—from hospital and indus- tion of 500,000 by 2040.43 trial wastes to car tires—into electricity and Energy efficiency improvements in build- transport fuels.40 ing design, proper orientation and materials, Although the potential is limited in urban and more-efficient end-use technologies facil- areas, even wind and water can provide some itate the use of renewable energy for two cities with much needed energy. Wind energy, reasons. First, because the scale becomes in particular, faces visual and resource siting more manageable, renewables can meet a constraints, but these challenges have not city’s energy needs more easily; second, as a always discouraged its use. Tokyo has installed city reduces its demand for energy, it is in a 2.5 megawatts of wind turbines along its better position to bear the higher costs per waterfront, and in May 2005 an electricians’ unit of output that come with many renew- union installed the first commercial wind tur- able technologies today.44 bine in Boston, which will provide electricity While renewable energy technologies are for its regional training center. Cities along capital-intensive, they have low to zero fuel coastlines or large water bodies can tap local costs, reducing exposure to fluctuations in fos- resources from new directions, helping to sil fuel prices. They have far lower impacts on alleviate transmission constraints. The Mid- air, soil, and water and, as a result, on human delgrunden Windfarm off the coast of Copen- health than conventional fuels and tech- hagen meets 4 percent of the city’s electricity nologies. And they can provide a reliable and needs and is the world’s largest cooperatively secure supply of power. An analysis of the owned wind power project.41 2003 blackout in the U.S. Northeast found Both New York and San Francisco have that a few hundred megawatts of PV gener- proposed projects to use marine energy for ation strategically placed in and around the power. And some cities are literally tapping major cities involved would have reduced the local water sources for cooling. Paris pumps risk of the power outages dramatically.45 water from the Seine River to run air-con- Renewables also provide local control over ditioning systems, and Toronto uses the energy supply and generate valuable tax rev-

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STATE OF THE WORLD 2007 Energizing Cities enue and local jobs—one of the most press- ing concerns of city mayors, according to a Box 5–2. “Greening” Special Events 1997 U.N. Development Programme sur- vey. Approximately 170,000 new jobs in Ger- Some 9,000 international gatherings take many are attributed to the renewable energy place around the world every year, giving industry. About 250,000 Chinese are cities a prime opportunity to address cli- employed in the solar heating industry, and mate change in a very public way. For example, the Olympic Village constructed the biogas industry has created more than for the 2000 Games in Sydney,Australia, 200,000 jobs in India. Further, renewables represented the biggest solar-powered can provide energy services where many con- residential development in the world at ventional technologies do not or cannot go— the time. into the homes and communities of the very As part of Beijing’s successful bid for poorest people.46 the 2008 Olympics, city leaders are work- ing to improve local air quality.With assis- tance from the U.S. Department of Energy, Pioneering Cities the city is trying to reduce coal consump- tion and to increase the use of solar energy While cities face formidable challenges in for both electricity and pool heating. reforming energy generation and use, many In Germany, a series of Green Goal are taking bold steps in this direction—rang- targets for the 2006 World Cup Games ing from daily municipal operations to spe- included a 20-percent decrease in stadium cial events and gatherings. (See Box 5–2.) energy use and energy generation from renewable sources.These efforts reflect Their actions demonstrate at practical levels municipal desires to attract prestigious which policies have proved most effective in and lucrative special events while avoiding a variety of conditions of economic wealth, strains on local infrastructure and natural resource endowment, and cultural resources as well as the global commons. and political heritage. They also indicate the vital role that cities can play in reducing SOURCE: See endnote 47. greenhouse gas emissions and averting cli- mate change.47 In Barcelona, Spain, after the Green Party after enactment of the Solar Ordinance, won in city council elections it introduced installed solar capacity in Barcelona had strong policies to support renewable energy grown nearly twelvefold; by April 2004, and reduce reliance on nuclear power. The the city’s solar water heating systems saved primary focus has been on developing the the equivalent of almost 16 megawatt-hours city’s solar energy potential—which is 10 of energy a year, reducing CO2 emissions by times as large as its total energy demand. 2.8 tons annually. The city has since From 1995 to 1999, demonstration projects extended the requirements to even more and stakeholder consultations took place to buildings. By early 2006, more than 70 develop policy and a realistic timeline for Spanish cities and municipalities had industry compliance.48 adopted solar water heating ordinances; fol- In 2000, the Barcelona city council man- lowing their lead, the national government dated that solar water heating provide 60 has enacted a similar policy.49 percent of hot water in new and substantially In other cities where governments refurbished buildings. Less than four years encourage increased local reliance on green

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power, one popular mechanism is quota sys- meters (15 million square feet) could save the tems, which require that a growing amount city $6 million in energy costs annually.52 of municipal or community energy be Chicago’s vision for change is not only obtained from renewable resources, with bearing economic fruit, it is also altering the market forces competing to identify the most very texture of the urban environment. economical projects. Often referred to as Green roofs have sprouted to life atop City renewable portfolio standards, these poli- Hall and on more than 232,000 square cies can apply to public or private energy util- meters (2.5 million square feet) of residen- ities. The publicly owned Sacramento tial and commercial structures. Some Municipal Utility District in California— 250,000 trees planted over the last decade building on its long-running commitment to offer shade and beauty to local neighbor- green energy—aims to derive 23 percent of hoods. In effect, a city long known for its its electricity supply from renewable industrial heritage is preparing to seize the resources by 2011. And to encourage local next wave of global economic opportu- PV installations by residential, commercial, nity—one linked explicitly to “green” and and industrial customers, the utility offers “clean” development.53 incentive payments for every watt installed.50 Cities served by privately owned utilities Less than four years after enactment or other actors over which the municipality has little control must often follow other of the Solar Ordinance, installed strategies. In 1995 and 1999, Chicago swel- solar capacity in Barcelona had tered under serious heat waves that brought grown nearly twelvefold. rolling blackouts and hundreds of local deaths. Following a $100-million settle- Another option for cities with private util- ment with the private utility ComEd due to ities is evident in the growing movement for the outages, the city chose to apply the governments to help a collection of commu- funds it received toward greater sustain- nities meet their energy needs. In the United ability in local energy use in order to reduce States, for example, cities and towns in Cal- the likelihood and impact of future black- ifornia, Massachusetts, New Jersey, Ohio, outs. In 2001, Chicago negotiated a new and Rhode Island are now authorized to do power purchase agreement with ComEd, this for local government, area homes, and requiring the utility to provide 20 percent businesses, thanks to recent regulatory of the city government’s electricity from changes. In turn, localities may shop among renewable sources by 2006 (although that a range of energy options. This community was later changed to 2010).51 aggregation may allow cities to set more- Through these and other initiatives, stringent rules for energy efficiency and Chicago has started a campaign to become renewables than federal or state standards as “the most environmentally friendly city in a condition of utility contracts.54 America.” As of 2004, new or substantially Beyond the issue of municipal control refurbished public buildings must meet Lead- and local utility ownership, some cities seek ership in Energy and Environmental Design clean local power as a way to keep pace with (LEED) certification as defined by the U.S. the demands of an industrializing society. Green Building Council. Retrofits of munic- Since 2000, Daegu in South Korea has pur- ipal buildings totaling 1.4 million square sued increasingly comprehensive urban plan-

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STATE OF THE WORLD 2007 Energizing Cities ning that links renewable energy with local advanced light bulbs in 30,000 new resi- economic development. During the dential units and 45,000 existing homes. 1997–98 Asian economic crises, the deval- Solar heating systems are due to be installed uation of South Korea’s currency con- in some 50,000 residences. Financial sup- tributed to a doubling of energy prices due porters of Proaire include local electric and to the nation’s large reliance on imported water utilities, the World Bank, corporate energy. Against the backdrop of high pop- foundations, the Chicago Climate Exchange, ulation density and rapid urbanization, this and nonprofit organizations.58 focused attention on Daegu’s need to alter Since 2003, Cape Town in South Africa its energy model.55 has sought to advance energy efficiency and Daegu has established a goal of local renewable energy as a way to bring basic elec- renewables meeting 5 percent of its total tricity service to poor, underserved neigh- energy demand by 2010, with long-term tar- borhoods and to reduce the impact of a gets set through 2050. In addition, the Cen- national power shortage that is expected to ter for Solar City Daegu, a joint effort of the begin in 2007. The municipal government municipality and Kyungpook National Uni- aims for 10 percent of its energy to come from versity, is working to disseminate green tech- renewables by 2020 and has begun energy nologies. These include PV and solar water audits and efficiency retrofits at public facil- heating installations at schools, on the uni- ities. In the Kuyasa region of the city, a pilot versity campus, and at sewage and water treat- project under the Clean Development Mech- ment facilities. To help homeowners install anism (CDM) of the Kyoto Protocol, which solar roof systems, the city and national gov- aims to reduce GHG emissions in developing ernment are funding up to 80 percent of countries, has insulated ceilings and provided installation costs. Strong citizen participa- residents with solar water heaters and compact tion has been reinforced by municipal lead- fluorescent bulbs. The GHG reductions ership in Daegu.56 earned Kuyasa Gold Standard CDM recog- The need to address environmental nition in 2005 for exceptional standards in threats while widening social access to crit- sustainable design.59 ical energy services are driving efforts in Numerous other cities are adopting goals Mexico City—home to 20 million people in and programs that support sustainable energy the metro area—where a cloud of haze systems. (See Table 5–1.) And many cities relentlessly shrouds views of surrounding have united to form larger networks that can mountains. In 1998, the World Resources pursue green energy development for both cli- Institute named Mexico City “the most dan- mate protection and urban quality of life. In gerous city in the world for children” many ways their collaboration—as well as because of its poor air quality, and the city the actions of regional and state govern- remains among the world’s most polluted ments—reflects an effort to act in place of urban areas.57 national governments and the international In 2002, officials finally addressed this community, which to date have largely failed situation when they enacted a range of poli- to resolve major problems associated with cies that are now organized under Mexico conventional energy use.60 City’s Proaire initiative for climate protec- Examples of these networks include the tion. Energy efficiency improvements are U.S. Mayors’ Climate Protection Agreement, being achieved through the installation of which encourages cities to lobby the federal

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Table 5–1. Selected Municipal Energy Targets

City Target Beijing, China Reduce energy intensity of the city’s economic output by 32 percent between 2004 and 2010 , Germany Reduce energy use in public buildings 30 percent by 2010; incorporate solar water heating into 75 percent of new buildings annually Copenhagen, Energy audits required for buildings exceeding 1,500 square meters; all new buildings Denmark must rely on district heating (electric heating banned) Freiburg, Germany 10 percent of all public and private electricity must come from renewable sources by 2010 Leicester, Reduce municipal building energy use 50 percent from 1990 level by 2025 United Kingdom Melbourne, Increase municipal use of renewable energy by 50 percent from 1996 levels and Australia private use by 22 percent by 2010 Oxford, 10 percent of homes must use solar hot water or PV by 2010 United Kingdom Portland, Oregon, 100 percent green power for municipal government by 2010; all new city-owned United States construction to meet LEED Gold certification Tokyo, Japan Minimum 5-percent renewable energy use in large municipal facilities starting in 2004; renewables proposed to supply 20 percent of total energy by 2020

SOURCE: See endnote 60.

government for a national climate change much greenhouse gas each person on Earth policy, and the Cities for Climate Protection can emit annually without overwhelming the Campaign of ICLEI–Local Governments for ability of the atmosphere and biosphere to Sustainability, which focuses on the design absorb it. The target for 2050 is about 3.3

and use of climate-related policies among tons CO2-equivalent per person. This is about some 650 participating local governments. as much as the average person in China or Through such partnerships, city officials are Argentina emits today.62 able to share best practices and encourage ongoing municipal leadership. And a few Lighting the Way governments are now stepping forward to reinforce these efforts. For example, the Aus- Cities have great potential to influence tralian government has funded a national change. This power comes not only from the independent ICLEI office, which involves more manageable scale of local population 216 councils representing 87 percent of Aus- and energy use but also from their role as tralia’s population.61 national and regional seats of political power. The International Solar Cities Initiative, Cities also frequently represent centers of created to address climate change through political and technological innovation, where effective actions in cities, has devised an constituents are closer to these seats of power explicit target to guide “pathfinder” cities and thus retain more influence over policy- toward major GHG emissions reductions. makers. And because powerful industries do The target was established by estimating how not wield the same influence at the local level

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as at national or regional levels, cities can ture. In 2002, the World Council for provide a more even playing field for all. Renewable Energy noted that the $300 bil- Under such conditions, supporters of clean lion of energy subsidies spent every year on power and related alternatives may find it nuclear power and fossil fuels is four times easier to introduce groundbreaking changes as much as has been spent promoting renew- in cities. able energies in the last two decades. This Given that local renewable energy devel- trend is all too evident, for example, in the opment can yield significant benefits, what is Bush administration’s push for next-gen- standing in the way of change? One major eration nuclear and “clean” coal technolo- obstacle is the limited resources available to gies, in efforts to boost nuclear power in pursue local initiatives. As noted, there are India and China, and in subsidies used by numerous options for minimizing energy some developing countries to support fuels use and increasing reliance on clean power, like kerosene and diesel, which make renew- but cities need financial, technical, and able energy less competitive. Countering administrative support to pursue these strate- these developments is going to require a gies. Although this is more commonly a political commitment to clear, mandatory problem in the developing world, it is also a targets for renewable energy use and for constraint among municipalities in indus- technology research and development.64 trial countries. A third barrier is market pressures that ignore environmental and social costs and Many sustainability goals can be benefits in energy prices. As a result, devel- opment of green energy remains at a disad- pursued through policies that do vantage beyond the most immediately not increase taxpayers’ costs. profitable niches, such as wind generation as a hedge against volatile natural gas prices. Investment priorities deserve particular This is particularly clear in areas where the attention in the world’s poorest urban areas. electricity sector has been privatized over the To help achieve more balanced, sustainable last decade, where governments have often economic development that simultaneously found it necessary to impose firm renewable meets people’s needs, nongovernmental orga- energy goals for retail electric providers in nizations (NGOs) and community groups order to ensure green power’s continued can encourage governments to link clean advance. Such actions highlight national gov- energy access to poverty alleviation. Bilateral ernments’ crucial role in correcting for prices and multilateral program funding must also and market structures that fail to signal the move more quickly from fossil fuels toward true costs of conventional fuels.65 renewables. Initiatives under the CDM and The effect of market pressure is also appar- related global programs could be used more ent in the priorities of most electric utilities, frequently for energy projects that reduce which focus on expanding supply rather than GHG emissions.63 conservation to meet customers’ needs. The second fundamental challenge is “Negawatts”—electricity that is never actu- posed by national and international poli- ally produced or sold—would be a viable tics. For decades, conventional fuels and energy service to consumers if more govern- technologies have received the lion’s share ments introduced regulations that encour- of global investment in energy infrastruc- aged utilities to pursue conservation.66

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The issue of pricing and costs also plagues ers local conditions and uses local knowl- the building sector. Although developers in edge. This will mean involving the author- cities like Chicago now have trouble finding ities that have the most power to mandate the requisite “anchor” tenants if a new build- new requirements and monitor enforcement. ing does not meet certain voluntary green It can also ensure the institutional capacity— standards, this is rarely the case in other in the form of financing for “green” home municipalities. Energy costs often represent improvements, for example—to assist peo- only a small share of overall business or house- ple who participate in efficiency and renew- hold expenses, and cost savings from effi- able energy programs.70 ciency measures are not always reflected in Contrary to some people’s perceptions, conventional accounting. As a result, price sig- many sustainability goals can be pursued nals fail to drive change.67 through policies that do not increase tax- Another fundamental challenge involves payers’ costs, as in Chicago, where green altering the common skepticism that even a buildings receive expedited permitting. City large number of small-scale, local renewable planners can incorporate the “new urban- systems combined with conservation and effi- ism”—which involves building for people ciency will ever be able to produce enough rather than cars—and related planning energy to meet the demands of a large city. To approaches for mixed-use communities that some extent, such mindsets are starting to combine residential and commercial space. change, as evident in the growing movement This can minimize energy use and suburban toward more sustainable cities and in recent sprawl while making city life more sustainable efforts by former President Bill Clinton to and enhancing the overall quality of life.71 encourage climate protection in some of the In addition to education and public aware- world’s largest urban centers.68 ness campaigns, political pressure must be Yet a great deal remains to be done in brought to bear against powerful forces that cities. As one example, despite some policy favor the status quo. Positive changes in the efforts to encourage or require green con- energy sector, particularly in the world’s poor- struction, the typical new U.S. home still est urban areas, will require action from not remains highly energy-inefficient, requiring only municipal authorities but also regional, 30–70 percent more energy than new provincial, and national governments as well “advanced” green homes. This gap points as NGOs and aid and lending institutions. to the need for larger awareness of the long- (See Table 5–2.) 72 term gains, both ecological and economic, The challenge lies in moving beyond that can be achieved through more ambi- local voluntary partnerships toward strong tious mandates for sustainable practices. In intergovernmental and societal commit- effect, a paradigm shift is needed—one that ments for change. Wider civil society embraces radical improvements in energy involvement will be critical and has already efficiency, with the remaining demand met figured prominently in many recent move- primarily by renewable energy.69 ments for more-sustainable energy use in Relevant actors and institutions—from cities. Citizens’ groups can do more by call- all levels of government to the finance sec- ing for national and international changes in tor—must consider new ways of evaluating investment priorities and can work with pri- the life-cycle costs and benefits of renewable vate financial institutions favoring clean energy and of building design that consid- energy as a profitable strategy for minimiz-

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Table 5–2. Roadmaps for Powering Cities Locally

Obstacle Strategic Response

Lack of control Municipal government can set targets for its own green energy use, procure over energy sector goods and services made with local green power, aggregate customer demand, and form power purchase agreements with utilities. Municipal government can target energy efficiency and conservation in public and private buildings by requiring energy audits and mandating use of specific technologies and construction practices, through city planning and permitting. Citizens can form cooperatives for local energy development or purchase green power. Lack of widespread Governments can support pricing reform and commit to replanting trees to access to energy service ensure wider availability of fuelwood and other biomass resources. (particularly common in Legalized secondary power arrangements can give urban dwellers access to low-income cities) power sources “owned” by other individuals, thereby avoiding or reducing otherwise prohibitive upfront fees (the utility can set basic technical standards to enhance safety of energy delivery, while the de facto electricity distributor determines rates). Reduced lifeline electricity tariffs (available to low-income users for lower levels of use) can spread out upfront fees (such as grid connection charges) into future payments over time. Lack of funds or exper- Local actors (public or private) can partner with energy service companies or, in tise to identify and low- to moderate-income cities, bundle projects to leverage microfinance or undertake projects multi- or bilateral assistance for the lease or purchase of solar water heaters, PV systems, and safer and more efficient stoves and smoke hoods. Lack of awareness Municipal government can work with local trade organizations, private-sector or understanding of champions, and citizens’ groups on information campaigns, product labeling, benefits of local green professional training, and school curricula. energy or how to use NGOs and community groups can sponsor demonstration projects. technologies

Lack of utility involve- Municipal or grassroots efforts can coordinate lobbying across locales for ment or of regional, changes in political priorities (toward regional or national targets and commit- national, or international ments) to include mandates for both public and private utilities. emphasis on renewable States and cities can develop and implement their own policies and band energy development, together in multi-state or multi-city agreements to set “de facto” policy. energy efficiency, con- servation, and GHG reductions

SOURCE: See endnote 72. ing business risks from climate change.73 cities turn to technologies rooted in the Today cities have an unprecedented oppor- past—from adobe architecture to passive solar tunity to change the way they supply and use heating. When complemented by conserva- energy. New eco-cities such as Dongtan in tion, more-efficient technologies, and new China may show the way, even as existing decentralized, small-scale energy services,

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these efforts can help cities confidently nav- impact of climate change. Energy transfor- igate the forthcoming peak of cheap oil and mation in cities can be the doorway to secu- natural gas production while reducing the rity and vitality in urban life.

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: CITYSCAPE RIZHAO ------Solar-Powered City

Buildings in Rizhao, a coastal city of nearly promote solar power, the Shandong provin- 3 million on the Shandong Peninsula in cial government provided subsidies. Instead of northern China, have a common yet unique funding the end users, however, the govern- appearance: most rooftops and walls are cov- ment funded the research and development ered with small panels. They are solar heat activities of the solar water heater industry. collectors.1 Mayor Li Zhaoqian explained: “It is not In Rizhao City, which means City of Sun- realistic to subsidize end users as we don’t shine in Chinese, 99 percent of households have sufficient financial capacity.” Instead, the in the central districts use solar water heaters, provincial government invested in the indus- and most traffic signals, street lights, and park try to achieve technological breakthroughs, illumination are powered by photovoltaic which increased efficiency and lowered the solar cells. In the suburbs and villages, more unit cost.4 than 30 percent of households use solar water The cost of a solar water heater was heaters, and over 6,000 households have solar brought down to the same level as an electric cooking facilities. More than 60,000 green- one: about $190, which is about 4–5 percent houses are heated by solar panels, reducing of the annual income of an average household overhead costs for farmers in nearby areas. in town and about 8–10 percent of a rural In total, the city has over a half-million household’s income. Also, the panels could square meters of solar water heating panels, be simply attached to the exterior of a build- the equivalent of about 0.5 megawatts of ing. Using a solar water heater for 15 years electric water heaters.2 costs about 15,000 yuan less than running a Kouguan Town Primary School is one of conventional electric heater, which equates to the satisfied users of solar energy in Rizhao. saving $120 per year.5 Since the wall-hanged solar heat collectors A combination of regulations and public were installed in 1999, the school has been education spurred the broad adoption of relying on solar energy for all classroom heat- solar heaters. The city mandates all new ing in winter and hot water supplies for the buildings to incorporate solar panels, and it entire school all year. After more than a oversees the construction process to ensure decade, the system is still functioning well.3 proper installation. To raise awareness, the The fact that Rizhao is a small, ordinary city held open seminars and ran public adver- Chinese city with per capita incomes even tising on television. Government buildings lower than in most other cities in the region and the homes of city leaders were the first to makes the story even more remarkable. The have the panels installed. Some government achievement was the result of an unusual bodies and businesses provided free installa- convergence of three key factors: a govern- tion for employees, although the users pay ment policy that encourages solar energy use for repairs and replacement. After 15 years and financially supports research and develop- of effort, it seems the merit of using a solar ment, local solar panel industries that seized heater has become common sense in Rizhao, the opportunity and improved their products, and “you don’t need to persuade people and the strong political will of the city’s lead- anymore to make the choice,” according to ership to adopt it. Wang Shuguang, a government official.6 As is the case in industrial countries that Rizhao would not be the city it now is

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Rizhao City Government

without the clear vision A good environ- and innovative thinking of ment also brings its leaders. Although the more people to program was started by Rizhao. The travel his predecessor, Mayor Li industry in the city is Zhaoqian has a special booming. In the last interest in continuing it. two years, the num- Before becoming mayor, ber of visitors Dr. Li was vice president increased and professor at Shan- by 48 and 30 percent. dong University of Since 2002, the city Technology and served has successfully hosted as vice director general a series of domestic of the Economic and and international water Trade Commission of sports events, including Shandong Province, the International Sail- where he helped indus- ing Federation’s Grade tries improve solar W 470 World Sailing energy production Championship.10 technology and The favorable envi- efficiency.7 ronmental profile of Widespread use of Rizhao is changing its solar energy reduced cultural profile as well, the use of coal and by attracting high-profile help improved the universities and profes- environmental quality sors to the city. Peking ered street light of Rizhao, which has Rizhao solar-pow University, the most consistently been listed in prestigious one in China, the top 10 cities for air quality in China. In is building a residential 2006, the State Environmental Protection complex in Rizhao, for example. More than Agency designated Rizhao as the Environ- 300 professors have bought their second or mental Protection Model City.8 retirement homes in the city, working and Rizhao’s leaders believe that an enhanced living in this new complex at least part of environment will in turn help the city’s social, the year. Qufu Normal Unviersity and Shan- economic, and cultural development in the dong Institute of Athletics have also chosen long run, and they see solar energy as a start- Rizhao for new campuses. Again, one of the ing point to trigger this positive cycle. Some reasons they cited was the environmental recent statistics show Rizhao is on track. The quality in the city.11 city is attracting a rapidly increasing amount —Xuemei Bai of foreign direct investment, and according to Commonwealth Scientific and city officials, environment is one of the key Industrial Research Organization, factors bringing these investors to Rizhao.9 Australia

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: CITYSCAPE MALMÖ ------Building a Green Future

As people drive across the Øresund Bridge subsidiary of the largest privately owned from Copenhagen in Denmark to Malmö in energy company in Europe, to get 100 per- Sweden, their eyes are drawn to the Turning cent of the area’s energy from local renewable Torso in Malmö’s Western Harbour. This sources: wind, sun, water, and gas from apartment tower’s white marble-clad walls garbage and sewage. The Swedish govern- twist 90 degrees as they rise 54 stories above ment granted roughly 250 million krona a city of just under 300,000 people. Architect ($34 million) to offset costs for environmen- Santiago Calatrava’s design mimics the human tal investments.4 body in motion. The building, completed in A 2-megawatt wind turbine, supplemented 2005, can be seen as symbolizing Malmö’s by photovoltaic sun shields on one building, efforts to move from its recent history of provides virtually all electricity to homes in industrial pollution and unemployment to the Western Harbour and powers heat pumps an ecologically, socially, and economically that supply hot water and district heating. sustainable future.1 The pumps extract heat from seawater in the Malmö, Sweden’s third largest city, is an city’s canal, from solar collectors installed international port that has survived many on rooftops, and from an innovative aquifer transitions. Founded in 1275 as a Danish storage system. All apartments in the Turning city, although its earliest settlements date to Torso have units that grind organic waste, 10,000 BC, Malmö became part of Sweden in which is collected to produce biogas for the seventeenth century. Today, one quarter cooking and to fuel vehicles. Residents in the of Malmo’s residents are foreign-born. For new district receive training in how to use the many of the last 150 years, the city was a environmentally friendly technologies.5 prominent shipbuilding center. Kockum’s The system that supplies the district with shipyard, established in the mid-nineteenth renewable energy is attached to the city grids century, employed more people than any of for electricity and district heating. Malmö’s the city’s other industries, which included 50-year-old district heating system covers leather, textiles, and food processing. After about 90 percent of the residential area. the shipyard closed in the mid-1980s during The Western Harbour exports energy when a recession, some 35,000 people left Malmö production is high and demand is low and within a couple of years.2 imports it when more energy is needed. Over In the 1990s, Malmö began to forge a new the course of a year, the local renewable sup- vision of itself as a “sustainable” city. Among ply matches local demand.6 the first steps: transforming the Western Har- Malmö aims to decrease carbon dioxide bour from abandoned industrial sites into a emissions citywide on average by 25 percent model of ecological design to host the 2001 in 2008–12 compared with 1990 levels, European Housing Exhibition. The govern- which will mean bringing them 10–15 per- ment invested in cleaning up contaminated cent below 1999 levels. Malmö has joined land. The city took responsibility for public three other cities— in Ireland, spaces and infrastructure. Sixteen development Hilleröd in Denmark, and Tallinn in Esto- companies chosen to participate were in charge nia—in a three-year project for Sustainable of everything inside their plot boundaries.3 Energy Communities and Urban Areas in Malmö partnered with E.ON Sweden, a Europe, or SECURE, to seek good energy

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Mar cus Österberg

solutions and pro- sports events, duce local energy exhibitions, and action plans. shows. New Malmö’s strategy shops, including involves extend- famous retail ing its district chains, have set heating system up business. and increasing The Housing construc- Turning Torso under constr the use of natural gas for uction tion is steadily electricity. The city is also educating citizens increasing, with about their role in climate change. Billboards 1,265 new dwellings built in 2005. Jobless- around Malmö show techniques for lowering ness among adults is decreasing: from 16 energy use.7 percent in 1996 to 8.8 percent in 2005. Malmö seeks to learn from setbacks in the Today, 39 percent of people in Malmö have Western Harbour redevelopment. The first a university or postgraduate education— homes that were built did not achieve the double the figure in 1990.9 targets set for energy efficiency. Engineers On the negative side, the city is grappling and architects have studied these to avoid with a rise in crime and has yet to integrate its repeating the mistakes. Even though the plan large immigrant population. Just 3 kilometers was to offer various housing types—for the from the newly built Western Harbour and elderly, large families, people seeking either close to the city center, the Rosengård area is collective housing or less expensive half- home to 21,000 immigrants. Some 84 per- completed flats, for example—in the first cent of this area’s inhabitants have both par- stage only student housing and fully equipped ents foreign-born, and 50 different languages flats, on the upper end of housing prices, are spoken. The area was built in the 1960s were built. Although this created a low-diver- and 1970s as part of a massive social housing sity housing area, currently viewed as an area program. Unemployment is high, and the for the rich, many people who live in other language barrier makes inhabitants even more areas use the public spaces and services in isolated from the rest of Malmö.10 the Western Harbour area. As there are now Residents have taken note of the city’s rapid roughly 1,000 residents and the target is to transformation. Jeanette Andersson, a young one day house 10,000 people, there is still eco-toxicologist said: “Moving to Malmö, as a considerable opportunity to add greater young student, offered me several advantages diversity to future housing stock.8 such as good housing and a cheap living. After The city’s environmental initiatives have just a few years the situation had changed and sparked change. Malmö University was suddenly people started fighting about apart- founded in 1998 with a focus on the environ- ments. You could tell by just walking through ment, conservation of natural resources, the city that the population and atmosphere ethnicity, and gender. Since 1997, many of Malmö was about to change.” 11 information technology and telecommunica- —Ivana Kildsgaard tions companies have opened offices. Malmö IVL Swedish Environmental hosts a growing number of cultural activities, Research Institute

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CHAPTER 6

Reducing Natural Disaster Risk in Cities Zoë Chafe

On a winter night about 2,000 years ago, res- neighbor remind us that natural hazards are— idents of a majestic Greek city were no doubt and always will be—a part of our lives. Yet our shaken awake by the massive earthquake. In understanding of disaster risk and our actions quick succession, soil below the buildings to perpetuate or reduce it can change. By liquefied, the city dropped below sea level, breaking apart the ingredients of disaster— and everything and everyone within it was natural hazards, vulnerability, risk, and risk subsumed by a tsunami. The year was 373 management—the ways we can protect our- BC; classical Greek civilization was just reach- selves and our cities become more obvious. ing its peak, and this city—Helike, well Large natural disasters, such as the earth- known for its Temple of Poseidon, a tribute quake at Helike or the 2004 Indian Ocean to the god of earthquakes and the sea—dis- tsunami, garner media attention, inspire appeared overnight. For 2,000 years, Helike’s action, and remain emblazoned in our mem- legacy would survive only through Plato’s ories. But the suffering caused by chronic legend of Atlantis, which was inspired by small-scale urban disasters (such as local flood- Helike’s demise.1 ing, water contamination, and landslides) Within the past decade, while excavating often escapes the limelight. While cities are despite another lethal earthquake in Greece, increasingly home to both types of disaster, archeologists located ancient remains buried they can also be great places to tackle the by the earthquake: rock walls, coins, and pot- underlying issues that leave people vulnerable tery. Imagine their surprise as they simulta- to the risk of disaster. neously uncovered a nearby town, this one What hazards create particular impacts on 4,000 years old, that had met a fate similar to cities, and what can be done to prepare for the Helike’s some 2,000 earlier and in almost onslaught of disasters that appears to lie exactly the same spot.2 ahead? As human populations swell and our The legacies of Helike and its historic environment continues to change, these basic

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questions should guide the planning and 1500 development of cities in our increasingly Source: OFDA/CRED urban world. Affected 1200 Killed The Rising Toll of Disasters Although natural disasters are often presented 900 as rare and unexpected tragedies, the reality is that they now occur more frequently, affect 600 more people, and cause higher economic damages. The number recorded each year or Killed (thousand) Number Affected (million) fluctuates, and reporting gaps make data 300 analysis difficult, but there has unquestionably been a general upward trend in the number of disasters recorded each year. In 2005, the 0 1986– 1991– 1996– 2001– Center for Research on the Epidemiology of 1900 1995 2000 2005 Disasters (CRED) recorded 430 natural dis- asters, which killed 89,713 people and Figure 6–1. People Affected or Killed by affected 162 million others worldwide. For Natural Disasters Worldwide,1986–2005 comparison, CRED recorded an average of 173 natural disasters each year during the current populations of the world’s 18 largest 1980s and an annual average of 236 during cities. (CRED counts in the total number the 1990s. The definition of a natural disas- affected all those injured, made homeless, or ter varies between reporting sources, but for requiring immediate assistance to meet basic CRED it means any incident that kills 10 or survival needs during an emergency.)4 more people, affects 100 or more people, or Natural disasters have a disproportionate necessitates a declaration of emergency or impact on low-income countries. Over the call for international assistance. Unfortu- past 25 years, a stunning 98 percent of the nately, no reliable data source catalogues the people injured or otherwise affected by nat- global incidence of natural disasters solely in ural disasters were living in the 112 countries urban contexts.3 classified as low income or low-middle income Spurred by population growth, rapid by the World Bank. These countries account urbanization, environmental degradation, and for about 75 percent of the world’s popula- climate change, the number of people affected tion, including 62 percent of the world’s by natural disasters has increased remarkably urban dwellers. They were also home to 90 over the past 20 years. In the late 1980s, percent of the people who lost their lives to about 177 million people were affected by nat- natural disasters during the same time period. ural disasters each year—roughly equal, at This means that less than 10 percent of the the time, to the entire population of Indone- individuals who died from natural disasters sia or the world’s 13 largest cities. (See Fig- lived in the 96 richest countries.5 ure 6–1.) Since 2001, the annual average has Urbanization is proceeding at a quick pace risen to 270 million—an increase of more in poorer countries. (See Chapter 1.) In 1980, than 50 percent. Now the average number of just under 50 percent of all urban dwellers people affected each year is on par with the lived in the 112 poorest countries. By 2005,

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STATE OF THE WORLD 2007 Reducing Natural Disaster Risk in Cities this figure had changed considerably: 62 per- cent of all city dwellers were found in the 112 Box 6–1. Defining Disasters poorest countries and 38 percent were in the 96 richer nations. The trend of increasing Disaster: A rare or abnormal hazard urbanization in poorer countries carries over that affects vulnerable communities or to disaster vulnerability as well: in 1950, 50 geographic areas. Causes substantial dam- percent of the urban population at risk of age, disruption, and possible casualties. Leaves the affected communities unable to earthquakes lived in developing countries; function normally and requiring outside 6 by 2000, this proportion passed 85 percent. assistance. Natural hazard: A geophysical, atmos- Urban Hazards pheric, or hydrological event that has a potential to cause harm or loss: death or and Vulnerability injury, property damage, social and Here are some images of modern cities that economic disruption, or environmental we do not like to see: a mother protecting degradation. her child from driving rain, sidestepping ris- Risk: The likelihood of a hazard occurring ing currents of raw sewage to reach her in a specific location and its probable con- home; teenagers standing atop the skeleton sequences for people and property. of a felled house, surveying the heaps of Disaster risk management: A range of brick and mangled metal that formed their activities to cope with risk. Includes miti- gation, prevention, and preparedness neighborhood before the earthquake struck; (actions to minimize disaster risk, prefer- a family watching helplessly as flames ravish ably taken before disaster occurs); relief crowded rows of makeshift shelters, includ- (actions taken immediately after disaster ing their home. But through a combination strikes); rehabilitation (restoring normal of poor urban governance, economic activities within two years of disaster); and poverty, inadequate urban planning, and reconstruction (long-term work to inappropriate building styles, these scenes of restore infrastructure and services). disaster are plausible endings to any day for Vulnerability: The potential to suffer many city dwellers. harm or loss. Increased susceptibility to the impacts of hazards from physical, Disasters are not simple chance occur- social, economic, and environmental rences, as often portrayed in the media. They factors. are the product of an ever-changing rela- tionship between natural events (hazards), SOURCE: See endnote 7. social and physical conditions (vulnerabili- ties), and the risk management systems that exist—or all too often do not exist—to pro- nication can constitute the final ingredient in tect us. (See Boxes 6–1 and 6–2.) With few a devastating disaster.7 exceptions, people are not killed by high Risk is created through a complex set of winds or seismic waves; rather, they are killed interactions between our built and natural by the effects that these natural hazards have environments. We often consider whether on their houses, their schools, their offices, the food we eat is safe and nutritious, the and their surroundings. Response efforts can water we drink clean, or the neighborhood we save lives and property but, conversely, a live in safe. But we seldom stop to consider lack of prior planning and proper commu- the health of our immediate environment or

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Part of the population growth in cities today Box 6–2. Hazards,Vulnerabilities, is due to migration, which can be a source of and Risk Management vulnerability in itself. When people move to cities, they often lose the traditional rural Examples of Natural Hazards: networks of family and neighbors that they Earthquake Wave/surge could rely on during and after a disaster.9 Flood Landslide Another significant factor is geographic Volcano Wildfire location. Eight of the 10 most populous cities Windstorm in the world sit on or near earthquake faults, Examples of Vulnerability Factors: and 6 of the 10 are vulnerable to storm Poorly planned development Deforestation and erosion surges. (See Table 6–1.) Several are located Precarious buildings and shelters near major volcanoes. Populous cities line Lack of insurance or banking services many coasts and will be exposed to sea level Prohibitively expensive health care rise due to climate change. Scores of cities are Inability to get information located in hazardous areas, as a matter of No access to emergency services historical significance or modern expansion. Examples of Risk Management: Some cities have colonial origins and were sit- Write and enforce building codes uated in their current locations for reasons of Improve access to sanitation economic access rather than safety. These Offer insurance for all income brackets Create skills-training classes for women same cities often carry a legacy of imported Build strong community networks colonial building codes and planning systems Prepare emergency kits and disaster plans that are not appropriate for their locations. Spread hazard warnings to all at risk For example, some of the first buildings con- structed in Mexico City were built to the SOURCE: See endnote 7. same standards as in New York City—a dis- tant city with crucially different soil.10 Even where building codes and planning the condition of our neighbors’ homes—and systems exist, urban growth tends to be these are among the factors that may put us organic and proceed as necessary rather than at risk for disaster. With many day-to-day as prescribed on paper. Slums are often filled crises to deal with, poor families often give with densely built shelters constructed of flam- higher priority to more-immediate needs than mable materials, making the area vulnerable to reducing the risk of disaster.8 runaway fires. In addition, many residents High population density concentrates risk rely on open cooking fires, and they usually in cities. Nearly 3 of every 100 people on lack emergency fire access. Proximity to envi- Earth live in one of the world’s 10 largest ronmental contamination only increases the cities. “Slum” populations are growing by potential for harm. In almost every large 25 million people a year, adding to the esti- developing-country city with industrial pro- mated 1 billion people living in informal set- duction, housing is perched precariously on or tlements worldwide. As Mark Pelling of around heavy equipment, pipelines, effluent King’s College London explains, “Urban- drains, and toxic disposal sites.11 ization affects disasters just as profoundly as After a disaster occurs, due to a lack of disasters can affect urbanization.” Rapid other job opportunities or housing options, urbanization constantly changes disaster risk. urban dwellers may be forced to stay in dan-

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Table 6–1. Ten Most Populous Cities in 2005 and Associated Disaster Risk

Disaster Risk City Population Earthquake Volcano Storms Tornado Flood Storm Surge (million) Tokyo 35.2 x x x x x Mexico City 19.4 x x x New York 18.7 x x x São Paulo 18.3 x x Mumbai 18.2 x x x x Delhi 15.0 x x x Shanghai 14.5 x x x x Kolkata 14.3 x x x x x Jakarta 13.2 x x Buenos Aires 12.6 x x x

SOURCE: See endnote 10. gerous areas of cities despite the risk of future becomes apparent why cities are particularly disasters. Many residents of Kampung vulnerable to such disasters.13 Melayu, for instance, a slum outside Jakarta Each natural hazard varies in its scope and that regularly floods, own land in other parts effects. (See Table 6–2.) Earthquakes, for of Indonesia but return to their difficult life example, occur in widely varying strengths, near the city out of economic necessity, even strike at any time of the day, and create effects with the knowledge that disaster will almost that still baffle geologists or urban planners. certainly happen again.12 Even more predictable hazards, such as hur- ricanes, are not fully understood. They may Risky Environment rapidly gain and lose strength, veering off expected trajectories and narrowly hitting or Cities are often characterized by their sky- missing city centers. In 1991 Tropical Cyclone lines—the quintessential celebration of sculp- 05B, one of the most deadly cyclones to hit ture and architecture perched on geographic India, stalled in its path over the city of contours that is Rio de Janeiro, for example, Bhubaneswar in Orissa, dumping torrential or the uniform division of city blocks cele- rain on the area for 30 hours. And in 2005 brating nature conquered, as in New York. Hurricane Katrina lost strength before it Because each represents the pulse and culture made landfall to the east of New Orleans, of a particular city, it is shocking to see a sky- although it still wreaked havoc on that low- line crumble—the grand facade shaken loose lying city.14 within minutes by a natural occurrence. But What is clear is that natural hazards, com- this has happened before, and it will con- bined with high levels of vulnerability, rou- tinue to happen: earthquakes devastated San tinely turn into major urban disasters. The Francisco in 1906; Tokyo in 1923; Valdivia, tsunami that struck Indonesia in December Chile, in 1960; Managua, Nicaragua, in 1972; 2004 reached three kilometers inland in Mexico City in 1985; and Bam, Iran in 2003. the province of Aceh, devastating the city of Peer behind the skyline’s veneer, and it Banda Aceh. (See Box 6–3). Lava sluiced

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Table 6–2. Selected Urban Disasters, 1906–2006 during the summer months—increase air condi- Economic tioning demand, lead to more Date City Disaster Deaths Losses air pollution, and add to (estimated (billion injuries and deaths related to number) 2005 dollars) 16 2005 New Orleans hurricane 1,800 125.0 heat stress. (See Chapter 7.) 2005 Mumbai flood 400 0.4 Urban buildings and the 2003 Bam (Iran) earthquake 26,300 1.1 layout of cities can contribute 2003 Paris heat wave 14,800 4.7 to vulnerability as well. 2001 Bhuj (India) earthquake 19,700 5.5 Antennas and electrical equip- 2000 Johannesburg flood 100 0.2 1999 Istanbul/Izmit earthquake 15,000 14.1 ment atop buildings can 1995 Kobe, Japan earthquake 6,400 128.2 attract lightning; the effects of 1985 Mexico City earthquake 9,500 7.3 a lightning strike can extend 1976 Tangshan (China) earthquake 242,000 19.2 for kilometers if sensitive 1970 Dhaka (Bangladesh) flood 1,400 10.1 equipment is hit. Indeed, 1923 Tokyo earthquake 143,000 31.8 1906 San Francisco earthquake 3,000 10.9 every major city is at risk for lightning strikes, according SOURCE: See endnote 14. to reinsurance agency Munich Re. The layout of the streets directly through the city of Goma, in the at the foot of these buildings can also encour- Democratic Republic of Congo, when a age extreme weather events. Straight streets volcano erupted there in 2002, leaving lined with tall buildings create canyon-like 300,000 homeless. And landslides provoked environments that whip up strong turbu- by heavy summer rains routinely devastate lence and wind gusts. They can even lead to neighborhoods flanking the steep hills of hailstorms and heavy localized rainfall. Look- Rio de Janeiro.15 ing forward, these are vulnerabilities that can Unintentionally, many cities actually be avoided in areas of new growth or recon- increase disaster risk. The concentration of struction, given smart planning and dedi- heat and pollutants from power plants, indus- cated leadership from a city government keen trial processes, and vehicles in cities con- on keeping its residents safe.17 tributes to a well-documented phenomenon Cities do not stop relying on their imme- called the “heat island effect,” which can diate environmental resources as they develop exacerbate heat waves and other warming and expand; in fact, with more inhabitants liv- trends. Most pronounced over megacities— ing in a finite area, cities need to enhance those with at least 10 million people—this ecosystem services to prevent severe natural effect causes a city to be up to 10 degrees Cel- disasters. Without trees to purify the air and sius (18 degrees Fahrenheit) hotter than sur- stabilize soil, without open space to absorb rounding areas. In New York City, where the storm water and provide wildlife habitats, heat island effect has been observed for a and without natural coastal habitats to pro- century, average night-time temperatures tect them from storm surges, cities become hover just over 7 degrees Fahrenheit above much more unpleasant and dangerous places the temperature in surrounding suburban to live. and rural areas. Beyond making temperatures A prime example of the latter point comes uncomfortable, heat islands can—especially from Sri Lanka, where coral reef mining,

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Box 6–3. Banda Aceh and the Tsunami

When an undersea earthquake in the Indian the waves? The answer is sturdy construction— Ocean triggered a massive tsunami on Decem- a reflection of the mosque as an anchor of daily ber 26, 2004, the Indonesian province of Aceh life in this religious land. Islam came to Aceh in was hit hardest. Of the 230,000 people believed the eighth century, spreading later to the rest to have died in a dozen countries along the rim of what is today Indonesia. of the Indian Ocean, close to 170,000 (74 per- Although a handful of private houses— cent) perished in Aceh alone.The provincial undoubtedly those of wealthier people—also capital, Banda Aceh, suffered greatly: 61,000 died, withstood the waves, the vast majority of homes nearly a quarter of its population of 265,000. along Banda Aceh’s coast did not. In many cases, Tsunami waves carried debris inland at least profiteering contractors used bricks of inferior three kilometers in Banda Aceh, and more in quality and other substandard materials, predis- some places.Two years later, the affected ribbon posing the structures to collapse. of coast still evokes memories of Hiroshima in Shockingly, post-tsunami reconstruction suf- 1945—lifeless communities, twisted skeletons fers from some of the same problems, perpetu- of buildings, rutted and cratered roads. Just a ating Aceh’s vulnerability to future disasters. In bit further inland, however, life seems perfectly a number of cases, unscrupulous reconstruc- normal—coffeehouses are bustling, teenagers tion contractors were found to have built are busy text-messaging, and motorcycles, flimsy schools and homes. Instead of laying becaks (motorcycle taxis), minibuses, and cars proper foundations, they simply propped create a daily cacophony of traffic. wooden stilts on stones.The timber and bricks Meuraxa, a harbor area noted for its dense used were substandard and warped. warren of roads and houses, was nearly obliter- Reconstruction has been slow but is now ated.As far as the eye could see, almost every picking up some speed—by April 2006, some building was washed off its foundation or 47,000 new houses had been built across Aceh reduced to rubble. Beside a short bridge con- (141,000 had been destroyed), and reportedly necting this area to the mainland, however, a between 3,500 and 5,000 additional homes are mosque withstood the waves.Within a year now being built each month. Banda Aceh still after the tsunami, damage to the mosque had faces years of rehabilitation and serious chal- been repaired: its exterior repainted in white lenges to ensure that reconstruction does not and green, the Koranic verses on its facade fuel future vulnerability to disaster. highlighted in gold. —Michael Renner Why was this mosque, among others else- where in Aceh, able to parry the onslaught of SOURCE: See endnote 15. sand dune grading, and mangrove cutting Dealing with Losses increased wave energy, building damage, and loss of life during the Indian Ocean tsunami. When hazards combine with vulnerability in A study of land use around Galle, a major Sri urban areas, the results can be extremely Lankan city whose vibrant markets and cricket costly, both in their impacts on human lives stadium were devastated by the tsunami, and in economic terms. Economic costs set showed that areas protected by intact man- urban disasters apart from rural ones: with a grove forests and coral reefs suffered signifi- concentration of people and infrastructure, cantly less damage than those with degraded the economic impacts of a disaster are bound natural defenses.18 to be high. The Kobe earthquake that hit

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Japan in 1995 caused $128.2 billion (2005 igation and prevention, conducts disaster dollars) in damage, one of the costliest nat- assessments, delivers relief supplies, and mobi- ural disasters ever recorded. Hurricane Kat- lizes post-disaster donations.22 rina in 2005 led to $125 billion in damages But business investments in disaster pre- to the Gulf Coast.19 vention are often predicated on the govern- Windstorms usually bring along substan- ment’s abilities to keep crucial infrastructure tial amounts of precipitation—often leading (such as electricity and water) online. Losses to flooding and landslides—and secondary from power disruptions following a natural dis- hazards can be the main cause of losses. When aster can account for as much as 40 percent of Typhoon Nari hit Taipei in September 2001, the total insured loss for businesses, according heavy rains caused flooding in the city’s to a report by the Lawrence Berkeley Labo- underground railroad stations, closing off an ratory. If a business suspects that there is a important traffic artery for weeks. Even with good chance that the electric utilities and relatively slow wind speeds, this transporta- water supply will be nonfunctional for a con- tion shutdown was largely to blame for siderable time after a hurricane hits its area, it insured damages of $500 million. The same will be discouraged from taking preventative was true for Tropical Storm Allison, which and protective measures because it will be caused $1.5 billion in damage in Houston in unable to operate without vital services.23 2001, mostly through flood damage to hos- pitals, many of which had storage rooms Climate Change in the City below ground level.20 With massive investments in urban infra- Urban disaster risk management and plan- structure, the private sector has vested inter- ning require a discussion of climate change for ests in reducing losses wherever possible. The two reasons: first, cities produce large amounts insurance industry, in particular, is keenly of greenhouse gases and, second, they will interested in disaster prevention and model- be considerably affected by climate change. ing. Extraordinary losses from active hurricane The vast majority of the world’s carbon seasons over the past few years have driven dioxide emissions can be traced to cities, even insurance companies to pass on their expenses though cities cover only 0.4 percent of Earth’s to urban homeowners and businesses alike. surface. We are already seeing hints of the Berkshire Hathaway’s insurance subsidiaries, ways that climate change will affect cities by for example, lost $3.4 billion from the 2005 amplifying natural hazards: since 1880, the U.S. hurricane season.21 duration of heat waves in Western Europe has Several corporate groups are now focusing doubled and the number of unusually hot on risk management, including disaster mit- days in the region has nearly tripled, accord- igation. The American Insurance Group, Inc. ing to the Swiss Federal Office of Meteorol- released a statement saying that it would ogy and Climatology. And the U.N. develop projects to keep greenhouse gases out Environment Programme estimates that the of the atmosphere—following $2.1 billion in devastating heat wave that hit Europe in insured losses from hurricanes in 2005. The 2003 meant that climate change effects cost Corporate Network for Disaster Response, the world $60 billion in that year alone—up formed in 1990 in the Philippines, is a net- 10 percent from the previous year.24 work of 29 businesses groups and corporate Several models show the potential impacts foundations that works toward disaster mit- of sea level rise on specific cities, some of

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which are already occurring. New Orleans is cent of its country, and 13 million people losing coastal wetlands to rising seas at a rate there would be affected, while Egypt and of one and a half football fields each hour. Viet Nam would each need to tend to 8–10 Boston is slated to be significantly affected by million displaced residents. Of the 33 cities climate change by the end of this century, projected to have at least 8 million residents according to a 1997 U.S. Environmental each by 2015, some 21 are coastal cities that Protection Agency estimate, given that sea will certainly have to contend with sea rise level is already rising by 28 centimeters (11 impacts, however severe they may be.27 inches) per century and is likely to rise another There are also projects under way to draw 56 centimeters by 2100. In New York City, down the impacts that cities have on global— sea level rise could affect the city’s water sup- and local—climates. Preserving and encour- ply by increasing the salinity of the water aging tree cover and green space are two drawn in by a pump station on the Hudson important actions that can cool local climates River. Worse, the pump station is most needed and help absorb greenhouse gases. (See also during drought periods, when the salinity Chapter 5.) Cities around the world vary problem will be at its worst. It could cost widely in the amount of green space that between $224 million and $328 million to fix they have per capita. Nearly 42 percent of Bei- this problem.25 jing is covered with greenery right now, for example, and efforts are under way to bring In the absence of national leadership that figure to 45 percent by 2008.28 on climate change issues in the United In Chicago, Mayor Richard Daley has taken a position of great leadership in States, some city governments are strengthening the environmental attributes of committed to reducing greenhouse the city. He oversees the planting of about gas emissions independently. 30,000 trees each year and has added 500,000 trees to the city since he took office in 1989. Some countries are already implementing Despite efforts by the Casey Trees Founda- projects to deal with climate change effects. tion and other dedicated urban forestry People in the Netherlands have built amphibi- groups, this is not the case in Washington, ous houses that bob up and down on sturdy DC: whereas trees used to cover about one piles as water level changes. In Venice, the third of the city, they now cover just one adjustable barriers of the controversial MOSE tenth of the area. This is due primarily to project (from Modulo Sperimentale Elet- the loss of 64 percent of the heavy tree cover tromeccanico) seek to prevent tidal flooding between 1973 and 1997. During these years, that currently engulfs the city’s tourist center there was an increase in storm water runoff, 50 times a year—a phenomenon that would more frequent basement flooding, and more worsen with sea level rise—despite concerns sewer backups.29 from environmentalists that the project will In the absence of national leadership on cli- have a negative effect on water exchange with mate change issues in the United States, the the surrounding Adriatic Sea.26 popularity of two relatively new initiatives— Yet most people who will be affected by sea the Clinton Climate Initiative and the US level rise live far from Venice or the Nether- Mayors’ Climate Protection Agreement— lands. With a one-meter rise in sea level, for indicates that some city governments are example, Bangladesh stands to lose 17.5 per- committed to reducing greenhouse gas emis-

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sions independently. Riding on a “greater the floods were trampled to death the next sense of urgency” about climate change, the day, caught in a panicked mob after rumors Clinton Initiative is leading a coalition of 24 of a tsunami or flash flood circulated among major cities that have joined together to share those seeking higher ground.32 ideas on how to limit greenhouse gas emis- Two key mistakes by the Mumbai gov- sions and bargain for cheaper energy-effi- ernment left the city, and especially the 92 cient products. The Initiative is targeting 40 percent of its residents who live in slums, cities—each with more than 3 million inhab- vulnerable to floods during heavy monsoon itants—that are responsible for 15–20 percent rains: First, garbage overwhelmed the archaic of the world’s total emissions.30 sewer system, plugging pipes designed to Seattle Mayor Greg Nickels began the US funnel water out of the city. Second, this Mayors’ Climate Protection Agreement the bathtub effect was exacerbated by develop- day that the Kyoto Protocol on climate ment over mangrove swamps at the city’s change came into force—without the United edge, which demolished the natural flood States as a signatory. Buoyed by the convic- protection the forests had once provided. tion that cities and towns across the country Mumbai’s experience serves as a warning: we could lead the way in tackling this global need to protect and enhance existing envi- problem, despite the federal government’s ronmental assets around cities, while also decision not to engage with the issue on an planning infrastructure to meet the needs of international level, Nickels asked mayors to growing populations.33 pledge that they would take local action to Many cities expand in size and geographic meet or exceed the targets set out by the extent in ways not planned or expected by Kyoto Protocol. By early October 2006, less government officials. They have populations than two years after the program launched, that far exceed the capacity of existing infra- 313 mayors—representing constituencies of structure networks, which creates dangerous over 51 million Americans—had signed up.31 conditions. Densely packed settlements can prove deadly, as their layout often inhibits Government’s Key Role effective evacuation in an emergency. Jane Pruess, a planner who visited Sri Lanka after Even with modeling systems and weather the 2004 tsunami, observed that there seemed stations available in some parts of the world, to be higher fatality rates in high-density it can be difficult to tell exactly when an neighborhoods that had narrow, interrupted abnormal weather-related hazard becomes a lanes and alleys. Some 10,000 people died in life-threatening emergency. Heavy down- one community in Sri Lanka alone, in part pours are characteristic of the monsoon sea- because of densely packed, poorly constructed son in Mumbai, India’s seaside financial residential and commercial buildings and very capital. But at some point on July 26, 2005, narrow paths for movement. As density a day when well more than 60 centimeters increases, an individual’s feeling of control (two feet) of rainwater inundated the city, the over risk can fade, because there are so many summer storm gave way to disaster. The com- unprotected shelters surrounding any one muter train lines, which crisscross Mumbai particular dwelling that damage could spread like pulsing veins, stopped. Office workers easily from one shelter to the next.34 drowned in their cars on their way home. Risk can also increase as housing and crit- Eighteen slum dwellers made homeless by ical infrastructure extend away from dense

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STATE OF THE WORLD 2007 Reducing Natural Disaster Risk in Cities areas toward more risky open land. In Lon- during the disaster. And in Sri Lanka, don, a new business and commercial center CITYNET facilitated the construction of two is being built in the former docklands area, community centers using donations from cit- which is at greater risk to storm surges than izens in Yokohama, a member city in Japan.37 other parts of the city. In Santa Tecla, El Sal- Another important way that local and vador, a national court order overruling national governments can encourage appro- municipal law allowed a developer to build priate disaster risk management in cities is new housing on a risky slope, which later by writing legislation to mandate the estab- slid during an earthquake, killing those living lishment of preparedness and risk reduction below the development.35 activities. When Hurricane Mitch hit Central Indeed, many people would blame the America in 1998, killing at least 11,000 peo- most tragic “natural” disasters that have ple in 10 countries, it sparked the introduc- occurred in cities on lax government policies tion of several new pieces of legislation on or oversight. After the devastating floods in disaster management in the region.38 Mumbai, Gerson D’Cunha, founder of civic Box 6–4 spotlights a few of the notable group Agni (Fire), said: “The past has caught examples of how disaster preparedness, pre- up with us, about which little can be done. It vention, and mitigation can save lives and is bad weather that has caused part of the protect property. Other important experi- tragedy, but it is bad government policy that ences specifically demonstrate the financial has compounded the bad weather.” Mumbai benefits of investing in preparedness: The is one case in which quick growth of the city Philippines government has put in place a led to the disaster management agency being variety of preventative measures against floods unable to provide basic supplies and services and volcanic mudflow, with benefits amount- for residents—this is common among rapidly ing to 3.5–30 times the projects’ costs. Sev- expanding cities. In other cases, cities grow eral studies have also calculated the savings together and merge without effectively inte- that could have been realized if preventa- grating their disaster agencies. This leads to tive measures had been taken. In Dominica confusion and an inability to coordinate aid.36 and Jamaica, for instance, if projects to pro- One group that aims to support such over- tect schools and ports had been put in place, stretched local authorities is CITYNET, a the countries could have avoided hurricane 20-year-old network for local authorities that losses in 1979 and 1988 that were two to promotes sustainable urban improvement ini- four times the cost of the mitigation projects. tiatives in the Asia-Pacific region. It maintains The U.S. Geological Survey has estimated a Web site where its 63 member cities and 40 that economic losses worldwide from natural member organizations can offer and ask for disasters in the 1990s could have been assistance after a disaster—such as the reduced by $280 billion if just $40 billion tsunami, which affected Colombo and had been invested in preventative measures.39 Negombo in Sri Lanka, and the 2005 Pak- istan/Kashmir earthquake that affected Islam- Simple Solutions abad. After the tsunami, CITYNET was the first international organization to dispatch Lovly Josaphat lives in Cité Soleil, the largest local government officials to assist with plan- slum in Haiti’s , Port-au-Prince. ning and water purification in Banda Aceh, Speaking to writer Beverly Bell, Josaphat where a third of the municipal staff had died described the confluence of problems in the

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bronchitis, malaria, and even typhoid now.… Box 6–4. Selected Examples of The doctor said to give him boiled water, not Disaster Prevention Projects to give him food with grease, and not to let him walk in the water. But the water’s every- Medellin, Colombia: After a devastating where; he can’t set foot outside the house landslide engulfed the city in 1987, killing without walking in it. The doctor said that if 500, local people and government workers I don’t take care of him, I’ll lose him.” 40 used the Colombian National System for Disaster Prevention and Response to edu- cate and collect financial commitments, Economic losses worldwide from creating a safer living environment and integrating risk management strategies natural disasters in the 1990s could into development plans.The number of have been reduced by $280 billion landslides in Medellin decreased from 533 if just $40 billion had been invested in 1993 to 191 in 1995. in preventative measures. China: The government invested $3.15 billion on flood control measures over four decades in the late twentieth century, Millions of people live today in conditions averting possible flood-related losses of about $12 billion. Despite a near-tripling in similar to those described by Josaphat. Eco- the country’s population, from 555 million nomic poverty prevents them from buying in 1950 to 1.3 billion in 2005, deaths from nutritious foods or medicine and from recov- flooding dropped from 4.4 million people ering belongings lost during disasters. And so in the 1930s and 1940s to 2 million in the they must cope with the risk they are exposed 1950s and 1960s and finally down to to any way they can. (See Box 6–5.)41 14,000 in the 1970s and 1980s. At the same time, there are plenty of inspi- Seattle: Seattle Project Impact, a public- rational examples of people helping them- private partnership formed by the city selves, their neighbors, and even strangers government in 1998 and funded by the Federal Emergency Management Agency to better prepare for everyday urban disasters until 2001, retrofitted schools, taught resi- and major disasters to come. Around the dents about earthquake risks, and mapped world, neighborhoods and communities rou- earthquake and landslide hazards in the tinely come together to learn about the risks metro area.When a magnitude 6.8 earth- they face and to forge social networks that will quake hit Seattle in February 2001, no protect them in a time of disaster. On Tuti students were injured at the retrofitted Island, in the center of Sudan’s capital, Khar- schools nor was there damage to the 300 homes that residents had retrofitted with toum, residents set up communication, guidance from the initiative. health, and food committees each flood sea- son. River patrol volunteers warn residents SOURCE: See endnote 39. about rising water levels and organize search and rescue teams when necessary. In Santa Domingo, capital of the Dominican Repub- slums: “When it rains, the part of the Cité I lic, residents are often exposed to earthquakes live in floods and the water comes in my and hurricanes, as well as routine environ- house. There’s always water on the ground, mental health risks from uncollected trash. Six green smelly water, and there are no paths. organizations formed a household community The mosquitoes bite us. My four year old has waste collection business, addressing a sig-

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Box 6–5. Coping Strategies in Urban Slums

“We are always trying to improve, little by little, interviewed had access to the Salvadoran social step by step, in order to become more secure.” security system. Property insurance is not avail- This statement by a slum dweller living in San able. However, while there is a general concep- Salvador characterizes the coping strategies tion that slum dwellers do not have a culture used to deal with disasters and risk. Coping of insurance, some cases showed the contrary. strategies have mainly been studied in rural Through deals with entrepreneurs, residents can areas, especially in relation to droughts, where obtain certificates of employment that enable disaster and development specialists have them to pay into the social security system, learned to appreciate their value. However, even though they are not formally employed. there seems to be comparatively little interest Most intriguingly, the research revealed that in coping strategies in urban areas.This is unfor- households spend an average of 9.2 percent tunate, as poor households’ views and actions (ranging from 0 to 75 percent) of their income regarding disasters and risk can yield important on reducing disaster risk (about $26 out of an insights for restructuring development aid. average monthly income of $284).This is in Interviews with 331 people living in 15 addition to construction materials that are disaster-prone slums in El Salvador showed a obtained for free, family members’ free labor, grand diversity of coping strategies to reduce the opportunity costs of the considerable risk: slum dwellers build retaining walls with old time spent on risk reduction, and the negative car tires; they remove blockages from rivers impacts of some coping strategies (such as and water channels; they take jobs outside their high interest paid to informal money lenders). own settlement to avoid the effects of local dis- Post-disaster expenses add up as well: asters; they temporarily move their families to replacement of belongings washed away during the highest room in their dwelling; or they floods and landslides, recovery efforts, tempo- create communication structures for early rary income losses, and the gradual loss of warning.They also adopt emotionally oriented investments put into the incremental building strategies, such as relying on their faith or of housing and community infrastructure. If the simply accepting their high risk. “little-by-little, step-by-step” development pro- But coping strategies go beyond reducing cess of slums cannot keep pace with the fre- risk: they also include self-insurance—security quency of disaster impacts, then the outcome systems created during “normal” times to can be increased insecurity and “poverty traps.” help gain access to financing sources or other Current urban coping strategies are impor- recovery help in the event of a disaster. tant for sustainable settlement development, An example of self-insurance is to buy and but they appear to be less deliberate, not as maintain physical assets, such as construction effective, and more individually oriented than in materials, that can easily be sold if needed. rural areas, with a stronger focus on housing Other examples of Salvadorans’ self-insurance construction and land issues. It is crucial that include having many children, putting money development efforts encourage—and eventu- “under the mattress,” encouraging family mem- ally scale up—strategies that increase bers to move to the United States, joining capacities to manage urban disasters and disas- religious institutions (which offer help after ter risk in the short and the long term.Where disasters), and contributing to community these do not exist, alternative mechanisms emergency funds. could be offered. In the slum communities visited, self-insur- —Christine Wamsler ance appears to play a more significant role than Lund University, Sweden formal insurance. Only 26 of the 331 people SOURCE: See endnote 41.

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nificant risk and uniting diverse groups of from the account to begin a business or cover residents around a common cause.42 unexpected expenses. Likewise, microinsur- Innovative visual techniques have been ance works by pooling risk either at the com- developed to learn about risk in community munity level or through existing insurance or meetings. Risk-mapping activities, for exam- microfinance companies. ple, can be used as a simple tool to calculate how far community members must travel to reach safety. Traditional stories can be turned Microinsurance is a promising—and into plays and songs about how to reduce risk relatively new—way for poor people and can provide memorable messages about to cover losses of livestock, crops, disaster preparedness. One such project uses and belongings in a natural disaster. a Vietnamese story about a mountain genie and a storm genie, in which the mountain genie emerges victorious despite the storm.43 With only 1–3 percent of families in low- Simple technological applications of risk and middle-income countries carrying insur- reduction are available as well. Dr. Ahmet ance against natural disasters compared with Turer has invented a way of decreasing excess 30 percent in high-income countries, and waste while also reducing the number of dan- with only 2 percent of natural disaster losses gerous buildings in Turkey, where 95 percent in developing countries covered by insurance of the population lives in an earthquake- compared with half the costs in the United prone area and half of the buildings in the States, microinsurance is a promising—and four largest cities are masonry houses. He relatively new—way for poor people to cover has designed a way to convert old tires into losses of livestock, crops, and belongings in a wall reinforcements, with only a sharp knife natural disaster. When implemented before needed to install the improvement. He plans disaster strikes, microcredit and microinsur- to use media connections to broadcast videos ance schemes can effectively reduce financial of the technology at work in an earthquake risk—which in turn can lead to reduced risk simulator. Encouraging the construction of and quicker recovery.45 safer housing and shelter by using locally rel- While this combination is often associated evant disaster-resistant construction tech- with rural areas in developing countries, it is niques can have the dual effect of making applicable to urban regions and industrial such shelters safer for the inhabitants while countries as well. Grameen Bank founder also providing an example of construction Muhammad Yunus, writing just after Kat- methods that others in the city will see and rina struck New Orleans, pointed out that hopefully adopt.44 “economic apartheid had created deep Three celebrated techniques for support- inequalities and resentment,” in the area. He ing self-help are microfinance, microcredit, noted that before the hurricane, groups in and microinsurance. These financial tools New Orleans were exploring starting a micro- enable those with limited income or assets to credit program and planning to introduce safely save money or gain access to capital. entrepreunership training programs into local (See Chapter 8.) Under microcredit schemes, high schools.46 a group of community members will pay dues In Bhuj, India, a city severely affected by to a shared account at regularly scheduled an earthquake in 2001, around 12 percent of meetings and then take turns withdrawing the population is now covered, directly or

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STATE OF THE WORLD 2007 Reducing Natural Disaster Risk in Cities indirectly, through a microinsurance scheme tance of technologies that can be used glob- run by the All India Disaster Mitigation Insti- ally. The International Charter on Space and tute. Most policyholders are microenterprise Major Disasters, initiated in 1999, allows owners with annual incomes of $520–650, qualified rescue and security personnel to paying premiums of less than $2 per year. request images taken from space of regions There are concerns, however, about the via- experiencing a disaster. The charter has been bility of this and other microinsurance activated 85 times, including during urban schemes, since many members of a single floods that displaced 60,000 people in Dakar, community may be affected by a disaster, Senegal, as well as in Prague in 2006, when— meaning they will simultaneously require cap- thanks to government preparations—floods ital to pay for health services and rebuild created less devastation than in earlier years. their livelihoods.47 While the International Charter cannot be invoked for disaster risk reduction needs, plan- From Information to Action ners can anticipate having its valuable resources available to speed disaster response.49 The images of disaster victims that we see are In some cases, information is available but invariably taken in the aftermath of a cata- is not disseminated in time for action to be strophe: houses and roads in disarray, people taken. An example that planners hope will hurt and traumatized. It is easy to forget that never be repeated comes from the Democratic those affected often had no warning. They Republic of Congo, where a vulcanologist were at work, at school, cooking dinner, named Dieudonne Wafula sensed in 2002 socializing, sleeping—going about their that an eruption of the Nyiragongo volcano everyday lives. Sometimes, if the hazard is a overlooking the city of Goma was imminent. weather event, warnings can be issued with He sent e-mails to international experts a time to prepare. Less frequently, the warnings week before the eruption, giving them per- are carried beyond the reach of technology— tinent information, and then also contacted by mouth, on motorbike—to those in the local authorities, all of whom failed to act most precarious situations. But often, there on the information. More than 100 people is simply no warning. were killed and 300,000 displaced as lava The range of technology available to give filled the streets, cutting the city in half.50 urban warnings varies drastically by country. While many cities still lack disaster man- China recently established its first permanent agement plans, including for temporary shel- digital earthquake monitoring network in ter and evacuation, some are proactively Shanghai, hoping to avoid a repeat of the addressing their vulnerability to natural haz- devastation caused by the 1976 Tangshan ards. Shanghai, for example, has begun to earthquake, which measured 7.8 on the build a system of public earthquake shelters. Richter scale and claimed at least 242,000 These are located above ground, away from lives. But many officials in countries in Africa, tall buildings, and will have water and power Asia, and Latin America struggle with little supply systems as well as wireless communi- more than out-of-date and incompatible cation capabilities.51 paper maps.48 Implementation can be as crucial as plan- Recognizing the discrepancies in the capa- ning, however, and complex operations such bilities of various warning systems, several as evacuations must be carefully considered. innovative programs are maximizing the assis- When Hurricane Rita threatened Houston

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less than a month after thousands of people private sector, and translate needs upward to in New Orleans suffered through botched the government.54 emergency management, officials in Texas Until that happens, we are at risk of repeat- pledged that they had improved evacuation ing the past. Just hours after the 1906 earth- systems. But with the city depending on most quake struck the San Francisco Bay area, the residents to provide their own means of evac- Oakland Tribune published this statement: “It uation, Houston’s highways proved to be may be a thousand years before there is such hazardous and frustrating: swarmed with traf- another disturbance in this locality, but the fic jams, drivers struggled against serious fuel consequences of this one is an admonition not shortages. The evacuation turned fatal when to repeat the errors of the past.” Nearly 100 a bus caught fire in the traffic jam and 23 years—and countless disasters—later, speak- elderly patients died.52 ing just days after the 2004 Indian Ocean Compare this with the standard experi- tsunami, U.N. Under Secretary-General Jan ence of a Cuban awaiting the approach of a Egeland reiterated the need to learn from hurricane. Three days before the storm is pre- past calamities: “The best way to honor the dicted to make landfall, Cuban forecasters dead is to protect the living. Good inten- issue national warnings and begin to check tions must be turned into concrete action.” 55 state-run shelters. Localized warnings are tar- geted to high-risk areas, and residents—who learn hurricane preparedness in school and Shanghai has begun to build a system practice evacuation drills each hurricane sea- of public earthquake shelters above son—evacuate to shelters within 12 hours of ground, away from tall buildings. the storm’s predicted arrival. Neighborhoods are cleared of debris and houses boarded up, per national legal requirements. Similarly, in Both statements are testaments to the Jamaica volunteers forge the crucial link immense amount of work that remains to be between national warnings and local action by done in order to protect cities from future calling residents on cell phones, checking disasters. As we witness each year, natural dis- water levels, and borrowing vehicles to evac- asters continue to occur, in both expected uate incapacitated neighbors.53 and unexpected locations. Though our Government preparedness alone will not knowledge of and ability to predict natural easily reduce vulnerability and risk, nor will hazards grows constantly, there is much still purely grassroots efforts. The best instances to learn. Our ability to monitor and com- of sustainable risk reduction come through municate these hazards and their effects only effective partnerships and open communica- provides us with a clearer picture of the dev- tion. As American journalist Ted Koppel pro- astation wrought by natural forces around claimed, “we need to begin setting up a the globe, and that information must be network that reaches from the federal gov- communicated in such a way that it inspires ernment to the state level, from the states to action. Maxx Dilley, a geographer with the the cities and townships and from every Disaster Reduction Unit at the U.N. Devel- police, fire and sheriff’s department into each opment Programme, points out that hazard and every neighborhood.” And in the absence information must be targeted to planners of such a network, we need a grassroots ini- and disaster managers: “What you need are tiative that will unite neighbors, involve the planner-friendly common views, as opposed

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to highly specialized scientific papers.” 56 risk because of it. As the population of many cities around • If a city, neighborhood, business, or fam- the world continues to soar, the vulnerabil- ily has not already done so, plan ahead. ity of their infrastructure and inhabitants will Any disaster management and planning grow as well unless measures are consciously done prior to the onset of a natural hazard taken to avoid a “business-as-usual” approach will give those affected a crucial head start to disaster risk management. on recovery. In January 2005, more than 160 gov- ernments and 40,000 individuals met in Disasters can hit cities twice— Kobe in the Hyogo section of Japan for the incapacitating people and the city World Conference on Disaster Reduction, systems that serve them and less than a month after the tsunami that stalling or reversing work toward devastated Thailand, Indonesia, and other nations in the region. At the end on the a better future. meeting they signed the Hyogo Framework for Action 2005–2015: Building the Urban disaster risk reduction goes hand- Resilience of Nations and Communities to in-hand with the aims of poverty reduction, Disasters. The national governments that and it can easily be linked to international signed on are expected to actively work efforts to achieve a better standard of living toward disaster risk reduction and to pub- for the growing number of urban dwellers lish the results of their efforts through the struggling to make ends meet. A central tenet convening body, the secretariat of the Inter- of slum improvements, for example, should national Strategy for Disaster Reduction.57 be the locally appropriate provision of better The Hyogo Framework clearly links dis- sanitation and shelter, improvements that aster risk reduction to sustainable develop- will prevent small-scale natural hazards from ment, stating that disasters “pose a major sparking urban disasters. obstacle” to development goals, especially in Among the myriad other actions that gov- Africa. Many cities have suffered significant ernments, organizations, businesses, and indi- setbacks to development projects and social viduals should set as priorities to reduce programs when disasters destroyed infra- disaster risk are the following: structure or when resources had to be trans- • Foster a “culture of prevention” where dis- ferred to fund recovery efforts. In this way, aster prevention, preparedness, and miti- disasters can hit cities twice as hard—inca- gation are streamlined into all planning pacitating people and the city systems that and budgeting processes. serve them and stalling or reversing work • Direct special attention to the urban poor toward a better future.58 in developing countries—those who are When a natural hazard hits an urban area, most at risk. Focus on efforts that will work disaster does not have to automatically fol- simultaneously toward poverty alleviation low. In many cases, the knowledge and and sustainable development. information needed to understand hazards • Protect and enhance environmental assets and decrease social and environmental vul- as a means of risk reduction. Take cli- nerability already exist. For example, a new mate change and its effects on cities seri- operational framework guides aid agencies ously, as millions of people are already at on how to best incorporate disaster risk

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reduction into housing and settlement communities, and individuals have the oppor- development projects. It recommends ways tunity—and indeed, the responsibility—to to build safe housing, generate income genuinely commit to reducing urban disaster through local risk reduction, make housing risk. With such a commitment, lives can be affordable to the most vulnerable families, saved and property protected. and develop financial tools to sustain the aid Efforts to increase disaster resilience should agency itself.59 begin at home, but they cannot end there. As cities swell in size, converting such Effective urban disaster risk management information into mitigation, prevention, and hinges on advocacy for risk awareness, good preparedness projects will have significant governance, proper technical and commu- benefits for city officials and for the residents nication infrastructure, and the empower- they serve. Governments, the private sector, ment of all those who are at risk.

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: CITYSCAPE JAKARTA ------River Management

When water levels in the Ciliwung River feed the rivers has increased flooding pres- begin to rise, residents in flood-prone districts sures, water quality has also become a serious in Indonesia’s capital, Jakarta, brace for the problem. With 14,000 cubic meters of house- coming disaster. As water gates in Depok and hold garbage and 900,000 cubic meters of Manggarai reach capacity, those who have industrial waste emptied into Jakarta’s rivers been warned gather their belongings to higher each year, and with riverfront inhabitants ground, where they wait out the flood on using it for laundry, bathing, and their own second stories and rooftops. Trash from pol- human waste, the Ciliwung has been called luted rivers and diseases, including diarrhea the “longest toilet on Earth.” 3 and fever, spread rapidly with the rising flood- The Ciliwung crosses several jurisdictional waters. People living in riverbank slums suffer borders, beginning its 117-kilometer journey the worst consequences: floods could spell in the highlands of Bogor before winding the loss of their homes or even their lives. its way down to the ocean. Much of the This scenario is all too common in Jakarta’s increased runoff is due to development in the 78 zones regularly affected by flooding. With high altitudes of Bogor, Puncak, and Cianjur. 40 percent of its land below sea level and 13 In some areas, flooding is most pronounced rivers flowing through it, this city of 8.4 mil- when heavy rainfall occurs in these upstream lion people on the marshy northern coast of areas, even when skies are clear in the capital. Java has long struggled with floods. Neighbor- In 2005 the Jakarta government offered to hoods such as Kampung Melayu, Jatinegara, help neighboring districts improve river man- and Cawang experience yearly inundation— agement and protect water catchment areas often just a few feet, but sometimes as deep that soak up rainfall and prevent erosion.4 as several meters. According to one riverbank Several major initiatives to improve urban resident, who works in a small kiosk in front river management are now under way. In of his house, “many people prefer to live here 2004, the Department of Public Works began even though they must evacuate at least twice construction of a 24-kilometer canal known a year.” 1 as Banjir Kanal Timur to act as a floodplain The problems have intensified with rapid for the city’s northern and eastern sections. urbanization and development. Construction The Ministry of Forestry has begun rehabili- along the riverbanks has destroyed native tating 17 river catchment areas across the vegetation in many areas, leading to erosion islands of Java and Sumatra as part of its and silting of the riverbeds. As a result, sec- $1.6-billion reforestation program, including tions of the Ciliwung, the city’s largest river, key areas surrounding the Ciliwung. An have been reduced to a fraction of its original improved early flood warning system and width and depth. And as more area is covered emergency response plan is being developed by cement and asphalt, less rainwater is able to for the Ciliwung and Cisadane Rivers. Com- seep into the ground, so it runs into the river. munity groups are involved in reforestation In 2002 Jakarta experienced the worst floods and preservation of undeveloped land in areas in recent history; they affected over half the such as the historic Condet district of Jakarta; city, forcing some 300,000 people to flee others have volunteered to scour sections of their homes and leading to at least 30 deaths.2 the Ciliwung for trash, to demonstrate the While deterioration of the watersheds that importance of keeping the river clean.5

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STATE OF THE WORLD 2007 Cityscape: Jakarta

Accion Contra la Faime

The Indonesian a location for government estab- decades. Com- lished a partner- munity groups ship with Dutch charge that counterparts in all too often 2002 to devise informal settle- an “integrated” ments are simply river manage- destroyed and ment plan to Flooding in Kampung Pulo that residents , Jakar address flood control, water ta, in January 2006 are frequently quality, and the social issues related to river- abused by secu- bank encroachment. The Dutch government rity forces in the process, displacing thousands has helped finance projects to map the bor- of people without providing viable alterna- ders of the Ciliwung, reconfigure human tives. In Muara Angker, local fishers orga- settlements and public spaces near the rivers, nized to oppose their proposed resettlement, and improve water quality through better claiming that officials turned a blind eye to waste management.6 the real culprits—upscale apartment com- The Bidara Cina neighborhood, which had plexes and golf clubs built in adjacent areas.9 benefited from the internationally recognized Having only just emerged from three Kampung Improvement Program to improve decades of authoritarian rule and a rocky living conditions in low-income urban neigh- transition period, Indonesian citizens still borhoods, is now the site of a pilot project to mistrust the government, and corruption test the new river management scheme. This remains a serious problem. Many community has introduced dikes, roads, sanitation facili- organizations question the sincerity of the ties, and improved drainage systems. Efforts government’s commitment to achieving an to move residences away from the banks of integrated solution. They claim that the gov- the river have met with less success, however.7 ernment inconsistently enforces and imple- Low-income settlements along the rivers— ments the river management plans by focusing often singled out by officials as a source of on informal settlements and domestic sources riverbank encroachment and pollution—are of pollution rather than on commercial con- commonly most affected by floods. Although struction and industry polluters, which provide the government budgeted $45 million in government revenue. Groups also maintain 2005 to develop low-income housing, this that participatory processes intended to foster number falls far short of what is needed. Relo- trust and bottom-up approaches are domi- cation has proved to be highly contentious, nated by elite members of the community and as residents question compensation levels and that the large-scale, high-cost projects bring the housing alternatives offered. Many urban opportunities for corruption. Given the slow poor are not eligible for compensation rate of progress, it is no surprise that many because they lack official land rights and legal Jakartans remain skeptical.10 residency status.8 —Biko Nagara In some instances people receive eviction International Policy Studies, orders at short notice, despite having lived in Stanford University, Stanford, CA

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: CITYSCAPE MUMBAI ------Policing by the People

Mumbai has the distinction of having almost central thought, in 2003 Roy and the NSDF half its population of more than 12 million launched the slum panchayats in Pune, 170 living in slums or informal settlements. Today, kilometers southeast of Mumbai, where Roy these very slums are pioneering a new con- was Police Commissioner at the time. The cept: policing with people’s involvement.1 first slum panchayats in Mumbai were estab- Commissioner of Police A. N. Roy says lished in October 2004.4 that slums do not get the attention they A slum panchayat has 10 members: 7 deserve from any part of the government, women and 3 men. In addition, the local including the police. “Do we assign 50 per- “beat cop”—the police officer assigned to the cent of our resources to policing slums even area by the local police station—also becomes though they make up half the population?” a member. Roy believes that women are bet- he asks. He also points out that the majority ter equipped to deal with disputes than men, of crimes do not take place in slums. Most which explains why women are in the major- of the complaints registered with the police ity in the panchayat. Jockin concurs: “We felt are not offences that would come before a if women were involved, this would not just court—minor scuffles and disagreements, empower them but also bring about an attitu- often over things like the common water tap, dinal change in the community.” He adds or a fight between children, or a drunken that NSDF and its alliance partner, Mahila husband beating up his wife.2 Milan (Women Together), chose the mem- Roy believes that policing needs to be bers of the panchayat to ensure that they customized, which led him to the idea of were viewed as credible and approachable.5 slum panchayats—a Hindi word for council Each panchayat covers a population of of five respected elders chosen and accepted roughly 10,000. Every member of the pan- by a village to take decisions on key issues. As chayat is given an identification card. The slum dwellers needed ways to handle minor panchayats have the authority of law and offences, and as the police do not have the moral authority in the community. Roy notes resources to fully meet this need, he thought that they really are in a position to resolve the best solution was to get slum dwellers to disputes, many of which are not crimes but devise their own policing. could become so if they were not resolved.6 As Roy considered what should be done, Thirty-four-year-old Malti Ambre is a he met with A. Jockin, president of the member of the slum panchayat in Mankhurd, National Slum Dwellers’ Federation (NSDF). a northeastern suburb of Mumbai. This Together they came up with ideas on how to mother of three, who has studied only up to involve the community. The police, Jockin grade seven, says that the panchayat in her says, were generally unresponsive to the issues area has reduced petty crimes “hundred per that concerned slum dwellers. They were also cent.” Proudly displaying her identification particularly indifferent to women’s concerns card, Ambre says that the presence of women and often refused to entertain complaints has made a difference because “women are brought to the police station by women.3 at home for 24 hours and they know what is “We felt we should find a way to involve going on in the slum.” One of their main women in this attempt to change the policing achievements, she says, is closing down the system in slums,” says Jockin. With this as a illicit liquor dens despite resistance from the

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STATE OF THE WORLD 2007 Cityscape: Mumbai

REUTERS/Punit Paranjpe

Mumbai slum dw ellers involved in dail men and even from y chores some of the local police. “Our men would drink away all they earned at these dens and palpable. This is more important than crime then come home and beat up their wives,” statistics,” says the Police Commissioner.9 she says.7 The other important “collateral benefit,” Explaining how the panchayat works, according to Roy, is the change in the atti- Ambre says that they summon both sides tude of the slum dwellers toward the police. involved in a dispute, listen to both points of This has happened because both sit at the view, and then work out a compromise. They same table, unlike in the past, when the slum also explain to those involved in the dispute dwellers would have to plead with the police the benefits of reaching a settlement in the to register their complaints. The panchayat panchayat instead of registering an official has also made the police realize that more complaint with the police. The latter would effective policing was possible through such involve a great deal of expense, as the matter collaboration. Roy adds that without the would go to court and would take much active participation of groups like NSDF, more time to settle. Most of the complaints the slum panchayat would not work. In that come to the panchayat have to do with addition, notes Jockin, the panchayats have minor disagreements between people or shown how community women can change within families.8 the policing system.10 In 2005, the police and the nongovern- “One test of success,” says Roy, “is that mental groups involved in this experiment some of the slum women call me directly. took stock. “All the panchayats were not The confidence they now have is one of the functioning effectively. In fact, out of 131, biggest successes. This is democracy working only 81 were working well,” admits Roy. In at the grassroots. The panchayats should the more efficient ones, however, the number function like people’s committees. The police of offences registered with the police had should just facilitate.” 11 declined noticeably. “There is general har- —Kalpana Sharma mony in the community and the difference is Deputy Editor, The Hindu, India

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CHAPTER 7

Charting a New Course for Urban Public Health Carolyn Stephens and Peter Stair

Unoma is nine years old. She lives in Asaba, For a tiny minority, cities and towns are places Nigeria. Her home, next to the River Niger, of long life, health, and, for some, luxury. But is one small room in a low-income settlement for the majority, cities are places that they shared with her unmarried aunt and five other hope will give them and their children better girls. Four other families share the house. opportunities—yet often they find only pol- Unoma and her neighbors have no access to lution, disease, and insecurity. clean water and no toilets. She does not go to The future of our planet now seems irrev- school. Unoma begins her 15-hour day at ocably urban, and we need to be sure that this 6:00 a.m. cleaning the house. She then spends urban life is healthy, equitable, and sustain- the day selling food she has prepared—carry- able. Charting a healthier course for cities ing up to five kilos of fufu on her head all day. will require planning with a people-oriented After selling for nine hours, she returns to col- view. It will require creative local governance lect water for the house and cook. She collects to harness the human and environmental 300 liters of water from a borehole and finally resources of a city, and urban communities goes to sleep at 9:00 p.m. She is always very bold enough to resist the momentum of tired and often gets ill. But Unoma still hopes many currently destructive trends. This chap- to go to school one day.1 ter discusses the public health challenge of For millions of young people just like urbanization. It looks at existing health prob- Unoma all over the world, cities are places of lems in cities and reviews some innovative hope and growth, but also despair and death. solutions to them.

Carolyn Stephens is a senior lecturer in environment and health at the London School of Hygiene & Tropical Medicine and a visiting professor in the Federal University of Paraná in Brazil. Peter Stair, a for- mer MAP Fellow at Worldwatch Institute, is a Master’s candidate in the Department of City and Regional Planning, University of California–Berkeley.

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The Health Challenge Victorian Europe. These are places unable to draw in enough fresh water or to channel of Urbanization excrement away safely. People live in dilapi- The earliest city dwellers had difficulty with dated, intensely crowded homes. They have their new urban home. Tuberculosis, typhus, little access to health services, and few are able bubonic plague, and smallpox arose in many to get the education or jobs that could take early cities. People often lived shorter lives on them out of their situation. Although cities average than their rural ancestors. For exam- have gained a reputation as healthy places to ple, evidence suggests that people during the live, the urban poor very often have higher Stone Age lived longer than those in ancient rates of infant deaths and under-five mortal- Rome centuries later. Likewise, the rapid ity than their rural counterparts. (See Box 7–1 growth of European cities during the mid- on the myth of the healthy city.)3 1800s was hard on people’s health. There is In poorer countries, only an urban minor- some evidence that life expectancy in London ity lives in healthy living conditions and has then was lower than in the rest of England.2 access to good health services, education, Today, as people move into low-income and employment. In some towns and cities in settlements vaster and denser than ever before, Africa, Asia, and Latin America, up to 80 they are struggling to prosper in environ- percent of the population lives in extreme ments at least as challenging as the cities of poverty—with all that this implies in terms of

Box 7–1. The Struggle to Collect Good Data on Health in Cities

The myth of the healthy city has been linked tlements with fewer than 500,000 inhabitants, for decades to a problem of data aggregation— and we still know little of the health situation in where total health statistics are sometimes pre- smaller towns and cities internationally. sented for cities with populations greater than In every town and city, data that have been those of nation states. Megacities suffer particu- broken down by income group tell a different larly from a problem of super-aggregation, in story of urban health—it is the tale of urban which health data on the whole city tell only inequality. Within cities and towns, disaggre- part of the story. Each city’s health will depend gated data show that there are inequalities in on a range of contextual factors, just as a living conditions and in access to services such national health profile does. as health, water, and sanitation. There are also A key predictor is often the overall state of inequalities in access to education and work. “development” of the city—measured in pro- Thus it is hard to generalize about urban health portions of people with clean water, sanitation, profiles, as each city and town may have a dis- adequate housing, and access to health measures tinctive pattern of development and distribu- such as vaccination and primary care. Thus a tion of resources. Even a rich town in a rich megacity with a large proportion of people liv- country may have sharp inequalities that affect ing in poverty will have a health profile that health drastically—for example, a classic study reflects the profile of these people. However, in New York found that black men in Harlem there is another problem: megacities account were less likely than men in Bangladesh to for only about 9 percent of total urban popula- reach the age of 65. tion of approximately 3.2 billion citizens. Just over half of the world’s city dwellers live in set- SOURCE: See endnote 3.

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STATE OF THE WORLD 2007 Charting a New Course for Urban Public Health living conditions and health. (See Box 7–2.) In wealthier countries, where most people Box 7–2. Cities Out of Balance have adequate living conditions, urban inequalities show themselves in social out- Both historically and today, the biggest toll comes such as educational attainment and of urbanization has been concentrated employment and in health outcomes related on the poorest residents of a city. In the to social inequality, such as violence. But in absence of amenities such as spacious poorer countries, urban areas often have the housing, flushing toilets, running water, and regular garbage collection, shantytown worst of all worlds—contaminated air, land, dwellers around the world spend their and water; deep poverty; and a health profile days maintaining cramped homes, walking that includes both the infectious diseases of long distances to a menial job, accepting deep poverty and the so-called diseases of contaminated water when they have modernity (obesity, cancers, and heart dis- to, and living day-to-day in some of the ease). In these cases people carry a “double planet’s least secure and dirtiest neigh- burden” of disease that poses an even more borhoods. daunting challenge for human health on an Often they must also tolerate sharp inequalities of wealth and influence that urban planet.4 seem to keep the whole city out of The poorest people in these countries balance. Residents of villas de emergencia sometimes include previously isolated indige- in Buenos Aires, for example, are com- nous rural peoples who have been forced off pelled out of desperation to inhabit the their land into the worst areas of towns and notoriously polluted banks of the Recon- cities. These communities have lost their way quista and Matanza Rivers, which smell of life and often are forced into the most nauseating and are “overrun with rats, marginalized roles in cities. Their health indi- mosquitoes, flies, and other insects.” Less cators can be the poorest among the poor. than a mile away, right on the edge of another shantytown, some of the wealthi- For example, indigenous San communities est residents of the city live in gated com- in Botswana who have been moved off their munities of lawns, swimming pools, and traditional lands into resettlement camps in security guards. isolated towns face multiple challenges to One effect of living in such unequal their health and well-being. Their environ- societies is that the poorest people must ment plays a vital role in their identity and way live in environments that concentrate of life as an indigenous community; radical hazards and multiply health problems. In changes in that environment destroy the Dhaka, Bangladesh, for example, the wealthy social structure of communities at the same can afford to buy land at prices inconceiv- able to most of the city’s population.As time that members are forced into main- a result, 40 percent of the people are stream society at the bottom of the social crammed onto just 5 percent of the land and economic hierarchy, vulnerable to alco- area. Some of the most desperate of these holism and HIV/AIDS. The San are the only settlers, victims of eviction or floods else- language group in Botswana whose Human where, live on a ledge precariously Development Index score, as calculated by the situated between a toxic factory and a U.N. Development Programme, fell during poisoned lake. the 1990s.5 Both the physical and the social environ- SOURCE: See endnote 4. ment of cities and towns today affect urban

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health. The overall quality of the urban envi- Although undernutrition is generally con- ronment is important for health, and so is the sidered to be a rural problem, the urban extent of inequality within an urban envi- poor—forced to pay high prices for food ronment, as just described. Some problems of shipped into the city, and often unable to the urban physical environment, such as ambi- grow their own food—can often have the ent air pollution, may affect almost every- most difficulty obtaining enough nutritious one in a city. Other problems, such as food. This has major impacts on urban contaminated water, indoor air pollution, or health—particularly for children. A recent lack of sanitation, may disproportionately analysis of child health in 15 countries in affect some groups more than others. (See sub-Saharan Africa found that differences Chapter 9.) Urban violence may also affect in child malnutrition within cities were some urban dwellers more than others. Rapid greater than urban-rural differences and urbanization in most cases exaggerates these concluded that these were a major prob- problems, as cities are unable to build enough lem for the region.8 infrastructure and provide enough jobs for an influx of migrants, many of whom may be In poorer countries, urban areas fleeing war or drought. often have the worst of all worlds— Today, the lack of facilities to provide clean the infectious diseases of deep water and adequate sanitation are major prob- lems—with huge health repercussions. (See poverty and the so-called diseases Chapter 2.) Largely due to contaminated of modernity, a “double burden” water and poor sanitation, digestive-tract dis- of disease. eases are a leading cause of death in the world and a major urban health problem.6 Deficiencies of calories or protein are not Crowding is another major health hazard the only food-related problem faced by the for the urban poor. People in low-income urban poor. The cost of importing fresh raw settlements often live in highly crowded fruits and vegetables from rural outskirts can homes, with four or more people per room, be high, and for working women and men, often shift-sleeping and with many children street foods are more available. These food per bed. Contact-related diseases such as sources create their own health risk, with bio- measles, tuberculosis (TB), and diarrhea are logical contamination a frequent cause of par- all linked to living in crowded environments. asite infestation and diarrhea. Also, dense Notably, some richer cities have such deep fatty, sugar-rich, and salty foods can often be pockets of disadvantage that diseases related a more economical—or more readily avail- to poverty and crowding have re-emerged able—source of calories. In urban health during periods of increased inequality within terms, however, this has impacts on malnu- the city. A study looking at TB in New York trition too: obesity now ranks alongside under- from 1970 to 1990, for example, found an nutrition in many urban areas, with risks of increase in childhood TB in the period and diabetes and cardiovascular disease becom- that children living in areas of the Bronx ing more common in many towns and cities.9 where over 12 percent of homes are severely Cooking food properly can decrease the overcrowded were 5.6-fold more likely than risks of biological contamination. But some children in other New York neighborhoods cooking methods can also lead to another to develop active TB.7 urban health hazard. Both rural and urban

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STATE OF THE WORLD 2007 Charting a New Course for Urban Public Health poor families often cook with biomass or and coal) in millions of homes can contribute coal-burning stoves without proper ventila- to ambient air pollution. In developing coun- tion. This creates a major threat to health, par- tries, this domestic pollution combines with ticularly for mothers and infants. In urban the greater cocktail of coal-burning industries, areas, however, crowding combines with use diesel trucks or cars, and small, two-stroke of these stoves in poor settlements. The health motorcycles. Globally, urban air pollution is impacts are huge. The World Health Orga- estimated to kill 800,000 people each year. nization (WHO) estimates that indoor air Notably, about half of these deaths may occur pollution created by stoves that burn solid in China.11 fuels is responsible for 1.6 million deaths and Urban industries do not simply pollute 2.7 percent of the global burden of disease— the air—they often contaminate the land and many of them affecting the urban poor.10 water of the city. This can create a paradoxi- The industries that power urbanization cal kind of urban development: an immedi- also create quantities of air pollution in con- ate economic benefit, but at great expense for tained population centers. (See Table 7–1.) the health of current and future residents. As And the combustion of solid fuels (biomass with other urban health problems, pollution

Table 7–1. Air Pollution Types and Effects and Urban Pollution Hotspots

Air Pollutant Description Health Effects Hotspots

Large suspended Soot from combustion; Can enter lungs and irritate Northern cities in China, particulates soil from erosion bronchi which rely on high-sulfur (PM 10) coal for heating and industrial processes Small particulates By-product of burning Smaller particles penetrate more Northern cities in China (PM 2.5,especially sulfurous coal and deeply into lungs, causing asthma sulfur dioxide) diesel fuels and bronchitis; tied to some cancers; can contribute to smog formation Carbon Incompletely If concentrated in contained Along roads during monoxide combusted fuel area, can cause asphyxiation rush hour in car-reliant, high-altitude cities, during winter Nitrogen oxides Atmospheric nitrogen Reacts with VOCs (and carbon Car-reliant cities during oxidized during monoxide) to form ozone, hot summers high-temperature which irritates eyes and respira- combustion tory tracts and increases preva- lence of asthma Volatile organic Evaporated or incom- Often the limiting component Urban areas crowded compounds pletely combusted fuel; of ozone formation; benzene with older car models (VOCs) evaporated solvents, causes leukemia paints, adhesives Lead Combustion of gaso- Debilitates cognitive functioning African cities where lead line with added lead is still commonly used to increase octane

SOURCE: See endnote 11.

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impacts may be worse for the poorer people 2000. In some cities, these are the main cause who both live around and work in these of death for young people, followed by urban industries—in both rich and poor countries. violence.13 The urban poor may get work—but at what In many cities and towns of Africa, Asia, risk? Bhopal in India was perhaps the most and Latin America, “modern” diseases such notorious example of this kind of urban haz- as asthma, heart disease, and cancer are arriv- ard and inequality: in 1984 more than 40 tons ing in places that have yet to fully get a han- of methyl isocyanate gas leaked from a pesti- dle on “old” diseases such as tuberculosis, cide plant, immediately killing at least 3,800 cholera, and diarrhea. Figure 7–1 illustrates of the city’s poorest people and causing sig- the double burden of disease brought by nificant morbidity and premature death for dirty industrial development and polluting many thousands more. Not only does this motor vehicles in Kolkata, India. Up to 40 kind of urban industrial development often fail percent of people still live in poverty, but the to move people out of poverty, it can harm route to development is sought through thousands of lives over the long term.12 highly polluting industries, and providing In many areas, poorly planned urban trans- basic services to millions of people remains a port systems are another paradoxical urban dream. The Figure shows the cause of death development. They can increase commerce by age—demonstrating, albeit crudely, that and the accessibility of jobs, but if they rely if people in Kolkata survive the insults of on motorized movement they can also pro- contaminated water, they live on to experience duce other health hazards. Motorized forms the severe risks of highly contaminated air. of transport cause ambient air pollution and This “double burden” is particularly exag- contribute to a massive toll in road traffic gerated in unequal cities in Africa, Asia, and crashes. WHO estimates that each year about Latin America, where affluent people are 1.2 million people around the world die 16 as a result of road traf- Source: Stephens 1999 fic crashes, and perhaps as many as 50 million Diarrheal disease more are injured. A 12 Asthma, bronchitis, emphysema study in Kumasi, Ghana, found that in Age Group pedestrian road traffic 8 crashes were the single

largest cause of injury Mortality in the town. Even in cities in conflict, such 4

incidents are an impor- Percent of tant cause of death by injury. In Maputo, 0 Mozambique, road <5 5–14 15–24 25–34 35–44 45–54 55–64 65+ traffic crashes were the Age at Death biggest cause of fatal Figure 7–1. The Urban Double Burden of Disease in injuries reported in Kolkata, India

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increasingly dealing with expensive modern fourth causes of hospitalization in Brazilian maladies such as diabetes and heart disease cities. This makes trauma treatment a top while lower-income people are still plagued priority for urban health services in this coun- by undernutrition and infectious disease.14 try and challenges health systems that are There is another risk in cities that is not generally better prepared for infectious or easily addressed with simple interventions chronic diseases.17 such as improved living conditions or infra- The fear of violence can also be a signifi- structure: urban violence, which is in epi- cance hindrance to mental well-being. Long- demic proportions in many cities both North term anxiety, stressful life events, lack of and South. In some cities violence has actu- control over resources, and lack of social sup- ally started to reverse overall trends of health port are all key preconditions for depression. improvement, particularly for young people. Poor women in cities are often the most vul- For example, a longitudinal study looking at nerable group.18 trends in mortality for 15–24 year olds in Of all the urban challenges to public health São Paulo and Rio de Janeiro from 1930 to in the future, perhaps the one that will affect 1991 showed a steady improvement in ado- more people than any other is global climate lescent health until the 1980s, when death change. More frequent and extreme droughts rates started to rise again due to violence. are likely to test cities’ ability to provide ade- The death rate due to violence can be up to quate food and water. More-intense floods are 11 times higher for young people from the likely to destroy the precarious housing ubiq- poorest communities than for youngsters uitous in slum areas and to increase outbreaks from a wealthier community.15 of waterborne diseases. Fatally strong heat waves are likely to become more frequent, In some cities violence has while tropical diseases are becoming viable further from the equator and higher up moun- actually started to reverse overall tains. Cities such as Nairobi and Harare, once trends of health improvement, located strategically beyond malaria’s reach, are particularly for young people. likely to lose their favorable position.19 Higher temperatures that many scientists In Brazil, urban violence takes an enor- associate with climate change have already mous toll on poor young men in terms of both had an impact on mortality rates in cities. In mortality and morbidity: death rates from Chicago, 700 people died in a matter of days homicide in Brazilian state capitals in 2003 for during a heat wave in 1995. In the summer young men aged 20–24 was 133 per 100,000. of 2003, the toll was far higher: the deaths This means that 1 child in every 1,000 will be of more than 52,000 people in Europe were a victim of homicide in these cities, a rate tied to the record-breaking heat in many higher than that of any childhood cancer. The countries there. In cities, the stress on peo- United States has a similar problem, with vio- ple’s health from the unprecedented heat lence affecting principally economically dis- was no doubt aided by the “heat island advantaged young urban men from ethnic effect”—the higher temperatures experi- minorities, who are disproportionately repre- enced in urban areas everywhere due to the sented in jails and in homicides.16 concentration of buildings, paved areas, and Injuries related to traffic accidents and other infrastructure and the waste heat from violence are now respectively the second and cars and factories. (See Chapter 6.)20

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Why does it matter if there are all these standing of infectious disease and improved health problems in cities when urbanites sup- sanitation systems were linked to a gradual posedly have the best access to medicine? end to outbreaks of cholera, while improve- There is one pervasive health myth about ments in London’s housing conditions towns and cities that decades of research does between the 1830s and 1920s brought a sub- not seem to shift—that people might get ill stantial decline in the number of deaths from in urban areas but at least they have access to tuberculosis.22 health services. Technically, this is true: there By improving the road system and rail are more health services concentrated in connections, introducing more extensive towns and cities than in more geographically refrigeration, and improving agriculture, dispersed rural areas. Hospitals are also usu- clean and healthy food became more readily ally found in cities—which should mean that available in cities like London. Death rates urbanites have access to emergency and spe- from typhoid, which spread via contami- cialist care when they need it. nated food, fell dramatically between 1840 Yet the evidence suggests that the urban and 1900. Over the same time, cities devel- poor have little access to even basic health care oped more professional and standard sys- at public facilities when they need it and that tems of garbage collection, as London’s preventive programs such as vaccination are municipal government finally identified city- not reaching these people. Studies in India, wide garbage collection as a fundamental for example, suggest that while “60% of the task for a healthy city.23 children aged 12–23 months in urban India Today, children born in urban areas of are fully immunized; coverage among urban Europe, the United States, New Zealand, poor children is a dismal 43%.” The urban and Japan will see a doctor as soon as they poor also are more likely to use private health need to if they fall ill. They are more likely to services than public ones—having no choice be vaccinated against diseases such as measles, but to use their hard-earned resources to pay polio, mumps, and rubella, and as they grow for illnesses created by the dense, polluted up they are more likely to live in adequate environments they are forced to live in.21 housing, go to school, and find work that is not hazardous. They have a better chance of The Move Toward surviving past the age of five. And as they become adults they will have better access to Healthier Cities medical facilities in the case of illness.24 While urban living has the potential to During the twentieth century, people liv- immerse people in a dense array of hazards, ing in cities have not had to repeat the entire it is also true that wealthier cities like London, experience of dirty industrialization. There is Berlin, and Tokyo—once home to the world’s some evidence that Latin America accom- least healthy living conditions—have achieved plished an urban epidemiological transition historically unprecedented qualities of life. A over a much shorter period of time through combination of improved housing condi- a combination of preventive health interven- tions, better nutrition, cleaner food, and new tions such as vaccination, some public health medical treatments brought a significant and infrastructure, and macroeconomic improve- constant decline in death rates across England ments that provided jobs and put food on and the United States, and then France, Ger- poor people’s tables. The more urbanized many, Italy, and Japan. Better scientific under- the country, the faster mortality rates fell.25

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But facilitating a similar transition for all in urban plans and actions. Inequalities may urban dwellers, even as it is under way today, also lessen when health is used as a criterion is still a daunting challenge. Moreover, macro- to establish priorities for urban policy. In economic changes can affect urban peoples’ Kolkata, India, for example, an environment lives very quickly and can be beneficial for the and development plan was based on health pri- urban poor or not. Fundamentally, city orities and on a consultation weighted toward dwellers everywhere rely on the macroecon- the views and needs of the poorest citizens. omy for their well-being, and shifts in national This did not change the city overnight, but it prosperity can be felt more sharply by the gradually put the needs of the urban poor on urban poor due to their profound depen- the policy agenda. There are also many suc- dence on the economy for everything from cessful stories of self-help in water and sani- access to food to education and work. The tation—where health and city equality have movement of a major industry from one loca- both improved when local governments work tion to another can change conditions pro- with local people. (See Chapter 2.)27 foundly: it can provide jobs and better living Donors, too, who are seeking to help the conditions for people in one city, while those urban poor can better support health by lis- left behind in another city can see a drop in tening to them. Looking for a set of best their living standards and well-being. practices, the World Bank embarked on an institute-wide analysis of 45 participatory Asking the most disenfranchised urban development programs in the 1990s. The final report concluded that community people in any city about their participation was absolutely essential for any priorities can stimulate change in slum upgrading projects. The authors noted almost all urban health problems. that the people who must move their homes to make way for roads, public spaces, and It may be that trends in macroeconomic sewage lines “must be involved in the deci- inequality will have severe effects on the urban sion making process if they are to cooperate poor. There is some evidence of this from two with it.” The report further concluded that very different contexts: Studies in the United community participation was “the single States looking at trends in mortality between most important factor in overall quality of the 1970s and 1990s found that African project implementation—efficiency, effec- Americans living in cities experienced tiveness, timeliness, responsiveness, and extremely high and growing rates of excess accountability.” 28 mortality compared with rural and wealthier In some countries, such as Brazil, recent communities. A similar study in five African local and national government strategies have countries of rising death rates for children systematically supported governance and bud- under the age of five between the 1980s and get setting that gives priority to the needs of 1990s found that in Zimbabwe the increase the urban poor and that puts public services was largest among urban children.26 high on the overall agenda. (See Chapter 9.) In this context, what can we do to encour- Local government support to the efforts of age the move toward healthier cities? There is low-income city dwellers can have effects on evidence that urban inequalities decrease when a surprising range of health challenges. In local governments listen to low-income resi- Ilo, a small port town in Peru, for example, dents and when such individuals are included air pollution policy finally got on the agenda

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when communities were included in debates here, too, young people have come up with with the local mining company, and access to an answer. In 2006 Alex Roberto and his public services increased dramatically as com- friends from a poor neighborhood in the city munity concerns were included in local plan- made a film about “the ignored society,” ning and budgeting. Green spaces increased, conveying to the city government their vision water contamination decreased, and sustain- for a healthier city. In this film, the young peo- able development gradually rose in impor- ple asked their city to listen to the people of tance on the agenda. The mayor during this the poorer communities—not to ignore their period noted that Ilo’s people and their mobi- part of the urban world, but to include them lization put the environment, poverty, and in the vision of this beautiful city.31 equity high on the agenda—all themes that Asking the most disenfranchised people in affect urban health.29 any city about their priorities can stimulate It is not just inequalities in the physical change in almost all urban health problems. environment of cities that can be improved Their solutions are often the cheapest and with more involvement of citizens. It is most appropriate ones in particular situa- notable that some of the most intractable tions. Involving the poor can also reveal problems of urban inequality—such as urban health problems—and solutions—that most violence—are often only tackled in this way. planners have never thought of. A 1997 It is young people who are most affected by study that asked homeless women in Kolkata urban violence, and the urban poor are often about their greatest health threat, for in constant threat of violence—either from instance, revealed an enormous burden of young people in other poor areas or from the urban sexual violence. One intervention that police. Interestingly, young people them- the women really valued was some light selves often have the solutions. For example, around the water posts and toilet blocks to young men from one of the most difficult illuminate the unsafe areas at night. Both favelas of Rio de Janeiro started a musical the issue and the solution would not have alternative to drug gangs, eventually spread- occurred to city planners had they not asked ing their combination of music and education the advice of the women who were the least to other favelas and starting a health educa- heard in this vast city.32 tion program for young women and men.30 Film and music can often engage young Old Stories and New Solutions people in these towns and cities in ways that more conventional approaches cannot. And We know that many of the solutions applied stories can be told from the perspective of by urban planners in the past would alleviate young people who feel that their lives are a good deal of the health problems of today’s ignored. Health lessons can come through towns and cities. But now, perhaps for the first this, while shared visions are exchanged. time, we are also aware that urban systems and Inequalities exist in even one of the world’s structures need to be environmentally sus- most famous new cities: Curitiba, Brazil. tainable if we are to secure the health of peo- Touted as a healthy, social, and sustainable ple living in cities in the future. Sustainability, city, Curitiba has achieved world fame for its as we now know it, is something that the vision. But it is also home to thousands of urban planners of the past did not think of as people living in favelas, and like other cities they pursued industrial development. Fortu- it is affected by violence and drug wars. Yet nately, there are some ways cities can be both

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STATE OF THE WORLD 2007 Charting a New Course for Urban Public Health healthier and less environmentally destructive. provide cheap, reliable nutrition, as well as an Perhaps the first sustainable challenge is to extra source of income for the poorest resi- make a city that breathes life and does not dents. Urban agricultural systems are also consume more than it needs. Plants are vital often the cheapest way to handle sewage to this—whether they exist within urban wastes, which can provide a nutrient-rich boundaries or not, they are a vital part of a source of irrigation water as long as care is city’s metabolism. They provide the food taken to eliminate pathogens that pose a risk that replenishes cities. They produce the to health. In wealthier countries, commu- oxygen people breathe and they filter the air nity gardens are a cheap way to improve and water fouled by cities. In many cases, they ruined properties and to foster community absorb much of the organic waste that cities cooperation. (See Chapter 3.) dispose of. Plants, and large trees in particular, can also There are health benefits to ensuring that improve urban air quality. Plants naturally urban areas contain more of the plants they absorb pollutants such as nitrogen oxides, need within their own borders. In cities, carbon monoxide, and ozone, and their leaves plants can absorb air pollution before it does can filter dust and particulates from the air. harm to people, reduce the heat island effect, Moreover, because trees can shade the asphalt filter sullied water before it enters a stream or and pavement that contributes to the urban river, help dispose of sewage before it poisons heat island effect, they can help lower the other ecosystems, and even help ensure a temperature of a city and, with it, reduce the continuous supply of fresh food—all at a rate of ozone formation. potentially low cost. Greening a city can thus Although trees can only filter out a small reduce the ecological footprint of its resi- portion of the pollutants released into large dents while also improving their health. cities, the effect of an entire municipal forest Unfortunately, most cities around the can add up. The trees in New York City, for world are reducing the amount of green example, remove about 1,821 tons of air pol- spaces within their borders. Cities in the east- lution a year, providing a value to society of ern United States, for example, have lost 30 about $9.5 million. A computer simulation in percent of their tree cover over the last 20 Atlanta, Georgia, found that a 20-percent years. Buildings and roads take priority, mak- loss of the city’s urban forest cover would lead ing some areas into “pavement ecosystems” to a 14-percent rise in ozone concentrations. that are even more lifeless than deserts.33 The U.S. Environmental Protection Agency Different species of plants can bring has suggested urban tree planting as a way to diverse benefits to urban areas, but crops reduce ozone formation in cities that are out such as tomatoes, carrots, and lettuce have of compliance with ozone standards.34 the most obvious value for people. Fresh Some evidence suggests that urban trees vegetables and fruits are essential for pro- and green space can also help decrease vio- viding people with enough vitamins and lence in a neighborhood. A study of police fiber, yet the cost of maintaining their fresh- records in Chicago found that after randomly ness en route from rural areas is often more assigning people to live in 98 different apart- than poor residents can afford. ment buildings with varying degrees of veg- Urban agriculture can be one of the most etation surrounding them, the greener the effective ways to improve health in a variety apartment block, the fewer crimes were of urban areas. Food harvested in cities can reported—both property and violent.35

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Availability of green space is also linked to more economically developed, the automobile urban equity. In Bogotá, Enrique Peñalosa becomes the main source of deterioration of made the provision of green public spaces the quality of life.” Cars become the least one of the centerpieces of his administration controllable air polluters. Wide, fast, and dan- when he was mayor. “With economic devel- gerous roads are “like fences…making the opment lower-income groups get goods city less humane.” And cars demand, “unlim- which once seemed inaccessible to them,” ited investments in road infrastructure, which he noted. “But they will never have access to devour scarce public funds [for] water and green spaces unless governments act judi- sewage supply, schools, parks, and meeting the ciously.” Bogotá’s program was remarkably other basic needs of the poor.” 39 decentralized: citizens participated in the sit- ing, design, and creation of new city parks.36 Food harvested in cities can provide A novel example of links between medi- cheap, reliable nutrition, as well cine, health, and urban green spaces is Mum- bai’s new 37-acre Mahim Nature Park. as an extra source of income for Previously the area was a treeless garbage the poorest residents. dump, with poor communities living on one side and a polluted creek on the other. The Air pollution from cars remains one of the city government is using the park as a way to biggest problems in a number of big cities encourage residents of Mumbai to plant around the world. In Mexico City, three their own green spaces closer to home. But quarters of air pollution comes from cars. this is not just about health as an abstract Contained by a basin and an old volcano concept: at the center of the park there are crater and at 2,000 meters above sea level, more than 100 species of ayurvedic plants for a gray-brown noxious haze often hangs stag- medical use.37 nant over the city.40 As with community gardens, community Compounding these chronic health prob- efforts to plant green spaces can bring men- lems, collisions between cars and pedestri- tal health benefits. One study of a community ans are the single most common type of effort to preserve the Truganina Explosives accidental death and injury in the world. The Reserve in Altona in Australia found that problems can be especially bad in cities where participants visited doctors less frequently, people are rapidly starting to use cars. Vehi- perceived their health as better, felt safer in cle fatality rates nearly tripled in Beijing dur- their community, felt they had more oppor- ing the 1990s, making car accidents the tunity to share their skills, and had a greater leading cause of death among people under sense of belonging. One participant who had 45 there and the leading cause of working-life suffered from depression said the work was years lost. WHO has identified traffic as one “like a dose of medicine.” Another said, “You of the greatest dangers to poor urbanites. become part of what is around you; you see Not surprisingly, people who will never own people enjoying themselves and you benefit a car in their lives—many of whom are forced from that vicariously.” 38 to walk for miles each day along dangerous In many urban areas, transport is one of the roads—are at the greatest risk.41 central causes of the “double burden” of dis- If cities and town were instead designed eases. Former Mayor Peñalosa of Bogotá has without preference for automobile travel, noted, “As developing country cities become they could be the places where people walk

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and cycle to better health. (See Chapter 4.) collaboration and sustainability on the agenda. WHO has estimated that physical inactivity Cities and towns all over the world are now already causes 1.9 million deaths a year as the the nub of , as well as being result of heart ailments, cancer, and diabetes, the heart of darkness for millions of people and this number is rising as people increas- with little chance of escaping urban poverty. ingly travel by car instead of foot. In the There are two urban worlds emerging. United States, where childhood obesity and There is the urban world of the wealthy, who diabetes are growing problems, the propor- are imprisoned in their gated communities tion of children or adolescents walking or and live long lives whether they are born into bicycling to school dropped from 48 per- Asian, African, or American cities. And there cent to less than 15 percent between 1969 is the world of the economically and socially and 2001. At the same time, childhood obe- disenfranchised, who work desperately to sity and diabetes are on the rise.42 escape their poverty while risking their lives every day in their homes, on the roads, and in their workplaces. There are many differ- There are two urban worlds emerging: ences between these two worlds, but per- the urban world of the wealthy, haps the main one lies simply in the numbers: imprisoned in gated communities, the wealthy urban world is for a tiny minor- and the world of the economically ity; the disenfranchised urban world is for and socially disenfranchised, who the vast majority. Perhaps the most startling thing about work desperately to escape poverty. these urban worlds is that they are not sepa- rated in space or time. In every city the peo- Cities that are oriented toward walking ples of these worlds live alongside each other. can encourage physical activity where people They breathe the same air and may travel are dying for lack of it. In the United States, along the same streets. They also have, in residents of highly walkable communities got essence, the same set of aspirations: to live well an hour more exercise each week and were 2.4 and long and to give their children a better times more likely to meet the physical activ- future. Our urban future sets us perhaps the ity requirements for a healthy life. Other biggest challenge as human beings that we studies have found that residents of walkable have ever had to face. We have to bring these communities are at a lower risk for being worlds together and to move them both overweight or obese.43 toward a sustainable future or there will be no chance of healthy lives for those living in Our Holistic Urban Future? tomorrow’s cities. There is no easy solution to the challenges Improved transport or greener environments of urban health internationally. The major- alone cannot bring good health to city ity urban world demands, rightly, that their dwellers. Community involvement in urban health involves their basic rights to clean decisionmaking can improve cities immensely water, sanitation, adequate housing, educa- by putting people’s views on the urban plan- tion, access to health services, and work that ning agenda, but again that alone is not will be safe and remunerative. Interventions enough. We also need a holistic vision of the toward this would guarantee survival for the urban space—we need to put intersectoral urban millions who die unnecessarily today.

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But alongside this, our urban future needs Maybe we need a real renaissance of vision— creative new solutions too: there are no sim- a new urban ethic that is taught and shared ple interventions that will address urban vio- between all of us, one that builds on the lence, for instance. Technical interventions ethic of the ancient worlds we have lived will not address an urban health problem through. An ethic that is anti-materialist, that is rooted in complex social injustice. resource-sharing, peaceful. An urban ethic Obesity and mental health problems also that connects us all and essentially argues need a new lens. Cities that isolate us from that “No man is an island, entire of itself...any nature and from each other cannot be man’s death diminishes me, because I am described as healthy cities for the twenty- involved in mankind; and therefore never first century. send to know for whom the bell tolls; it tolls Equity is perhaps the key to the more for thee.” 44 complex social problems of cities—and it also What will Unoma and all her contempo- can lead toward sustainability. (See Chapter raries think of our urban world? Will they 9.) A city where all peoples live together in ever live in a healthy urban setting—with peace, sharing the same spaces and the same adequate water, food, and shelter and free of resources, is far from today’s urban reality. A risks of ill health and early death? Urban city where people think of the next generation health has no easy solutions. But for many and the planet as a whole is also far from this problems it is not technical knowledge that reality. But neither vision is impossible— we lack but political will, social solidarity, either to imagine or to achieve. and a commitment to sustainability and Perhaps we can only achieve both urban equity. In the cities that have political and cit- health and urban sustainability with a new izen commitment to these values, we see a vision of the planet and of each other—a healthier, more sustainable, and more equi- vision based on the reality of our urban future. table urban space.

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: CITYSCAPE NAIROBI ------Life in Kibera

From a distance, Kibera—the largest informal in single rooms that measure, on average, settlement in Kenya’s capital city, Nairobi—is 9.4 square meters and are shared by five visually stunning. Seen from the air, its corru- persons. Water sold by vendors is affordable gated iron sheets twinkle like stars scattered only in small quantities. One pit latrine is on the ground. Step a little closer, though, and usually shared by 75 people. Fewer than half the first thing that will hit you is the stench of the residents have access to a bathroom, so human waste. many bathe in their one-room hovel. Over On a typical day in Kibera, the smell of 80 percent of residents are tenants in illegal chips, mandazi (a local doughnut), and roast structures, paying an average monthly rent meat mingle with the odor of raw sewage. of $12.2 Plastic bags, some used as “flying toilets” Although most people reported that they (bags that people defecate in and throw on did not live in Kibera out of choice, they rooftops or just in the streets), litter the lanes cited affordability as the most critical deter- that separate each shack. Occasionally you minant of whether they would stay. In may stumble upon someone lying on the Nairobi’s skewed housing market, in which ground intoxicated with changaa, a lethal more than 80 percent of residents are tenants, local brew. But for the most part, it is a rental options for low-income families range bustling settlement, where restaurants and from shacks in slums to single rooms in mul- businesses thrive. tistory tenements. A one-bedroom apartment Some seven kilometers southwest of in Nairobi’s Umoja estate, intended for the Nairobi’s central business district, Kibera lower end of the housing market, costs a little covers approximately 225 hectares split by the less than $100 a month, out of reach for Nairobi-Kisumu railway line and surrounded most Kiberans, nearly half of whom earn by middle-income housing estates, a dam, $70–140 a month and a third of whom earn vacant land, and a lush golf course. Kibera, a less than $70. In response to the housing corruption of the Nubian term “kibra,” means squeeze, unauthorized multistory tenements wilderness or bush. What was once a spraw- with shared toilet and washing facilities are ling, sparsely populated settlement inhabited springing up within and on the outskirts by retired Nubian soldiers who were allocated of slums; most are not built to housing stan- the land by the British Army in 1912 has dards or building codes.3 today become one of the most crowded places Patrick Obwaya, 53, who earns 5,500 in this city of nearly 3 million people.1 Kenya shillings ($77) a month as a security Kibera—one of nearly 200 informal settle- guard, arrived in Kibera over 20 years ago ments or “slums” in Nairobi—is estimated and lives there still with his three teenage to have more than 1,200 people per hectare, sons in a dark, mud-walled shack with no most of whom live in tiny wattle, daub, and running water or toilet. His bed and those tin shacks with no electricity, no running of his sons are separated by sheets, an extra- water, no breathing space. Population esti- ordinary feat, as the shack is no more than mates for the area range from 400,000 to 12 square meters. One of his sons sleeps on over 600,000, making it the densest, most Patrick’s bed when he is on night duty, a kind populous slum in the city. A recent survey of slumberland musical chairs. On his walls, found that over 80 percent of inhabitants live next to newspaper cutouts of Mother Teresa

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STATE OF THE WORLD 2007 Cityscape: Nairobi

Hiroshi Sato

and Jomo Kenyatta, the middle classes. Kenya’s first president, is The housing units a photo of him and his were built to mid- wife at their wedding. dle-class standards, It’s been 20 years since which increased he lived in the western their market value, Kenyan village where encouraging benefi- his wife lives.4 ciaries to sell or trade The scale of depri- in their units.7 vation in Kibera is so The answer to huge that nongov- Nairobi’s slum problem ernmental interven- lies in stronger and tions have only more integrated inter- managed to margin- vention by government ally improve access ministries and agencies. to basic services. A vegetab The government needs Schools, health facili- le vendor in Kiber to step into the distorted a ties, and water points remain inadequate. rental market with effec- A study found that 14 public primary schools tive regulation and to were situated within walking distance of Kib- invest in low-cost public housing. Ownership era, but they could only accommodate 20,000 solutions, such as communal titling, could of the 100,000 primary school–age children prevent titles from being traded to non-slum in the area. To have significant impact, the dwellers. This does not require huge foreign public sector must get more involved.5 loans. Most countries that have reduced slum Government efforts remain mired in con- populations and slum growth used domestic flict and confusion, however. The Kenya Slum resources to do so.8 Upgrading Programme, initiated in 2000 in A common view among policymakers in an agreement between the government of Kenya and other countries is that once rural Kenya and UN-HABITAT, has remained areas are made more enticing, rural-to-urban largely unimplemented, mainly because no migration—and slum growth—will be one can agree on the best way forward.6 curbed. But history has shown that urbaniza- Suspicions arise due to Kenya’s corrupt tion is irreversible and closely linked to devel- land allocation system. Even the most well opment. People move to Kibera because it intentioned housing projects have been means better access to employment opportu- marred by political patronage, nepotism, and nities. Slums like Kibera are sites of immense profit extraction. Kibera residents fear that opportunity and enterprise, places of transi- any attempts to “redevelop” or “upgrade” tion where dreams of escaping poverty are their homes will leave them homeless, as first nurtured. But they are also sites of upgrading may lead to land speculation that immense misery and poor health and envi- prices them out of the upgraded settlements. ronmental conditions.9 All units in a recent National Housing Cor- —Rasna Warah poration project were allocated or traded to Freelance Writer, Kenya

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STATE OF THE WORLD 2007

: CITYSCAPE PETRA ------Managing Tourism

Petra, in southern Jordan, has been a center of area covered approximately 3,000 households.3 human activity for more than 9,500 years and The Petra Region Planning Council (PRPC) was declared a UNESCO World Heritage Site was set up by the government in September in 1985. The city flourished for three centuries 1995 to manage the 1,000-square-kilometer under the Nabateans, from 200 BC to 100 AD, region, including the park. PRPC representa- with a population of 20,000–30,000 at the tives were selected from among the local crossroads of trade routes. After the last Naba- community, relevant governmental agencies, tean king died in 106 AD, Petra began a slow activists, and nongovernmental organizations decline. For centuries, only a few Bedouin (NGOs). The council’s responsibilities tribes lived in the area. Seeds of change were included building roads, streets, sidewalks, and planted in 1812, when a Swiss explorer redis- utility infrastructure; running environmental covered the city, paving the way for archeo- and tourism sites; managing and protecting the logical missions.1 environment; and ensuring people’s welfare.4 The modern fortunes of Petra are tied to its Although the council provided a forum to archeological significance and related tourism. engage the community in debate and to dev- The region’s population surged from 4,610 in elop policies, it struggled to influence urban 1979 to approximately 20,000 in 1994 and an development and the preservation of cultural estimated 26,000 in 2006. The largest urban and natural heritage. It was formed to central- center in the area is Wadi Musa, built on the ize development efforts, but instead it splin- hillsides surrounding the wadis, or gorges, of tered them, as the PRPC’s mandate to manage Musa and Sadr. The traditional village lies on the park overlapped with those of relevant the lower and midrange slopes, while new, ministries and government departments and functional three- and four-story residential of nongovernmental agencies. buildings dot the higher mountainsides, dis- Unplanned development was causing persed among derelict grazing lands.2 problems. In response, the government com- The town center comes to life during the missioned a study in 1996, which noted tourist season, with Internet cafes and a large that in Wadi Musa “recent rapid and largely number of hotels—both international chains uncontrolled growth has resulted in the and small, locally owned inns. The ruins of emergence of urban characteristics previously the original stone dwellings are either aban- unknown in the region.” Employment doned or used as animal shelters. The dusty depends on the growth of tourism, the single white sprawl of Wadi Musa contrasts starkly largest source of income. Buildings have with Petra’s carefully planned buildings, encroached on agricultural areas, changing which strike visitors with their size, colorful the terraced topography into sporadic built- facades, and the sheer magnitude of effort it up areas between patches of grazing land. must have taken to build them. Pollution is damaging the ancient buildings The rise of small urban centers and the pres- and local residents’ health. Wadi Musa’s sures on Petra’s archeological site prompted cesspits have discharged into the wadis, the government in 1993 to delineate the degrading the water and at times causing “Petra Region”—with the Petra Archeologi- foul odors.5 cal Park at its center, surrounded by Wadi To streamline policy planning for Petra, Musa and five other small settlements. The the government of Jordan established the

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STATE OF THE WORLD 2007 Cityscape: Petra

rust Petra National T

Petra Region The institutional Authority (PRA) framework has pro- in 2001 headed duced policy grid- by the Minister lock. According to of Tourism. This one defender of office developed Petra’s archeological a zoning plan Talal University and cultural heritage, Al Hussein bin with provisions Aysar Akrawi of the for land use, ownership, landscaping, Petra National Trust, transportation, roads, and waste manage- regulations and zoning laws have not been ment. While the plan marked an important revised to reflect the increasingly vulnerable change, critics argued that the government environment or the impact on ancient build- failed to discuss it in advance with local resi- ings. “Wadi Musa,” she said, “is a buffer to dents and did not account for sensitive areas Petra, and they [the PRA] have not taken with high impact on the national park.6 into consideration the high impact it has on Again, internal conflicts ensued due to over- the park. The six towns surrounding the park lapping mandates and ineffective policies. In must be considered a buffer zone and not an 2005, the government passed a law linking the urban center in the development plans.” 10 PRA directly to the Prime Minister’s Office, The Petra region, and Wadi Musa in parti- giving it higher-level executive authority.7 cular, continues to develop rapidly. But the Conflict has limited the effectiveness of the fortunes of the region are unpredictable, as PRA and its predecessor the PRPC, which has they depend on the fluctuating number of succeeded in zoning some land and issuing visitors to Petra, which in turn depends on the building licenses but has yet to produce perceived political environment in countries building regulations. New buildings in Wadi bordering Jordan. The continuing challenge Musa, which many consider eyesores, con- for Petra, as for many other cities, is to forge a tinue to lack local character. Even the PRA balance among economic, environmental, and has built large new offices overlooking the sociocultural development goals. This chal- Archeological Park, in a stark pink hue. Also lenge requires effective institutions. The PRA, overlooking the park is the Al Hussein bin as currently structured, is not up to the task.11 Talal University, a series of monotonous beige Fortunately, the management of some stone buildings that dominate the landscape.8 national park areas in Jordan has been “sub- The PRA has had little success encouraging contracted” to NGOs. The Dana Nature business development or promoting income- Reserve is one successful example. The Petra generating projects in the poorer villages. region would probably benefit from a similar Some land surrounding Petra has not been arrangement that streamlines policymaking zoned, including the area from the Crowne for the park and the buffer zone while regu- Plaza Hotel to Um Seyhoun and the scenic lating the urban areas to promote sustainable road to Beidha. Although the government tourism and economic development.12 claimed these lands for their ecological and —Dana Firas cultural importance, they are incrementally Jordanian author on sustainable being sold to private developers.9 development

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CHAPTER 8

Strengthening Local Economies Mark Roseland with Lena Soots

The wealth of a nation depends in large mea- areas. Cities are both surrounded by and made sure on the economic health of its cities. up of communities. Geographic or territorial Cities make countries rich. Highly urbanized communities have a shared destiny, repre- countries have higher incomes than other sented by a municipal or local or, in indigenous nations, more stable economies, stronger communities, band or tribal form of govern- institutions, and more ability to withstand ment. They may include the built-up or the volatility of the global economy. Cities densely populated area containing the city around the world are playing a growing role proper, suburbs, and continuously settled in creating wealth, enhancing social devel- commuter areas. They may be larger or smaller opment, attracting investment, and harness- than a metropolitan area.1 ing both human and technical resources for Strong local economies are the foundation achieving unprecedented gains in productiv- of strong communities that can grow and ity and competitiveness. Cities are also engines withstand the pressures created by an increas- of rural development. For example, improved ingly urbanized world. And strong com- infrastructure between rural areas and the munities require a holistic approach that cities that rely on them increases rural pro- not only provides the traditional deliver- ductivity and enhances rural residents’ access ables of economic development—jobs, to education, health care, markets, credit, income, wealth, security—but also protects information, and other services. the environment, improves community infra- For the first time in history, more than structure, increases and develops local skills half the world’s people will soon live in urban and capacity, strengthens the social fabric,

Mark Roseland is Director of the Centre for Sustainable Community Development (CSCD) and a pro- fessor in the Department of Geography at Simon Fraser University in Vancouver, Canada. Lena Soots is a researcher at the CSCD.

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and respects heritage and cultural identity. In vasive, and largely unacknowledged feature this way, strong local economies also provide of urban life. a foundation for strong national economies. Even “successful” national economies can Cities and towns provide enormous be expensive in terms of local human, social, untapped opportunities to strengthen local health, and ecological costs. China’s recent economies by pioneering new approaches gains in economic growth and productivity to sustainable development and community provide a vivid illustration, as China is now management.2 home to 16 of the 20 most polluted cities on This chapter explores various approaches the planet. Economic gains there have in to strengthening local economies, some of the many cases exacerbated environmental prob- tools and strategies available, the actors lems in the cities.3 involved in local economic development, and In 2001, for example, people living in the a development framework that addresses this Chinese city of Huashui welcomed the first broad range of concerns. chemical factories to open in that area as a source of jobs and economic growth. How- Economic Benefits— ever, their perspective changed as stillbirths increased and as more children were born At What Cost? with deformed limbs, unable to cry or blink, Whether human settlements are villages, or with learning disabilities. As more chem- towns, suburbs, or megacities, local economic ical factories moved in, residents saw a “death development has a critical impact on the sus- zone” expand around the industrial area, tainability of urban areas. Whenever agricul- killing trees and crops as far as 10 kilometers tural or forest land is cleared for other away. After four years of having their concerns purposes, whenever roads are built or dismissed by government and factory offi- expanded, whenever a new shopping center cials, on March 20, 2005, residents blocked or subdivision is created, whenever an urban the main road leading to the factories with area is “redeveloped”—in short, whenever homemade bamboo tents and mounted slo- the natural or built environment is changed gans on the factory walls that read: “Give us through human action—the health of com- back our land” and “We want to survive.” munities and the planet is affected. Three weeks later, an estimated 10,000 police The economic development that gener- officers and desperate residents faced off one ates these changes in the natural and built night in a pitched battle that lasted for hours. environment should benefit urban residents This rare case of citizen outrage about deeply by improving their economic lives. Weak vested interests resulted, several months later, local economies are expensive for residents in the closure of the last of the area’s 13 poi- who suffer from poverty and its associated son-spewing factories.4 consequences, such as malnutrition and dis- China Daily reports that there were ease. Yet despite the enormous potential of 50,000 environment-related riots, protests, cities to reduce poverty, recent evidence and disputes in the country in 2005, an shows that the wealth they generate does increase of nearly 30 percent. Many were not automatically lead to poverty reduc- linked closely to other divisive and sensitive tion. On the contrary, inequalities within social issues, including the nation’s increas- cities are on the rise, particularly in Africa ing wealth gap. Analysts blame these envi- and Latin America. Poverty is a severe, per- ronmental flash points on a top-down

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STATE OF THE WORLD 2007 Strengthening Local Economies single-party system obsessed with economic there are also wealthy enclaves. Sustainable growth. Governments worry about instabil- development looks very different in each ity when economic growth is not very fast, of these contexts. It means economic devel- but the Huashui example shows how such opment that, on the one hand, encompasses growth can also lead to social and environ- multiple bottom-line objectives to enable mental instability.5 continued prosperity without compromising Though an extreme example, what hap- the planet’s natural support systems or, on pened in Huashui demonstrates that strong the other hand, alleviates poverty and cre- local economies must do more than con- ates sustainable livelihoods so that people tribute to national revenues—they need to can live secure, healthy, and dignified lives. also generate local improvements in social and environmental conditions. Many gov- From Global to ernments continue to assume that poverty is mainly a rural phenomenon and that people Local Economies who live in or move to cities escape its worst Urban economic challenges are often ignored consequences, including hunger, illiteracy, in part because of our flawed understanding and disease. This view is reflected in most of the economic system itself. Most conven- national poverty reduction strategies, which tional economic development efforts are remain rural-focused, and in international rooted in the belief that economic benefits donor assistance to cities, which continues to trickle down—from the rich to the poor, be modest in both scale and impact. As a from the state to the city, from the market to result, development projects during the last the consumer. But such trickle-down strate- two decades have had the net effect of increas- gies may actually exacerbate the very problems ing poverty, exclusion, and inequality in cities. they are designed to ameliorate. Rather than The notion that cities are islands of privilege trickling—or even pouring—economic devel- and opportunity is supported by statistics on opment down, weaknesses in the trickle- health, education, and income, which gen- down effect illustrate that there is a strong erally reflect better outcomes in urban areas. case for economic development to also be But they fail to reveal the severe inequality “from the bottom up.” within cities and the various dimensions of Yet the past several decades have witnessed urban poverty that are not captured by unprecedented economic expansion and the income-based indicators, such as political emergence of the “global economy.” Inter- exclusion and poor-quality, hazardous, inse- national development efforts of the last 20 cure housing. (See Chapters 1 and 9.)6 years have focused on facilitating the inte- Cities around the world can be thought gration of developing countries into this of as lying on a continuum of economic global economy through mechanisms such as development—from wealthy cities such as the structural adjustment programs and poli- New York, Los Angeles, Vancouver, Lon- cies of the International Monetary Fund and don, and Stockholm to poorer cities such as the World Bank, which were designed, among Lima, Harare, and Mumbai. Yet within each other objectives, to alleviate poverty through wealthy city there is also a poor city (as evi- macroeconomic restructuring. denced, for example, by the 2005 riots in Recognizing the failures and shortcom- the outskirts of Paris), while seasoned trav- ings of past approaches to economic devel- elers can attest that within most poor cities opment, the United Nations Millennium

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Declaration, adopted in September 2000, cerned with how to plug local economies committed nations to a new global partner- into the high value-added parts of global ship to reduce poverty. Eight Millennium commodity chains. While these strategies are Development Goals were set to be achieved important, they do not guarantee sustain- by 2015, with the aim of not only addressing able, equitable, local outcomes. issues of extreme hunger and poverty but In North America and Europe, the global also promoting gender equity and the basic economic expansion of recent decades has human right to health, education, shelter, been felt in local communities in a variety of and security.7 ways. Perhaps the most noticeable and cur- There is a consensus that there have been rently debated result has been the commer- more failures than successes. In light of this, cial retail “big box” boom—that is, the in 2005 the UN Millennium Project pre- proliferation and increasing dominance of sented its final recommendations, Investing in multinational superstores. Development: A Practical Plan to Achieve the As an example, consider Wal-Mart, the Millennium Development Goals, calling for world’s largest retailer. If Wal-Mart were a both an increase in aid from western countries country, it would be the twentieth largest in and a reallocation of funding priorities in the world; if it were a city, it would be the developing countries. More interesting, how- fifth largest city in the United States. Its crit- ever, is that the report also called for more aid ics have long complained that Wal-Mart is a to be given at the local level. With an empha- bad employer, neighbor, and corporate cit- sis on local assistance, the Earth Institute at izen. But the company might be changing. Columbia University in New York has also In 2004 Wal-Mart launched a long-term sus- started the Millennium Villages Project, a tainability initiative with leaders and execu- “bottom-up approach to enabling villages in tives from virtually every branch of the developing countries to lift themselves out company formed into entrepreneurial teams of the poverty trap.” The 12 underlying prin- focusing on areas such as packaging, real ciples of this project include community estate, energy, raw materials, and electronics empowerment through participation and lead- waste. They partnered with environmental ership, local-level capacity building, and the consultants, nonprofit organizations, and strengthening of local institutions.8 other groups that helped them examine busi- Many international development efforts ness practices through the lens of restoration seek not only to integrate developing coun- and sustainability.9 tries into the global economy but to global- In October 2005, Wal-Mart’s CEO ize the economy itself. Capital mobility, announced three new goals for the company: increasing trade, and the decline of national to rely 100 percent on renewable energy, state regulation have made individuals and the create zero waste, and sell products that sus- communities they live in more vulnerable tain resources and the environment. In April than before. Conventional approaches to eco- 2006 Wal-Mart was one of a handful of major nomic development at best only address the retailers and energy companies urging the conditions under which local economies con- U.S. Congress to impose mandatory carbon nect more or less favorably to external eco- caps on their businesses. It has also become nomic circuits. For example, “cluster the world’s largest supplier of organic food, strategies” that emphasize the competitive not only reducing its ecological footprint but advantage of a local commodity are con- making organics more accessible for everyone.

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If global forces such as Wal-Mart are signing and environmental standards. During busi- on to save the planet by supplying organic ness downturns, they are less likely to relo- produce and lobbying for carbon caps, why cate production to lower-cost regions, and bother trying to strengthen local economies?10 in boom times they are less likely to move for There are several critical reasons to pursue a slight increase in the rate of return on such a strategy. First, economic development investment. This anchoring of locally owned rooted in local ownership and import sub- businesses minimizes the incidence of sud- stitution has clear benefits in terms of stop- den, calamitous, and costly departures, which ping economic leakage, a term that refers to are often followed by massive unemploy- community income that is spent outside the ment, shrinking property values, lower tax local economy. For example, each time a res- revenues, and deep cuts in schools, police, ident shops in a different town or larger cen- and other services, which in turn throws ter, the amount spent represents dollars and still more people out of work. This is far less income lost to the home community. There likely in a regional economy made up of are two basic forms of leakage: immediate and primarily locally owned businesses.13 secondary. Immediate leakage occurs when Third, while big-box stores such as Wal- members of a community travel to another Mart expand commercial choice and offer center and use their locally generated incomes good consumer value, some studies have to make non-local purchases. Secondary leak- found that these stores do little to contribute ages occur when a resident makes a purchase to local economies. As noted, compared with in the community but the product was pur- locally owned stores, multinational chain stores chased or manufactured outside the com- siphon revenues out of communities through munity. Money spent outside the community economic leakage. By displacing local busi- represents a loss to the local economy.11 nesses, they also contribute to increasing A 2004 study of a Chicago neighborhood unemployment and decreasing overall found that a dollar spent at a local restaurant incomes. Studies have found that big-box had 25 percent more local economic impact retailing triggers a decline in total economic than a dollar spent at a chain store. The local activity despite increasing overall sales. A study advantage was 63 percent more for local retail by the Department of Agricultural Econom- and 90 percent more for local services. Other ics and Rural Sociology at Pennsylvania State studies have found that local businesses yield University found that the presence of Wal- two to four times the multiplier benefit com- Mart “unequivocally raised family poverty pared with non-local businesses. The under- rates in the US counties during the 1990s lying reason that local businesses have this relative to places that had no such stores.” 14 positive impact is that they spend more locally, Fourth, in North America a prevailing particularly on management, business ser- myth is that in order to foster economic vices, and advertising, and they enjoy their development a community must accept profits locally. These four items can constitute growth. The truth is that growth must be dis- one third or more of total expenditures.12 tinguished from development: growth means Second, locally owned businesses are to get bigger, development means to get more likely to be a stable generator of wealth better—an increase in quality and diversity. for many years, often for generations, and Local governments will often subsidize super- they are more likely to adapt to rather than store development through infrastructure flee the introduction of reasonable labor expansion in the name of economic devel-

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STATE OF THE WORLD 2007 Strengthening Local Economies opment, only to facilitate more sprawl and Reclaiming Local municipal debt. Two alternatives for devel- opment without growth are supporting exist- Economic Control ing businesses and increasing the number of There are few limits to what can be achieved times a dollar is spent in the community. when people work together for their mutual Local purchasing is the primary means both benefit. Since the 1800s, people have been of supporting existing businesses and of forming cooperatives in order to meet a wide increasing the economic multiplier, resulting range of local needs. (See Box 8–1.) From in a more efficient, self-reliant, economically agricultural producer cooperatives and con- resilient community.15 sumer co-ops to worker co-ops and social Finally, strong local economies reduce the cooperatives aimed at delivering health care negative ecological impacts of global trade, in and social services, cooperative enterprises particular fossil fuel emissions from long-dis- can be found in nearly every country. In the tance transport. For example, “food miles” context of increasing urbanization, coopera- refers to the distance food travels from where tives offer a community-based strategy for it is grown to where it is ultimately purchased reducing poverty.16 or consumed. Locally produced food is clearly The International Labour Organization more sustainable and more environmentally (ILO) defines a cooperative as “an desirable than food with frequent flyer miles. autonomous association of persons united

Box 8–1. Emilia Romagna—A Cooperative Economy

Situated in the north of Italy, just below the the EU average. foothills of the Italian Alps, Emilia Romagna is What makes this region particularly fascin- a region of 3.9 million people. Bologna, the ating is that its economic success in the past region’s most populous city, is the commercial several decades is a result of ideas and prac- and communications hub of the area and has tices that should be considered the antithesis re-emerged in recent decades as one of the of mainstream economic ideology. Coopera- most vital and livable cities in Italy, with a tives are the foundation of the region’s eco- strong sense of history, art, and culture. But nomic makeup—the strongest sectors include beyond its cultural pleasures, this region is a retail, construction, agricultural production, unique example of a living cooperative econ- housing manufacture, and social services. Most omy. The region has more than 15,000 cooper- public works, including large-scale engineering, atives in both the commercial and civil sectors, construction, and heritage restoration projects, which collectively contribute over one third are carried out by building co-ops. of the region’s gross domestic product. With one of the highest qualities of life in In the 1970s, Emilia Romagna was near the all of Europe and strong economic perfor- bottom of Italy’s 20 regions in terms of eco- mance, the Emilia Romagna region of Italy is a nomic performance.Today, it ranks first. It also working example of community-based alterna- currently ranks tenth out of 122 economic tives to the global market economy and living regions in the European Union (EU) and has a proof that strong local economies are possible per capita income 30 percent higher than the through cooperation. national average and 27.6 percent higher than SOURCE: See endnote 16.

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voluntarily to meet their common economic, company that has “mutualized” by selling social and cultural needs and aspirations shares to its employees, who then take over through a jointly owned and democratically- ownership and management of the business.18 controlled enterprise.” Cooperatives thus Argentina provides a good example of the practice a unique form of economic partici- power of cooperation in saving the local econ- pation that is based on membership rather omy. During the 2001 economic crisis, many than amount of investment. (See Box 8–2.)17 Argentines decided to take collective action to save their jobs and their livelihoods. By occupying bankrupt factories and businesses, Improving access to financial the workers turned their workplaces into resources is an important component cooperatives without upper management or in the fight against poverty. unions. The National Movement of Recov- ered Companies spread across Argentina as a bottom-up approach to economic recovery Within cities, worker cooperatives—busi- with the motto: “Occupy, Resist, Produce.” nesses owned and controlled by their employ- There are now roughly 200 worker-run fac- ees—are the most common form of tories and businesses in Argentina, employing cooperative enterprise. Decisions for the oper- over 15,000 people. Most of these coopera- ation of the business are made democrati- tives started during 2001.19 cally on the basis of one member/one vote. In 2002, the Ghelco Ice Cream Factory in Common forms of worker co-ops include southern Buenos Aires went into bankruptcy. manufacturing plants, retail stores, commu- The workers were owed thousands of dollars nications companies, technical firms, and var- in back pay. So they formed a co-op and ious forms of service providers. Worker stopped the owners from removing the cooperatives typically form as a result of a machinery and dismantling the factory by group of people organizing to create employ- protesting in front of it. Three months of ment for themselves and to overcome barri- protest led to an offer for the co-op to rent ers to employment such as disabilities or racial, the factory. Five months after that, the factory gender, or ethnic prejudices. Alternatively, was seized by the Buenos Aires legislature worker co-ops form as a result of an existing and given to the co-op. Now the factory is run by 43 members of the co-op who earn more than they ever did, and they have bet- Box 8–2. International Co-operative ter working conditions. The co-op does not Alliance Principles for Co-ops have to pay high managerial salaries, unlike the previous owners; in addition, it gets to Voluntary and Open Membership keep the large profits that used to end up in Democratic Member Control the owners’ pockets.20 Member Economic Participation Historically, cooperatives have not only Autonomy and Independence enabled people to lift themselves out of Education,Training,and Information poverty, they have also become a way for Cooperation among Co-operatives Concern for Community low- and middle-income people to continue accumulating economic advantages they SOURCE: See endnote 17. would not be able to achieve individually. Beyond this, co-ops can contribute to

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strengthening the social fabric of commu- their sources of income.22 nities and can build social cohesion among In 1997, delegates from 137 countries community members as well as facilitate the gathered in Washington, DC, for a Micro- equitable distribution of resources. In a press credit Summit and launched a campaign to release on the occasion of the United reach 100 million of the world’s poorest fam- Nations International Day of Cooperatives ilies, especially women, with credit for self- in 2001, Secretary-General Kofi Annan employment and other financial services by underscored the role of cooperatives in the end of 2005. According to the State of the development, noting “the values of cooper- Microcredit Summit Report 2005, by the end ation—equity, solidarity, self-help and of 2004 a total of 3,164 microcredit institu- mutual responsibility—are cornerstones of tions had reached 92,270,289 clients, 72 our shared endeavour to build a fairer percent of whom were among the poorest of world…. The cooperative movement will the poor when they took their first loan.23 be an increasingly adaptable and valuable Nearly 84 percent of these poorest clients partner of the United Nations in pursuing were women. Assuming five persons per fam- economic and social development for the ily, the loans given to the 66.6 million poor- benefit of all people.” 21 est clients affected some 333 million people. Just over half of the 3,164 institutions report- Community-Based Finance ing were in Asia, 31 percent were in Africa, 12 percent were in Latin America and the Finance plays a fundamental role in the process Caribbean, and just under 5 percent were in of economic development—capital invest- North America, Europe, the newly indepen- ments and growth in financial assets are impor- dent states, or the Middle East.24 tant factors in the development of economies Contrary to some opinions, poor people of low-income countries. Yet access to capital are very good at saving their money. In fact, is not easy for those who live in poverty. Peo- their savings represent a higher proportion ple are often blocked from climbing out of of their net assets than the savings of their poverty not by a lack of skills or motivation but higher-income counterparts do. With access by their lack of access to capital. to well-designed savings products and ser- Poor people are often forced to rely on vices, low-income people can accumulate informal financial relationships, which are wealth and begin to climb the ladder out of usually erratic, insecure, and costly to bor- poverty.25 rowers. Improving access to financial The Grameen Bank in Bangladesh has resources is thus an important component become the international model for micro- in the fight against poverty, and microfi- credit programs. Its central feature is its credit nance has proved to be an important tool in program, which provides small loans to the this regard. “Microfinance” refers to the poor for self-employment activities. The pro- provision of financial resources and services ject was initiated in 1976 when Muhammad to people who are generally excluded from Yunus, head of the Rural Economics Pro- traditional financial systems based on their gram at the University of Chittagong, low socioeconomic status. Generally it launched a research project on the possibil- includes the provision of loans, savings, and ity of designing a credit delivery system to other basic that poor peo- provide banking services to the rural poor. ple need to protect, diversify, and increase The Grameen Bank Project began with the

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STATE OF THE WORLD 2007 Strengthening Local Economies following objectives: financial power, poverty, and women, micro- • to extend banking facilities and services to finance has an important role in empowering poor men and women; women and improving economic equality. • to eliminate the exploitation of the poor by (See Box 8–3.) In many countries, particu- money lenders; larly in low-income regions, women have • to create opportunities for self-employ- few ownership rights. Cultural norms and ment; expectations place additional constraints on • to bring the disadvantaged, mostly women’s access to assets and income-gener- women, within an organized format in ating opportunities.28 which they can understand and manage Studies have shown that income earned by themselves; and female borrowers has more beneficial effects • to reverse the vicious cycle of “low income, on the well-being of children and household low savings and low investment.” members generally than income earned by After initial success in the village of Jobra, male borrowers. And microcredit lending by the project soon expanded to other villages. the Badan Kredit Kecamatan in Indonesia In 1983, government legislation transformed has been found to increase women’s partici- the project into an independent bank.26 pation in decisionmaking, reduce fertility, The unique and innovative lending scheme and improve household nutrition.29 of the Grameen Bank requires borrowers to Particularly in low-income regions of the voluntarily form small groups of five people world where poverty rates are high, microfi- to provide mutual, morally binding group nance can be an important tool for improving guarantees in lieu of the collateral required by the socioeconomic conditions of communities. conventional banks. Initially, only two of the It helps to foster financially self-sufficient pri- five group members are able to apply for a vate sectors and create wealth for low-income loan. Access to credit for the other members people. As it does this, microfinance creates depends on the successful repayment of these new consumers and markets for existing busi- initial loans. Although the Bank monitors nesses as well, thus contributing to the over- borrowers fairly closely, organizing the bor- all integrity of local economies. rowers into groups provides incentives for Community-based financial systems are peer monitoring. not only found in low-income countries strug- The success of the Grameen Bank is gling with widespread poverty. In countries astounding, as the Nobel Committee noted such as the United States and Canada, there when it awarded the 2006 Nobel Peace Prize are community-oriented financial institutions to Muhammad Yunus for his pioneering work that have a vision of social and environmen- in this field. As of April 2006, it had a total tal as well as economic benefits. of 6 million borrowers, 96 percent of whom In a financial climate dominated by big are women. The bank has 2,014 branches banks, community credit unions demonstrate working in 65,847 villages with a total staff that financial benefits can coincide with of 17,816. Since it started, the total amount broader community values and objectives. A of loans dispersed is 271.94 billion taka credit union is a nonprofit financial institution ($5.46 billion). Of this, 241.63 billion taka that is cooperatively owned and controlled by ($4.83 billion) has been repaid. The loan its members and managed through the elec- recovery rate is 98.4 percent.27 tion of a volunteer Board of Directors. Credit Because of the interconnection between unions offer the same financial services as

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Box 8–3. The Power of Microcredit—A Personal Story

Unitus is a nonprofit organization based in small children, Susan ended up in prostitution. Redmond,Washington, with a mission to fight “Susan learned about Jamii Bora, a Nairobi- global poverty by increasing access to microfi- based microfinance institution, from neighbors nance. Using the example of the Grameen Bank in her slum. She completed their business train- and under the guidance of Muhammad Yunus, ing, which improved her business skills and gave the Unitus Acceleration Model was developed her the confidence to begin her clothes mend- combining best practices from venture capital ing and sales business. Jamii Bora’s microfinance and investment banking to create large-scale, services enabled her to quit prostitution and poverty-focused microfinance institutions. move her family into a safer house…. Unitus shares the following success story “With each increasing loan, Susan buys of one of their clients: more raw materials in bulk at lower costs, thus “Susan grew up in a poor rural area of Kenya. increasing her business’s profitability. She is She was…forced to drop out [of school] after convinced she would not be alive without Jamii fourth grade when her family could no longer Bora’s medical insurance and access to HIV afford the school fees. Her parents kicked her medication, and can’t imagine what would out when she became pregnant at 17. Hoping [have] become of her children…. Susan has sav- to find work, Susan and her infant son moved ings for the first time and is striving to earn to Nairobi, where she married and had a enough to ensure her children’s education so daughter. Her husband left her when they they can break free from the chains of poverty.” learned she was HIV-positive. Unable to find work and with no means to support her two SOURCE: See endnote 28.

banks (savings, investments, loans, and so credit unions strengthen local economies by on), but they generally market themselves as providing positive social and economic returns providing superior member services because to communities.30 of their community orientation. As cooper- The Downtown Eastside of Vancouver, ative institutions, their policies are set up to Canada, is home to many people battling benefit the interests of their memberships as drug addictions, mental illness, and home- a whole. Credit unions typically pay higher lessness. Most local residents are low-income interest rates on shares and charge lower earners with little to no access to traditional interest rates on loans than traditional finan- financial services. Without identification to cial institutions. open a bank account or enough money to Worldwide, there are over 157 million keep one open, people find themselves unable credit union members in 92 countries. to attain any level of financial security, and Canada has the highest per capita use of many rely on costly private check-cashing credit unions, with over one third of the pop- facilities. With the help of VanCity Savings ulation enrolled as members. As community- Credit Union (see Box 8–4), Pigeon Park based financial institutions, credit unions Savings opened its doors in 2004 as a provider ensure that financial investments are not only of low-cost, reliable financial services in a economically successful but also in line with supportive environment. People can now the broader social objectives and values of the cash or deposit checks and use a variety of communities in which they operate. As such, financial services otherwise unavailable to

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not the only form of community-based finan- Box 8–4. Vancity Credit Union, cial structures. Shorebank Pacific is a char- Vancouver, Canada tered, commercial bank in Washington State with a commitment to environmentally sus- The Vancouver City Savings Credit Union tainable community development. It is the (Vancity) in British Columbia is an exam- result of an innovative partnership between ple of a community-based “triple bottom Ecotrust, a nonprofit environmental organi- line” financial institution. Established in zation dedicated to fostering a conservation- 1945 on the premise of “banking with the unbankable,” Vancity is a cooperatively based economy, and Shorebank Corporation owned credit union with over $10 billion of Chicago, a pioneer in developing inner-city in assets and more than 340,000 community projects. To track financial members. Member ownership ensures progress, clients and loans are reviewed by a that the institution offers favorable social bank scientist who uses a scoring system of and environmental benefits to the commu- sustainability principles.32 nity without compromising financial returns. In the 1960s,Vancity was the first finan- cial institution to offer loans to women Buy Local,Trade Fair without requiring a male cosigner. Beyond financial considerations,Vancity supports Although a significant proportion of goods community members in socially and envi- used in cities are also produced there, cities ronmentally conscious choices. It was the are by no means self-sustaining entities. In first financial institution in Canada to offer terms of local economic activity, urban cen- special financing for hybrid vehicles and ters rely heavily on rural areas for resources energy-efficient home renovations. Every year it awards hundreds of grants to com- such as fuel and food. The trading systems munity groups on environmental and that facilitate the production, distribution, social justice projects. Other initiatives and consumption of goods in urban areas include an EnviroFund Visa card that thus affect more than just the economies donates 5 percent of its annual profits within cities. to local environmental projects. Since In the context of an increasingly globalized 1990, more than $1.45 million has gone economy, strengthening local economies to such initiatives. Vancity also offers its employees some means having strong local networks and trad- of the best benefits packages in the indus- ing systems that support economic activity try. In 2005, it was named “Best Place to within and among communities and that con- Work in Canada” by Maclean’s magazine tribute to the overall health and well-being of and “Best Work Place in Canada” by Cana- these areas. Promoting trading systems that dian Business magazine. contribute to strong local economies allows

SOURCE: See endnote 31. cities and communities to participate in and contribute to the larger, global economic system in ways that are sustainable, equitable, Downtown Eastside residents. Pigeon Park’s and just. banking system runs entirely on VanCity’s Fair trade is a rapidly growing move- network, which also provides the operating ment (see Table 8–1) that seeks to chal- infrastructure, technical support, adminis- lenge unequal international trade relations trative services, and security.31 and that makes trade beneficial to disad- Cooperatively owned credit unions are vantaged and vulnerable producers. It does

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Table 8–1. General Sales of Fair Trade chocolate to sporting goods, textiles, and Labeled Products handicrafts—are exported from developing countries to more than 20 countries in Year Amount Growth Europe and North America plus Australia, (tons) (percent) New Zealand, and Japan. There are now 531 1997 25,972 producer organizations certified with FLO, 1998 28,913 11.3 representing some 1 million farmers and 1999 33,495 15.8 2000 39,750 18.7 workers from 58 countries in Africa, Asia, 2001 48,506 22.0 and Latin America. There are 667 registered 2002 58,813 21.2 traders, consisting of exporters, importers, 2003 80,633 42.0 processors, and manufacturers from 50 coun- 2004 125,596 56.0 tries all over the world.35 SOURCE: See endnote 33. Strongly linked to the cooperative move- ment (see Box 8–5), fair trade is helping this by establishing direct and positive links communities build the financial resources to between producers of the South and con- sustain livelihoods and alleviate poverty. It is sumers of the North. Fair trade attempts to also building community capacity, fostering level the global playing field by enabling strong relationships within communities, and poor producers to be part of a trading sys- promoting sustainable and equitable systems tem that ensures a fair and stable price for of production and trade.36 their products. It also offers producers and As recent mass protests in Seattle, Quebec their organizations support and services and City, Prague, and Genoa demonstrated, con- promotes the use of ecologically sustain- cerns about corporate dominance in the global able production practices.33 economy cover more than just the issue of fair Similar to certification in organics or labor trade. A localism movement has emerged pro- standards, fair trade involves the implemen- moting alternative approaches to global eco- tation of voluntary global production stan- nomic development, particularly with respect dards. Fairtrade Labelling Organizations to energy, materials, and food. Campaigns to International (FLO) is the primary body that promote the localization (or “de-globaliza- sets the labeling standards to be met by pro- tion”) of business and trade are sprouting up ducer groups, traders, processors, whole- all over North America and Europe, espous- salers, and retailers. Although most commonly ing the social, economic, and ecological ben- associated with rural production, FLO sets efits of more localized economies. standards for hired labor situations as well, Although the definition of “local” varies— including standards for working conditions, from bioregions to geopolitical boundaries— employee returns, discrimination policies, the idea is consistent: local is better. The and child labor. In the context of manufac- benefits of localized economies are many: turing and the production of goods within they support local businesses and keep money cities, the concept of fair trade can play a sig- and profits within communities, they re- nificant role in creating strong local establish producer-consumer relationships economies.34 and build social cohesion, and they reduce For many years, coffee was the main prod- the negative ecological impacts of global uct sold with the fair trade label. Now at trade, namely fossil fuel emissions from long- least 20 different products—from tea and distance transport.

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business networks—each fully autonomous— Box 8–5. A Women’s Fair Trade and share a commitment to living economy Sewing Cooperative in Nicaragua principles. BALLE provides support and tools to catalyze, strengthen, and connect local After the devastation of Hurricane Mitch business networks. Members of local net- in 1998, the Center for Development in works join together to: Central America began to search for ways • support the development of community- to tackle the massive unemployment prob- based businesses; lems that had emerged in one of Nicara- gua’s relocated cities, Nueva Vida (New • encourage local purchasing by consumers Life) in Cuidad Sandino. and businesses; Through the establishment of a • create opportunities for business leaders to marketing partnership with Maggie’s share best practices; and Organics, an organic clothing company in • advocate public policies that strengthen Michigan in the United States, a sewing independent local businesses and farms, cooperative with the women of Nueva promote economic equity, and protect the Vida was formed.The idea behind the 37 co-op was to create fair trade employ- environment. ment in a region dominated by free trade Countless cities all over North America zones and sweatshops with substandard are working to promote the importance of labor conditions. strengthening local economies. The San Fran- In 2001, the women’s worker co-op cisco Locally Owned Merchants Alliance, for became incorporated as Cooperativa example, has over 50 members and works to Maquiladora Mujeres de Nueva Vida Inter- promote locally owned independent retailers nacional—Women’s International Sewing Cooperative of Nueva Vida—and in 2004 in the area. The Buy Local Philly campaign is it was certified as the world’s first worker- sponsored by the Sustainable Business Net- owned free trade zone.This designation work of Greater Philadelphia and is a network not only allowed the co-op to provide of more than 200 local and independently fair wages, good working conditions, and owned businesses. The city of Portland, Ore- employee control, it also enabled them to gon, has a Think Local First Campaign to compete on a level playing field with tradi- raise public awareness of the benefits of a tional sweatshops in the free trade zone. With the successful establishment of the more localized economy. Vancouver, Canada, cooperative, the workers’ goal now is to has started a Buy Local, Support Yourself put a percentage of the co-op’s profits campaign to encourage local purchasing and toward social projects in the community. support local fashion, food, art, and more.38 As the world faces the emergence of peak SOURCE: See endnote 36. oil and related energy challenges, cities need to reduce their dependence on outside mar- kets and fossil-fuel-dependent transportation The Business Alliance for Local Living systems. What is needed are more localized Economies (BALLE) is a growing alliance systems of production, distribution, and con- of businesspeople around the United States sumption. Local trading systems not only and Canada who join networks dedicated to allow cities to increase self-sufficiency, they building “local living economies” with a goal also contribute to strengthening local to green and strengthen their local economies. economies by giving communities the ability Businesspeople organize themselves into local and resources to meet their own needs.

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Local Economy Actors authorities have neither the resources nor the power to provide support of any kind to Who are the local economic actors and what local business, let alone dedicate time and are their roles in strengthening local resources to overall localization initiatives. economies? Local authorities are clearly Cities with developed formal economies and important players. They build and maintain stronger local authorities fortunately have infrastructure that is essential for economic more options. activity, and they set standards, regulations, taxes, and fees that determine the parameters Local trading systems contribute to for economic development. Local authori- strengthening local economies by ties procure large numbers of services and giving communities the ability and products and can influence markets for goods and services. resources to meet their own needs. Like private enterprises, local authorities serve as public enterprises to produce “prod- Local tax shifting is one local authority ucts” that are sold on the market. These strategy with enormous potential to products include environmental services strengthen local economies. Taxes generate (such as water, waste management, and land revenue for governments, but they can also use control), economic services (transporta- serve as an effective tool of governance, sup- tion infrastructure, for example), and social porting community values and goals. The services (such as health and education). Local main principle of tax shifting is simple: tax authorities also operate under the consider- “bads,” not “goods,” so that markets work to able constraints of most public agencies: lim- direct the economy where we want it to go. ited resources, jurisdiction, imagination, Tax pollution, waste, urban sprawl, and courage, time, and so on. For them to fulfill resource depletion, for example—not jobs, their potential in strengthening local income, investment, good urban develop- economies, they need community organiza- ment, and resource conservation. There are tions as partners.39 many successful examples of tax shifting in Local authorities are an influential Scandinavian countries, which have been employer and consumer in most communi- using this tool for at least a decade. Local ties. All community members have a legiti- authorities in Canada and elsewhere are rec- mate interest in knowing what measures their ognizing the benefits of tax shifting and are local authority is, could, or should be taking beginning to examine its potential.41 to strengthen the local economy. These might For example, a 2005 study at Simon Fraser include local studies of indicators, assets, University in Vancouver examined six poten- imports, or subsidies; local training via entre- tial areas where the city could shift taxes in preneurship programs linked to incubators for one municipal precinct: carbon emissions, locally owned businesses; help for those try- drinking water, parking, solid waste, stormwa- ing to purchase locally with a directory, a ter runoff, and sewage. The results were stag- buy-local campaign, time dollars, or a local gering: tax shifting on average could lead to currency; local investing of municipal funds; a 23-percent reduction in environmentally and local public policy such as smart growth harmful activities and could generate an extra zoning or a living wage bylaw.40 $21 million in tax-based revenue. The surplus In many low-income countries, local funds could in turn provide tax grants, sub-

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STATE OF THE WORLD 2007 Strengthening Local Economies sidies, and rebates for environmentally friendly business. Indeed, socially and environmen- and sustainable development programs.42 tally responsible businesses play an important The private sector also has a significant role role in sustainable economic development, to play in strengthening local economies. particularly at the local level. Given that Business culture in general is starting to take most business transactions take place in cities, on a different shape in light of public pres- it is essential that sustainable economic devel- sures and today’s social and environmental opment within urban centers include the realities. Over the last 10–15 years the socially commitment of businesses to adopt prac- responsible business movement has taken tices that consider people and the planet as great strides in raising awareness that busi- well as profit. nesses need to serve the common good rather In addition to local authorities and the than simply maximize profits. There is grow- private sector, people in their daily lives are of ing recognition among companies and orga- course important actors in local economic nizations that they have a social obligation to development in their multiple roles as work- operate in ethically, socially, and environ- ers, consumers, voters, volunteers, and advo- mentally responsible ways. Using “triple- cates. People who are disengaged limit their bottom-line” accounting, some companies constructive interaction and participation in are measuring their performance in terms of their communities. Some may express their social and environmental as well as economic disengagement by looking elsewhere to do results. Many business leaders are discover- business or by sending their children away to ing the economic advantages to under- learn and work; others may give up com- standing and aligning business strategies with pletely and relocate to another community, the values of stakeholders.43 another city, or another country. It is through Corporate social responsibility (CSR) is participating in local communities that peo- now a recognizable catchphrase in business ple can take the necessary measures to create circles, with standards that serve as a guide to sustainable economies, so citizen engage- conducting business in socially and environ- ment is an essential component of strength- mentally responsible ways. General princi- ening local economies. ples of CSR fall into the categories of ethics, accountability, governance, financial returns, Community Capital: employment practices, business relationships, products and services, community involve- Using All Our Resources ment, and environmental protection.44 Alternative economic theories and ideas are Most examples of CSR are found in high- not new: in 1973 E. F. Schumacher pro- income countries, although, as noted earlier, posed the idea of “new economics” in his the fair trade movement is changing busi- influential book Small is Beautiful: Econom- ness practices in the developing world as ics As If People Mattered, promoting small- companies realize the social and environ- scale development based on meeting people’s mental costs of doing business. Fair trade local needs. Since then, alternative local eco- standards embrace the principles of CSR, nomic approaches have been put forward in including environmental protection, com- both industrial and developing countries— munity benefits, and fair wages. approaches that are rooted in community Emerging business trends such as CSR and designed to meet local needs and objec- represent a significant shift in thinking about tives. These have emerged in response to

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the negative effects of globalization and as a • car cooperatives to reduce the cost and policy approach to sustainable development necessity of car ownership (Bremen, at the community level. Community eco- Germany); nomic development (CED) and sustainable • sustainable employment plans to create livelihoods are two examples of these alter- jobs, spur private spending, and reduce native strategies.45 pollution through public investment in Community economic development pro- energy conservation and audits (San Jose, vides a conceptual means of addressing sus- California); tainable economic development at the • new product development to encourage community level. Its core principles include a manufacturers to develop environmentally community-based approach to development; friendly products through municipal direct and meaningful community participa- research and development assistance tion; integration of economic, ecological, and (Gothenberg, Sweden); social aspects of local development; asset- • increases in affordable housing supply based development based on community through zoning codes that promote a vari- strengths and resources rather than deficien- ety of housing types, including smaller and cies; and support for community self-reliance. multifamily homes (Portland, Oregon); Its distinguishing features are captured in this • experiments with local self-reliance definition: CED “is a process by which com- through establishment of closed-loop, self- munities can initiate and generate their own sustaining economic networks (St. Paul, solutions to their common economic prob- Minnesota); lems and thereby build long-term community • community-supported agriculture projects capacity and foster the integration of eco- to preserve farmland and help farmers while nomic, social, and environmental objectives.” 46 making fresh fruits and vegetables avail- Just as sustainability has prompted a shift able in city neighborhoods (Vancouver; in transportation and energy planning away London, Ontario; New York City); from traditional concerns with supply to a • creation of local currencies such as LETS, new focus on managing demand, the focus Local Exchange Trading Systems, which of economic development needs to shift seek to recirculate local resources and from traditional concerns with increasing strengthen social ties (Toronto; Ithaca, growth to one of reducing social depen- New York; United Kingdom); dence on economic growth—or what could • a local ownership development project with be called EDM, economic demand man- a revolving loan fund to encourage agement. This has distinct implications for employee-owned businesses, which are con- sustainable community development, par- sidered more stable over the long term and ticularly regarding employment and com- more likely to hire, train, and promote munity economic development.47 local residents (Burlington, Vermont); and Community economic development not • a community beverage container recycling only promotes initiatives that contribute to the depot that employs street people—“dump- economic health and viability of communities, ster divers”—and provides them with skills, it also emphasizes environmental considera- training, and self-esteem (Vancouver).48 tions and the importance of social considera- Closely related to CED is the sustainable tions in broader economic thinking. Examples livelihoods approach to poverty alleviation, of sustainable CED initiatives include: which aims to address the immediate as well

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as the long-term needs of individuals and Will the cumulative effects of the small households and which takes into considera- initiatives described here be enough to create tion the social and environmental as well as communities and economies with enough the economic sustainability of livelihood activ- resilience and strength to withstand the pres- ities and strategies. The idea of sustainable sures and problems of an increasingly urban- livelihoods provides a framework to under- ized world? As noted in the beginning of the stand the practical realities and priorities of chapter, conventional approaches to eco- those struggling in poverty—that is, what nomic development leave little room for they actually do to make a living, the assets strengthening local economies. Strong local they are able to draw on, and the everyday economies are those that not only generate problems they face.49 revenue but also take into consideration the equitable distribution of wealth within com- How does the overall approach to munities and the environmental implications of economic activities. How does the overall economic development need to change approach to economic development need to in order to facilitate the development change in order to facilitate the development of strong local economies? of strong local economies? Cities, communities, and local economies Beyond income generation, successful are multidimensional, with a complex inter- strategies under a sustainable livelihoods action of social, economic, ecological, and cul- approach should serve to improve access to tural factors. Some analysts think of local and control over local assets and help to make economies in terms of assets or capital. The individuals less vulnerable to shocks and term community capital, conventionally used stresses (such as illness, natural disasters, or job to refer just to economic or financial capital, loss) that could otherwise exacerbate situa- has more recently been used to include nat- tions of debt and poverty.50 ural, physical, economic, human, social, and Historically, the sustainable livelihoods cultural forms of capital. Strengthening local framework has been used primarily in the economies means focusing attention on these context of rural poverty alleviation. But the six forms of capital: same framework can easily be applied to sit- • Minimizing the consumption of essential uations of urban poverty and livelihood gen- natural capital means living within eco- eration. In fact, a sustainable livelihoods logical limits, conserving and enhancing approach is necessary in order to tackle issues natural resources, using resources sustain- of urban poverty over the long term. Accord- ably (soil, air, water, energy, and so on), ing to the ILO, 184 million people in the using cleaner production methods, and world do not have jobs, although this figure minimizing waste (solid, liquid, air pollu- reaches at least 1 billion if underemployment tion, and so on). is also taken into account.51 • Improving physical capital includes focus- The concepts of community economic ing on community assets such as public development and sustainable livelihoods facilities (hospitals and schools, for together provide a useful framework for an instance), water and sanitation provision, alternative approach to economic develop- efficient transport, safe and high-quality ment that emphasizes the development of housing, adequate infrastructure, and strong local economies. telecommunications.

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• Strengthening economic capital means tainability and self-reliance, as well as more- focusing on maximizing the use of existing specific innovations concerning community resources (using waste as a resource, for ownership, management, finance, organiza- example), circulating dollars within a com- tion, capacity, and learning. This approach is munity, making things locally to replace increasingly referred to as sustainable com- imports, creating a new product, trading munity development and includes both com- fairly with others, and developing com- munity economic development and sustainable munity financial institutions. livelihoods strategies. • Increasing human capital requires a focus While individual actions and lifestyle on areas such as health, education, nutri- choices, such as buying organic produce, are tion, literacy, and family and community important personal contributions, strength- cohesion, as well as on increased training ening local economies requires a collective and improved workplace dynamics to gen- shift in individual actions and political choices. erate more productive and innovative work- Community mobilization has been effective in ers; basic determinants of health such as some contexts and some regions. The coop- peace and safety, food, shelter, education, erative economy of Emilia Romagna in north- income, and employment are necessary pre- ern Italy, the Grameen Bank in Bangladesh, requisites. Vancity Credit Union in Vancouver, the • Multiplying social capital requires attention Women’s International Sewing Cooperative of to effective and representative local gov- Nueva Vida, and the campaigns for local trade ernance, strong organizations, capacity- across North America are all examples of the building, participatory planning, and access potential of community mobilization to help to information as well as collaboration and strengthen local economies. partnerships. Strong local economies are a fundamental • Enhancing cultural capital implies attention part of sustainable communities. They give to traditions and values, heritage and place, communities the capacity and resources to the arts, diversity, and social history. 52 address specific and immediate problems such Strengthening local economies requires as the provision of health care, adequate mobilizing people and their governments to housing, clean water and sanitation, and dis- shore up all these forms of community capi- aster prevention and response. Human set- tal. Community mobilization is necessary to tlements—large and small, rich and coordinate, balance, and catalyze community poor—need strong local economies to with- capital. This approach to stronger local stand the pressures created by an increas- economies requires some relatively new think- ingly urbanized world. ing about broad questions of community sus-

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STATE OF THE WORLD 2007 : CITYSCAPE BRNO ------Brownfield Redevelopment

Vanˇkovka, the former engineering works of for business, cultural, and educational pur- Friedrich Wannieck, became a Czech indus- poses. The Project for Public Spaces, a non- trial architectural heritage site in 1992. When governmental organization (NGO) from it was built in 1864, Vanˇkovka stood outside New York, supported this work, recognizing the historic city center. But thanks to con- that Vanˇkovka could be transformed into a struction all around it, the site eventually charming place that could spur the revitaliza- found itself at the heart of a larger city tion of the surrounding neglected land. downtown, on a busy street between the Similar projects had been undertaken in the main bus and railway stations. During the United States and Europe. And in many cases industrial period, Brno was a center of tech- action was initiated by small groups of pas- nical invention, and Vanˇkovka at its height sionate and tireless people.3 represented the city’s innovative and techno- Various community organizations, arts logical progress.1 and educational institutions, private-sector Following the Velvet Revolution that donors, and the authorities—including the brought an end to communist rule in 1989, Brno City Council—formed partnerships to traditional markets were lost. Central plan- bring life back to Vanˇkovka. The Chief Archi- ners in Eastern Europe had built industrial tect’s Office conducted a survey to determine plants in the city’s core and high-rise housing the conditions required for monument pro- estates along tram and bus lines on the out- tection, as well as feasibility studies for new skirts. When production declined, nearly one use of the area. The city government sup- third of the industrial zones—mostly situated ported a privatization process to remove the in the southeast part of the city—became area as a protected zone from the “package” “brownfields”: obsolete and permanently of the residual property of the state-owned underused sites such as former factories and ZETOR company. The city agreed to pay military bases.2 51.6 million Czech crowns ($1.34 million in Brno now wants to hark back to its roots. 2000 dollars) to resolve the company’s finan- In the early 1990s, the city began preparing cial debts and get ownership of Vanˇkovka.4 the South Centre project to develop a new The Brno city environment department city quarter on the extensive underused land paid for research on cleanup to gauge the risk between the core of the historic city and the for future investors. The area was loaded with proposed new railway station. In the eastern heavy metals, cyanides, polycyclic aromatic section of this site stood the former Vanˇkovka hydrocarbons, and oil residue, with deconta- engineering works and iron foundry. The mination estimated at 7–8 million Czech derelict buildings were a blight on the city’s crowns ($181,000–207,000 in 2000 dollars).5 frequently traveled transportation corridors. Exhibitions, theater performances, con- The idea to revitalize Vanˇkovka was first certs, workshops, festivals, and children’s put forward in 1993 during Brno’s 750th activities were organized on the Vanˇkovka anniversary celebrations. The following year a premises, drawing many thousands of people. group of activists from various bodies set up a Most took place in the Pattern Shop and the foundation, which later became the Vanˇkovka Core Room of the old factory buildings. By Civic Association, with the aim of aiding the the end of the 1990s, Vanˇkovka had hosted reconstruction and revitalization of the site more than 170 events and had become an

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STATE OF THE WORLD 2007 Cityscape: Brno

Libor Tep ly´, www.volny.cz/fotep

item on the cultural The planning map of the region, process also with attention initiated discus- and support sions concern- from abroad.6 ing public spaces Shortly after in and around the city of Brno the Vanˇkovka became the owner complex—the of the premises in “Vanˇkovka After renovation, September 2000, the old foundr streets”—and front of the NGO centery wall became the the German firm upgrades for ECE presented plans to invest $120 million the surrounding in the construction of a 37,000-square- streetworks and public transport. meter shopping center. The firm accepted After more than 15 years, this piece of the Vanˇkovka Civic Association’s invitation land at the center of Brno is once again alive, to open discussions, bringing together bringing the city benefits and income. The Czech and foreign experts and members of redevelopment of Vanˇkovka, with its central the public to consult and contribute to the location and public transport accessibility, has plan. While most of the block was trans- increased prospects for new developments formed into the Galerie Vanˇkovka shopping on surrounding sites. Its success has made center, two buildings remained from the Brno a leader in forging a systematic policy original monument-protected area—the approach to brownfields, while refocusing Machine Works hall and the “office build- strategic priorities on redevelopment of land ing”—while the Core Room and the facade within the city. Vanˇkovka has given life to the of part of the Foundry were incorporated hopes of revitalizing other brownfield sites into the new building.7 in the region. When the shopping arcade opened in The experience also demonstrates the March 2005, a special section that is wheel- importance of the creative and visionary role chair-accessible from outside was made avail- played by civic initiative and the nonprofit able for a cultural and community center sector in regenerating brownfields. The Vanˇ- for NGO activities. The name of this center, kovka Civic Association not only documented Slévárna Vanˇkovka, calls to mind the former Vanˇkovka and made it more visible, it also foundry. It consists of Cafe Práh (“halfway” helped solve a complicated ownership prob- cafe), an information center for young peo- lem. These activities increased the site’s social ple, and an all-purpose hall. To renovate the potential and its commercial attractiveness two original buildings, the Brno South Cen- while reducing the pressure for greenfield tre city development company invested the construction. The association’s innovative funds that ECE had paid for its part of the work to support cultural activities is now be- site. The large space of the former Machine ing replicated in brownfield redevelopment Works became an exhibition hall for contem- campaigns in other Czech cities.8 porary Czech paintings. It is named after the —Eva Stanˇková old factory’s founder—the Wannieck Gallery. Vanˇkovka Civic Association

171 CHAPTER 9

Fighting Poverty and Environmental Injustice in Cities Janice E. Perlman with Molly O’Meara Sheehan

“Cities, like dreams, are made of desires and tion of the South, including 41 percent in fears,” wrote Italo Calvino in Invisible Cities. Mumbai and 47 percent in Nairobi. Resi- If so, our cities range from daydreams to dents typically lack basic urban services (water nightmares, depending on the city, the and sanitation, electricity, paved roadways) moment in time, and a person’s position and security of tenure, including official title within the social and physical landscape. to homes or land and freedom from evic- Cities, like regions and countries, have expe- tion. Even where informal communities have rienced uneven development exacerbated by urban infrastructure and de facto rights to use government inability to offset the inequities the land, they remain stigmatized spaces, produced by globalization. Within many while the low-cost labor of their residents cities, inequalities have deepened—between helps sustain life’s daydream for the privi- rich and poor, between included and leged in the formal city.2 excluded, and between the “formal” and the As housing prices in the formal city are “informal” city.1 prohibitive for the poor, they have no choice The informal city consists of squatter set- but to live in the most dangerous areas: on tlements, clandestine subdivisions, invaded the streets, as is common in India; in alley- residential and commercial buildings, provi- ways outside wealthy homes, as in many sional housing for refugees or migrant work- Asian cities; on hillsides too steep for con- ers, and often degraded “social housing” ventional construction, as in the favelas of complexes. These communities account for Rio de Janeiro; on stilts in marshes, as in some 40 percent of the total urban popula- Bahia’s alagados; on floodplains, as in many

Janice E. Perlman, a Guggenheim Award recipient, is the founder and President of the Mega-Cities Pro- ject, an international nonprofit, and a former professor of city and regional planning who consults widely on urban poverty and environmental justice issues.

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of Jakarta’s kampungs; atop garbage dumps, ing on bottom-up, community-based inno- as in Manila; or even in cemeteries, as in vations, which are small in scale relative to Cairo. Families often remain through several the magnitude of the problems. generations and upgrade their homes and • There can be no impact at the macro level communities over time. Even young people without sharing what works among local who manage to enter university often have leaders and scaling these programs up into no place to live outside these “marginal- public policy where circumstances permit. ized” spaces.3 • There can be no urban transformation Poor urban neighborhoods face the worst without changing the old incentive sys- of two worlds: the environmental health haz- tems, the “rules of the game,” and the ards of underdevelopment, such as lack of players at the table. clean drinking water, and of industrializa- • There can be no sustainable city in the tion, such as toxic wastes. Yet their residents twenty-first century without social justice tread lightly on the planet, using few resources and political participation as well as eco- and generating low levels of waste in com- nomic vitality and ecological regeneration. parison with their wealthier neighbors. The A casual look at book titles throughout the gap between rich and poor in cities from 1960s and 1970s shows that the call for atten- Nairobi to New York means that those with tion to the urbanizing world has been the fewest resources suffer most from pollu- sounded for decades: The Urban Explosion in tion generated by the wealthiest. Latin America, The Exploding Cities, The Those who advocate “sustainable devel- Wretched of the Earth, Uncontrolled Urban opment”—meeting the needs of people today Settlement. There may have been slightly without despoiling the planet for future gen- more interest in urban poverty during the erations—too often overlook the striking envi- cold war due to fear that migrants and squat- ronmental injustice in our cities. The logical ters might lead to leftist regimes. But once it sequence linking global sustainability to urban was recognized that squatters were more poverty is synthesized in what have become interested in better opportunities for their known as the Perlman Principles: children than in social protest, this interest fell • There can be no global environmental sus- off. It has only recently resurfaced in light of tainability without urban environmental urban violence and security issues.4 sustainability: Economies of scale in cities Gradually, international agencies have create energy and resource efficiencies. begun to acknowledge the significance of Transforming the urban metabolism cities and urban poverty. In 1999 the World through circular rather than linear systems Bank and UN-HABITAT formed the Cities is the key to reversing global environmen- Alliance to coordinate slum upgrading, in tal deterioration. 2001 UN-HABITAT became a full-fledged • There can be no urban environmental solu- United Nations program, in 2003 the inter- tion without alleviating urban poverty: The national community agreed on a single defi- urban poor tend to occupy the most eco- nition of “slums,” and in 2004 United Cities logically fragile areas of cities and often and Local Governments was formed, giving lack adequate water, sewage, or solid waste formerly competing local authority networks management systems. a unified voice. • There can be no solutions to poverty or These recent milestones are important, environmental degradation without build- but the pace of change remains too slow.

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One of the U.N. Millennium Development record of bribery in their utility companies, Goals explicitly focuses on urban poverty: private firms that dictate local laws and reg- improve the living conditions of 100 million ulations, and high levels of corruption nation- slum dwellers by 2020 (Target 11, which is wide. Ronald MacLean-Abaroa discovered part of Goal 7 on environmental sustainabil- this reality after becoming the first elected ity). Even if achieved, this would make but a mayor of Bolivia’s capital, La Paz, in the mid- small dent, as it aims at just 10 percent of the 1980s: “Whenever I found problems in ser- existing slum population, and an additional 1 vice delivery or the prompt completion of billion people will be living in urban areas of public works or the collection of revenues, developing countries by 2020. Why are we they happened not just to be associated with always playing catch-up? 5 inefficient organization but almost always with corruption.” 7 Barriers to Equitable Cities Corruption, clientelism, and cronyism— the “three Cs” that undermine democracy— Among the obstacles to reducing urban worsen urban poverty. Corruption skews poverty and promoting environmental justice public spending toward sectors where brib- are inept and corrupt governance, violence, ing is easier, such as large public works con- anti-urban bias, skewed development assis- struction, and generally away from education, tance, counterproductive incentives and resis- health, and maintenance of existing infra- tance to change, and a lack of reliable structure. When people need to bribe officials city-level data necessary to benchmark to get needed services, those who can least progress. afford the bribes suffer the most. A survey in Weak governance. The urban poor, gen- Indonesia found that bribes required by erally excluded from decisionmaking, are the police, schools, electricity companies, and greatest untapped source of ideas about garbage collectors ate into the already tight improving their cities and lives. Over the last budgets of the urban poor.8 several decades, mayors have been elected Violence and stigma. The increase in for the first time in many countries, arguably urban violence that has accompanied the rise bringing the government closer to the peo- in drug and arms trafficking has created par- ple, but most poor people still do not have a ticularly high mortality rates among urban voice in governance. Since decisionmakers youth. When dealers purchase complicity tend to come from elite sections of society, from the police for their illegal activities, they they often have a vested interest in main- can hold entire low-income neighborhoods taining the status quo. Lawmakers in Kenya, hostage. The consequent association of the for instance, who saw bicycles as toys for chil- urban poor and violence only serves to deepen dren rather than an important transporta- the stigma that already constrains life oppor- tion mode, levied a luxury tax on bikes for tunities for these people.9 years, keeping the cost too high for many A multigenerational study of families in Rio low-income residents.6 confirmed this trend. (See Box 9–1.) Fear of Poor governance is reflected in uneven violence keeps people homebound, while job service delivery. World Bank Institute interviews end when the applicant’s address researchers have documented that people is identified as in a favela. Among people of have less access to water, sewerage, and equivalent educational levels, those who lived school-based Internet in cities that have a in favelas had less success finding jobs.10

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Box 9–1. Violence in Rio: Undermining the Urban Poor

A study of three favelas in Rio de Janeiro, Brazil, they must act like the three monkeys: they “see in 1968–69 and follow-up interviews with many nothing, hear nothing, say nothing.” of the original participants and their families in This “sphere of fear” has the devastating 2001–03 revealed that one of the most drama- consequence of decreasing social capital, one of tic and devastating changes over the past 30 the few great assets for mutual assistance in years has been the growth of lethal violence. In getting ahead. Now people are afraid to leave 1969, people were afraid their homes and com- their homes.As Nilton, a 60-year-old former munities would be removed by the military favela resident who now lives in a housing pro- government.Today, they are afraid of dying in ject, put it:“To live here is to live in a place crossfire between drug dealers and police or where daily you do not have the liberty to act between rival gangs. freely, to come and go, to leave your house Their fear is justified. In 2001, 20 percent of whenever you want to, to live as any other per- the original interviewees, 19 percent of their son who is not in jail. It is imprisoning to think: children, and 18 percent of their grandchildren ‘Can I leave now or is it too dangerous?’ Why reported that some member of their family do I have to call someone and say that they had died through lethal violence—much higher shouldn’t come here today? It is terrible, it is rates than in cities in Colombia or Bolivia, oppressive. Nobody wants to live like this.” which are drug-producing countries. Even when Consequently, there is less sense of commu- low-income families manage to move out of the nity unity, less use of public space, less socializ- favelas into public housing or peripheral but ing and trust among neighbors, and much less legitimate neighborhoods, the drug-related vio- participation in neighborhood organizations. lence follows them.The death rates and life Almost all residents’ associations are controlled expectancies for young men in poor communi- by the drug and arms traffickers (except those ties rivals those in countries in a civil war. controlled by the “death squads”), so that even The poor feel trapped between the drug the earlier low level of bargaining power of dealers and the police. In 2003, 81 percent said such groups is gone.And the link between that neither helps them and that both commit favela residents and criminality has made it violent acts with impunity.As the gangs are bet- harder to get jobs or to hear about available ter financed and armed, it is easy to bribe the odd jobs.The rental and sales values of police. It is not uncommon for police to barge homes—residents’ greatest asset—has fallen, into low-income homes with the excuse of and service providers from teachers and health searching for a gang member and then tear the workers to nonprofits hoping to provide aid home apart and kill family members at random are afraid to enter the communities. Even com- to demonstrate power and “instill respect.” mercial deliveries are no longer made.Those Seeking retribution from the courts is futile, interviewed noted that marginalization and and identifying the dealers is a death sentence, exclusion have only deepened since the end of for the communities are entirely in the hands the dictatorship. of the dealers once the police leave. People say SOURCE: See endnote 10.

Violent crime is a much greater threat in Anti-urban bias. Environmentalists and some places than others. Researchers have development specialists have long portrayed found the world’s lowest levels of robbery and cities as threats to nature. Many policymak- assault in Asia and the highest levels in Latin ers still adhere to this old mindset, pitting America and sub-Saharan Africa.11 environmental concerns against economic

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STATE OF THE WORLD 2007 Fighting Poverty and Environmental Injustice in Cities growth and preventing further growth of countries and found that 70 percent aim to cities, especially megacities. In 1986, a study lower migration from rural to urban areas. commissioned by the U.N. Fund for Popu- This study confirmed that the impact on lation Activities found that almost every overall population distribution was “almost nation had made some attempt to limit urban negligible.” 15 growth by investing in rural development, cre- The myth that people will stop coming to ating “growth poles” or “new towns,” forc- cities if public housing is not built and squat- ing people to relocate to undersettled regions, ter settlements are removed is unfounded moving their national capitals, or introducing and hurts the poor. Miloon Kothari, U.N. closed-city policies.12 Special Rapporteur on Housing Rights, esti- Countries spent a good deal of money and mated in 2006 that the number of forced political capital in these efforts, but none suc- evictions had risen worldwide since 2000. ceeded in stemming the tide of migration. “Without human rights safeguards,” Kothari Investment in rural roads, electrification, warns, “the commitment to the reduction education, health, and industrialization, of slums, including through the relevant while important for improving rural living MDGs, can easily become slum-eradication to standards, in many cases just increased the the detriment of slum-dwellers.” 16 rate of migration to urban areas. As people Skewed international assistance. Although became more aware, they used their new virtually all of the world’s population growth roads and skills to seek wider opportunities is expected in the cities of Africa, Asia, and in the city.13 Latin America, and most of this will be in low- Even where freedom of movement was income areas, development assistance has highly restricted—such as colonial govern- been reluctant to recognize the urbanization ments, command-and-control economies, of poverty. From 1970 to 2000, all urban and police states—people nonetheless found development assistance was estimated at $60 ways to sneak into cities. The most “success- billion—just 4 percent of the total $1.5 tril- ful” efforts to prevent urban growth were in lion. Few bilateral aid agencies have any kind apartheid South Africa, which required pass- of urban housing program, or any serious ports for non-whites to enter cities; China, urban program at all.17 which used rice ration cards and a house- The decisions of international develop- hold registration system; Russia, which used ment banks are important, even if aid is not housing allocations; and Cuba, where a the primary source of foreign investment in national policy of keeping people in the coun- a given country. In recent years, aid has tryside was backed by the use of force. Yet been roughly one tenth the level of private “floating populations” of migrants entered capital flows in developing countries. Yet Chinese cities, Moscow apartments became international aid agencies leverage additional crowded with friends and relatives trying to funding and influence the research agendas move to the city, and governments every- and spending priorities of governments, uni- where kept inaccurate records of city size to versities, and nongovernmental organiza- maintain the fiction of non-growth.14 tions (NGOs).18 As recently as 2005, scores of nations Aid that does flow to urban areas often were still attempting to curb urbanization. misses the poor. The London-based Inter- The United Nations Population Division national Institute for Environment and Devel- recently analyzed migration policies of 164 opment found that urban projects accounted

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for 20–30 percent of all lending at several politically and financially marginalized. agencies from 1981 to 1998. But housing, The voices for greater support for urban water, sanitation, and other services that programs often face derision from those who improve conditions for the urban poor believe that government spending is already received just 11 percent of total lending at the pro-urban. But rigorous economic studies World Bank, 8 percent at the Asian Devel- find that wealth generated in cities ends up opment Bank, and 5 percent at Japan’s Over- subsidizing the countryside.21 seas Economic Cooperation Fund.19 The World Bank reports that its lending Development assistance has and staff devoted to urban areas continues been reluctant to recognize the to lag behind the resources invested in the rural sector. All countrywide World Bank urbanization of poverty. investments and most bilateral aid in devel- oping countries are guided by Poverty On a more positive note, the World Bank Reduction Strategy Papers prepared by gov- is now considering subnational lending, ernments in consultation with the World which would allow loans to go directly to Bank Group. These documents tend to municipal governments, bypassing national neglect urban areas.20 finance ministries. This would help cities— The international assistance community particularly megacities—receive monies des- cut its teeth on rural development and is pro- ignated for them from international agencies fessionally and structurally geared toward that is now often held up by national gov- assisting rural peasants, not to continuing ernments that have imposed lending ceil- assistance for them when they move to cities. ings or that see political advantages in Development experts seem to prefer “mis- withholding funds. For instance, national sions” to attractive agricultural areas, fishing governments in Brazil and Mexico do not villages, and environmental preserves over want the mayors of their major cities to those in the polluted, overcrowded, and often appear successful because they are potential dangerous urban slums. competitors for the presidency and often Pressure to bring more attention to urban from opposition parties.22 poverty within the international develop- Counterproductive incentives and fear ment community has met with strong resis- of change. The incentive systems of aid agen- tance. Every Executive Director of cies are at odds with contextually specific, UN-HABITAT since its founding in 1978 community-based, anti-poverty initiatives. has urged that we must act now, and yet Development professionals are promoted none has succeeded in receiving funding par- based on the size and rapidity of loans ity with other U.N. agencies. When UN- “pushed out the door,” making one-size- HABITAT was headquartered in Nairobi fits-all approaches the best route to promo- along with the U.N. Environment Pro- tion, as opposed to smaller-scale projects gramme (UNEP) to assuage political pres- where the priorities are set by local people. sures from African countries, it was no secret One analyst concluded that “the people that these were considered the most expend- whose needs justify the whole development able United Nations bodies. Although industry are the people with the least power UNEP and UN-HABITAT have an impres- to influence development and to whom there sive campus in Nairobi, both agencies remain is least accountability in terms of what is

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funded and who gets funded.” 23 mobilize resources to collect their own data, The public sector is generally risk-averse. they often exclude informal settlements and Elected and appointed officials often feel safer are rarely comparable with earlier studies or sticking with “the way things have always with data from other cities. The Global Urban been done,” even if results are suboptimal, Observatory created by UN-HABITAT in rather than risk being fired or not re-elected 1998 to address this problem has had little for making a mistake. There is a high price to success in finding indicators comparable across pay for an unsuccessful initiative—and little cities, despite its Web-accessible database of or no reward for innovation. As Alan Alt- 237 cities that covers measures of poverty, shuler and Marc Zegans have noted, in the environment, infrastructure, urban services, private sector the expectation that some ideas shelter, and land.25 and initiatives will not be successful is built Apparently neutral questions such as what into the process, and funds are set aside for to measure, what indicators to use, how to R&D where the entire point is to experi- collect reliable data on these indicators, how ment and innovate.24 to make sense of the results, and how to dis- seminate the results are in fact value-based Federations of urban poor have issues that have political and social implica- tions. Answers to these urban indicators ques- pooled their money in savings groups tions will be a major topic of debate at the to support community projects. next World Urban Forum in Nanjing, China, in 2008. Fragmentation and competition among public agencies and academic disciplines fur- Signs of Hope ther limits cooperation in solving urban prob- lems. Each area—water and sanitation, Despite these obstacles, the energy and cre- transportation, housing, land use planning, ativity in cities has generated scores of system- private-sector involvement, poverty allevia- challenging innovations, many of which have tion—is in a separate department, often run spread from one place to another or—politics by people who may compete for resources, permitting—have been scaled up into public attention, or staff. Yet these issues are inter- policy. Three examples described in this sec- twined, so that an apparent solution to one tion are urban poor federations, which started may lead to new problems in another. Even in Mumbai, India; land-sharing, which started when universities or international agencies in Bangkok; and participatory budgeting, have created interdisciplinary structures, indi- which started in Porto Alegre, Brazil. viduals still have the strongest allegiances to Over the last two decades, a new kind of their home department, where appointments, federation of urban poor has emerged from promotions, and payments are set. grassroots savings groups. The member Inadequate data for benchmarking. Lack groups, often led by women, learn from and of city- and neighborhood-level data makes support each other. The catalyst for this devel- it difficult to measure progress and hold gov- opment was the National Slum Dwellers Fed- ernments accountable. Most statistics are only eration in India. Its head, A. Jockin, was a available at the national level, at best broken community leader who had long fought to down between rural and urban, but not by protect his own and other “slums” from specific cities. Where cities have managed to being bulldozed.26

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In the early 1980s, Jockin and other slum Dwellers International). Groups in Brazil, leaders in India demonstrated the capacity Ghana, Kenya, Malawi, Sri Lanka, and of their groups to lower costs and reach more Swaziland have since joined SDI. Many have people with their own form of housing and programs that have reached tens of thou- basic service programs. At the same time, sands of members with better housing and women pavement dwellers in Mumbai sup- basic services; some have reached hundreds ported by a local NGO called SPARC (the of thousands.29 Society for Promotion of Area Resource Cen- Federations of urban poor, and the NGOs ters) created a savings program (Mahila that work with them, have devised numerous Milan) that each woman contributed a few ways to tackle common obstacles. They have cents to every week. These three organiza- pooled their money in savings groups to sup- tions formed an Alliance that since 1985 has port community projects. They have over- been demonstrating to governments how to come the lack of data on informal settlements address the needs of slum dwellers in concrete by doing their own censuses and commu- projects from new housing to community nity mapping. Their persistence has often mapping and public toilets. (See also Chap- prodded into action governments that were ter 2.) The Alliance has strong links with the resisting change.30 Asian Coalition for Housing Rights, and both Another important innovation—land shar- work to support organizations of the urban ing—began in Thailand. In the 1980s, NGOs poor in different Asian nations.27 and National Housing Authority architects Representatives from this Alliance were began organizing residents of informal set- invited to South Africa in 1991 to help com- tlements facing eviction to negotiate with munity leaders consider how that country’s the owners of the land they occupied in first democratically elected government Bangkok. Their goal was to enable squatters should address housing issues. The visitors to get new apartments with full services and helped set up what is now the South African secure land tenure on a part of the disputed Federation of the Urban Poor, formed around land in exchange for returning the rest of indigenous savings groups, which began the land for commercial development. By housing projects to demonstrate the capacity agreeing to such land sharing arrangements, of their members. These groups, along with the landowners could avert years of conflict, the Asian Coalition for Housing Rights, also lost profits, and loss of face, and they were connected with urban poor organizations able to develop market-rate projects on a and networks in Thailand. During the early portion of their property, the profits of which 1990s, other national federations formed, easily paid the costs of building the multi- drawing support from the already established family dwellings and infrastructure.31 federations. Most, like the Indian and South The Thai government worked with one of African federations, had a local NGO to sup- the local leaders, Somsook Boonyabancha, port them.28 to set up the Urban Community Develop- In 1996, with active federations in Cam- ment Office (UCDO) in 1992 and to bring bodia, India, Namibia, Nepal, South Africa, participatory development to more urban Thailand, and Zimbabwe and with interest poor neighborhoods. The board of this new from community organizations in many agency included senior government officials, other nations, the federations formed academics, and community representatives. their own umbrella group: SDI (Slum/Shack Beginning with a $50-million capital fund,

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UCDO was able to make low-interest loans neighborhoods, corruption and clientelism to organized communities to buy land, con- became impossible to hide.35 struct or improve homes, or start small busi- Participatory budgeting has resulted in nesses. It encouraged communities to form greater investment in poor neighborhoods, savings and credit groups to hone their man- with greater targeting to issues identified by agement skills and bring their own resources the poor as top priorities. A survey conducted into development projects.32 after the first year revealed that most of Porto In 2000, UCDO merged with the Rural Alegre’s poor people wanted clean water and Development Fund to become the Commu- toilets, whereas the government previously nity Organizations Development Institute, assumed that the top priority was trans- which launched a huge campaign in 2003 to portation. After initial success in creating sol- develop good housing, infrastructure, and idarity rather than conflict among secure land tenure with 300,000 households neighborhoods of rich and poor, participatory in 2,000 poor communities in 200 Thai cities budgeting spread to other cities in Brazil, within five years. By the time of the Septem- the rest of Latin America, and elsewhere. ber 2006 coup d’état in Thailand, 450 com- (See Box 9–2.)36 munity upgrading projects in 750 While participatory budgeting has been communities in 170 towns and cities were adapted internationally, many cities lack the under way or completed, reaching more than legal framework and strong local govern- 45,500 households.33 ment needed to practice it. In 2002, The ambitious scale of these Thai efforts researchers commissioned by the Inter- has yielded results. In 2006, UN-HABI- American Development Bank concluded that TAT found that Thailand was among a hand- for participatory budgeting to happen, cities ful of nations that are on track to meet the must have a competent local government Millennium Development Goal of improv- committed to including the urban poor. This ing the lives of slum dwellers. The number is generally not the case.37 of slum dwellers in Thailand has fallen by Even when the political will exists to 18.8 percent a year, and UN-HABITAT implement participatory budgeting, many credited community-driven upgrading sup- obstacles remain. Yves Cabannes of Uni- ported by the government for this encour- versity College London identifies the fol- aging development.34 lowing as key challenges: How can A third notable innovation is participatory municipalities maintain participatory bud- budgeting, which was started in Porto Ale- geting after it is started by a political party gro, Brazil, when the city government used that leaves office? How can it be sustained the 1988 post-dictatorship constitution to in conditions of scarce local budgetary involve the urban poor in priority setting resources? How can cities mobilize local for community-level budget appropriations. resources to meet the expectations of those The Workers’ Party Mayor made public the who participate so that false expectations do existing neighborhood allocation of service not backfire? How can cities expand par- delivery and investments and asked that par- ticipation to include the poorest and most ticipatory processes be used to set priorities excluded, especially young people, women, on the use of municipal funds in each com- the elderly, and migrants? And how can munity. Once every penny of expenditure cities best learn from the immense variety of had been negotiated within and among the experiences with participatory budgeting?38

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Box 9–2. The Spread of Participatory Budgeting

In Brazil, where participatory budgeting was tional Development is supporting participatory born, expansion is slowing but the process is budgeting through its Plan Colombia, and local reaching a greater range of cities. By 2006, governments, including in Pasto and Medellin, some 200–250 municipalities in Brazil had par- are separately experimenting in their own ticipatory budgets.This process initially was ways.Venezuela, Uruguay, Chile, and Bolivia all used in Brazil’s wealthier south and center, but have the topic on their policy agendas. now it has reached northeastern capitals, Since 2003, the Municipality of Porto Alegre including cities with high poverty, such as Fort- has coordinated a network, supported by the aleza, Recife, and Aracaju. Participatory budget- European Union, that includes over 350 cities ing is no longer unique to the Workers’ Party, and 100 institutions from Europe and Latin as parties from the center to the extreme left America.At the World Urban Forum in June are adopting the process. 2006, participants from more than 30 countries Peru has also passed and implemented com- attended a workshop on participatory budget- prehensive participatory budgeting legislation. ing; earlier that month, people from Africa,Asia, Over the past five years, more than 800 local, and Eastern Europe traveled to Brazil for a regional, and provincial governments there three-city workshop on the subject. have started to discuss budgets with residents. Between 2000 and 2006, the number of munici- Although this “top-down” approach suffers palities with participatory budgets grew from from rigid procedures and a uniform system for 200 to roughly 1,200 worldwide. In Europe, civil society representation that does not always more than 50 cities have adopted this fit the local context, many initiatives are flour- approach, and initiatives are under way in Asia, ishing, supported by the Red Peru network and Africa, and North America as well. nurtured by Peru’s strong participatory culture. In Colombia, the U.S.Agency for Interna- SOURCE: See endnote 36.

Sharing Approaches tive structures generate progressive change. The Mega-Cities Project was founded in That Work 1987 to address these issues and to stimulate The experiences just described belie stereo- transformation of policy and practice from the types about the incompetence of the urban bottom up. Hundreds of successful innova- poor, about the inability of community tive solutions are bubbling up in cities world- groups to collaborate with governments wide. The Mega-Cities strategy is to discover and international agencies, and about the and uncover these, document and disseminate narrow self-interest of urbanites seeking them, and scale them up into policy (where benefits for their own neighborhoods at possible) or transfer them worldwide to cities the expense of the common good. Urban seeking to adapt them and jump-start prob- poor federations, land sharing, and partic- lem solving of their own. As a result, the lag ipatory budgeting are only three of many time between ideas and implementation is innovations that should provoke policy- shortened and the effects of approaches that makers to rethink whom the city is for and work are multiplied. how it works—who sets the policy agenda, The need to share workable solutions was what groups are included in decisionmaking, highlighted by the results of a Global Lead- how conflicts are handled, and which incen- ers Survey conducted by Roper Starch Inter-

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STATE OF THE WORLD 2007 Fighting Poverty and Environmental Injustice in Cities national. Although 96 percent of leaders from tured the value added of the final products, all sectors agreed that their cities faced simi- drew support from government and interna- lar problems to other cities, and 96 percent tional institutions, facilitating the total said they would benefit from sharing infor- upgrading of the community. People moved mation, only 11 percent felt very knowl- out of the dump into apartments with stan- edgeable about what other cities were doing dard urban services, and the children left the to solve problems. Despite the availability of donkey carts and entered school. Children instant messaging, Web sites, blogs, and data who attended school could apprentice in the retrieval at the touch of a keypad, leaders craft of their choice and earn income from have little time or propensity to go online for their production. After centuries, the Zab- solutions to their problems. They need to baleen began to overcome the stigma attached hear a new idea in person from a peer or see to trash workers. it for themselves.39 In 1994, at a Mega-Cities Project meeting Mega-Cities teams in the 21 largest cities in Jakarta, Manila coordinator Me’An Igna- of the world facilitate these face-to-face cio realized that this approach might be encounters. They include network leaders adapted to the Payatas settlement in Manila from NGOs, grassroots groups, government, and arranged to bring a delegation from there business, academia, and the media. These to the 1995 meeting in Cairo to study the teams detected, visited, and documented Zabbaleen. The group returned inspired to more than 400 successful innovations at the study the contents of their local garbage intersection of poverty and environment and stream and decided to start with a guild for brokered the transfer of 40 of them across paper recycling. They were successful in pro- national, city, and neighborhood boundaries. ducing and selling all sorts of paper products This section describes three such transfers— and helped start other small enterprises, using in Cairo, Rio de Janeiro, and Curitiba—as plastic foam insulation and other waste prod- illustrations of both the power of mutual ucts. The idea spread to other communities learning and the difficulties of sustaining new in Metro Manila and around the country and practices that threaten vested interests.40 helped bring many families out of dire Traditionally the Zabbaleen, Cairo’s ver- poverty. Today recycling continues on a small sion of India’s “untouchables,” were trash col- scale in Manila, but garbage dumping has lectors. They lived in an abandoned become a source of large kickbacks to local that had become the city’s garbage dump, and officials, so they discourage these grassroots they earned a meager livelihood from selling recycling efforts.42 waste products by the ton to brokers. In the In Cairo, the Zabbaleen have continued to 1970s, a consulting firm called EQI and an generate income through recycling but have affiliated nonprofit began working with the not been integrated into the city’s waste col- Zabbaleen to convert trash into marketable lection system as hoped. In fact, globalization products through micro-enterprises based in has entered their lives in recent years, as inter- their homes. Scrap metal was worked into national waste collection businesses have been elaborately etched trays, fabrics were used to given contracts for garbage collection in var- weave colorful placemats and quilts, plastics ious parts of the city and have pressured the were recycled into shoes and games, and Zabbaleen to move out. The international organic waste was composted.41 companies burn the garbage rather than The success of these endeavors, which cap- reusing it; the Zabbaleen, in contrast, man-

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age to recycle 85 percent of what they collect. Back in Rio, the lessons from this expe- At the moment one third of Cairo has no rience evolved into Favela-Bairro, the most garbage collection at all. As Mona Serageldin, extensive squatter upgrading project ever an architect from Cairo who teaches at Har- undertaken. From 1995 to 2004 the refor- vard, suggests, the waste problem there will estation program reached 87 communities not be solved until the traditional and mod- and 250,000 people, and by 2006 Favela- ern waste collection systems are linked.43 Bairro had reached 556,000 people in 143 Another innovation comes from Rio, favelas. Workers are paid $150–500 a where about one third of the residents live in month, and some work at three nurseries the favelas, many of which are too steep for con- city supports, producing 120,000 trees a ventional construction. Each year during the month. More than 1,500 hectares have been rainy season, floods and mudslides wash out planted with some 3.5 million trees, which hundreds of their homes, killing many peo- helps to generate income, provide food ple and polluting communities with sewerage security, improve air quality, and prevent overflow that then runs into Guanabara Bay. flood disasters.45 In 1986, the Municipal Secretariat of Social Development launched Projeto Mutirão (reforestation), which combined planting In Cairo, international companies burn vegetables and fruit trees on upper slopes to the garbage rather than reusing it; prevent erosion and further settlement with the Zabbaleen, in contrast, manage to installing underground sewerage pipes to sep- recycle 85 percent of what they collect. arate human waste from open drainage canals. Community leaders managed the process, hiring qualified unemployed residents, and for The success the city government had in the first time in history the city paid for the paying community residents through local labor—from cultivating seedlings, planting leaders was transferred into several other pro- trees, and maintaining new green areas to jects, the most extensive being the garbage digging trenches and installing pipes.44 collection initiative, Favela Limpa (Clean At the 1992 Mega-Cities Project meet- Favela): the municipal waste collection com- ing in Rio, Jakarta coordinator Darrundono pany now hires favela residents to collect was inspired to integrate elements of Rio’s waste door-to-door and bring it to collection progam into the Kampung Improvement points for municipal trucks.46 Project (KIP), an upgrading initiative that A third transfer involves Curitiba, Brazil. he directed. The core idea of environmental In the 1970s, Mayor Jaime Lerner devel- and nutritional awareness and of the impor- oped a bus system that was quick, comfort- tance of greenery to the quality of life in able, and convenient enough to draw riders poor settlements was integrated into KIP, out of their cars. (See Chapter 4 for further with the additional elements of installing details.) Building and zoning regulations communal washing and toilet facilities on were adapted to allow for higher density con- sites of garbage dumps and encouraging each struction at bus intersections, and trans- family to cultivate edible plants in the small portation within and between neighborhoods spaces around their homes. But the Indone- was fully integrated. In addition, in poor sian program did not adopt the practice of communities inaccessible to garbage trucks, paying residents for their labor. residents received free bus tickets for bring-

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ing their trash to the main road, and old Curitiba, New York has a subway and narrow buses were used as mobile classrooms for streets, which make it hard to dedicate full- computer literacy.47 time street space for buses. Also, the respon- In 1991, New York City and the state sibility for New York streets is split between government were seeking ways to reduce the state-run transit authority that operates automobile emissions, as the city risked los- buses and the city transportation department ing federal funding because it was out of that manages street signs and signals, which compliance with the Clean Air Act. The are key to giving buses priority.50 Mega-Cities Project was asked to present The idea never died, however: it stimulated some measures used successfully in other interest at the Federal Transit Administra- cities. A private foundation offered a challenge tion, which then encouraged bus rapid tran- grant that would cover the costs of the inno- sit in Los Angeles and other cities. In 2001, vation transfer if all the players could agree on when New York Mayor Michael Bloomberg one initiative. New York officials chose an first ran for election, “subways on the surface” environmental education program called Alert was one of his campaign ideas. And in 2006 II, which linked car emissions with air pollu- officials considered a similar system on several tion and public health risk in São Paulo, along corridors throughout the city. The pilot sys- with the Curitiba bus system.48 tem anticipated for operation in 2008 will have drawn some of its inspiration from that Grassroots groups have been the Curitiba demonstration years ago. For the Mega-Cities Project, it was important to have most fertile source of innovation, one of its first transfers occur from South to followed by local governments. North to show that learning could be the reverse of what many people expect.51 In early 1992 the Mega-Cities Project These cases and hundreds of others doc- brought New York City Commissioners of umented and disseminated by the Mega- Environment and Transportation to São Paulo Cities Project provide lessons about the and Curitiba to study these initiatives. The process of social change. Grassroots groups result was a public awareness event called have been the most fertile source of innova- “Green Alert” on Park Avenue, and, with tion, followed by local governments. To reach financial help from Volvo, four of the Curitiba significant scale, innovators need to work in buses and loading tubes were given a test run partnership with NGOs, business, and gov- in four key locations in lower Manhattan.49 ernment. To overcome the myriad obstacles The trial received good evaluations from during the innovation life cycle, from origin those who used it, but the transfer lost to routine practice, a “product champion” momentum when the city administration needs to provide passion and continuity. Inno- changed in 1993 after an election. Critics vation transfer works best when the learning could cite many reasons that Curitiba’s sys- is peer-to-peer, when there is a face-to-face tem would not work in New York. The visit, and when continuity can be assured. demonstration there had given people free (The rapid change of administrations makes trips, so one key element—prepaid board- transfers tricky between local governments, as ing—was not tested. And the staffed turnstiles they are prone to reject an idea they did not for payment at every bus station would be initiate.) But the biggest lesson is that social expensive to replicate in New York. Unlike change is a Sisyphean struggle. While com-

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munity groups and progressive governments Tackling the corruption that weakens gov- struggle to push the boulder of innovation up ernance requires fostering competition so that the mountainside, the gravitation pull of governments do not have monopoly power, “business as usual” is always working in the reducing bureaucratic leeway, and increasing other direction. accountability. For instance, La Paz began to reduce bribery in construction permits by Promising New Directions simplifying and publicizing the rules, con- tracting the permitting out to architects, and Our global future will be urban, like it or not. reducing the city’s job to overseeing the con- People in developing countries will continue tracts—a job that could be done by fewer to vote with their feet, moving to cities or the municipal employees who could be paid more. urban fringe. It will be many decades before Some promising efforts to foster transparent cities of the global South reach a stable pop- governance make government rules, pur- ulation. Although birth rates decline with chases, and investments public knowledge by urbanization, this happens more slowly with posting them on the Internet.53 the urban poor. Ensure decent work or a basic income. What can be done to make our urban Jobs are a top priority for the urban poor. In future a desirable and sustainable one? What 2001, the majority of interviewees in the kinds of cities foster conviviality and creativ- multigenerational study of favela residents in ity? How can poverty and environmental Rio said that “the most important factor degradation be alleviated and a voice for the for a successful life” was a good job with a disenfranchised be ensured? good salary. They want a chance to earn There is no magic bullet for creating sus- their livelihoods whether as employees or tainable, equitable, and peaceful cities. But informal workers—that is the key to their there are some necessary if not sufficient con- dignity. What is needed is both job creation ditions for such transformations: transparent and preparation of people within their com- governance, decent work or a basic income, munities for jobs that exist in market sectors innovative infrastructure to conserve the envi- that are growing.54 ronment, intelligent land use with integrated Job and skills training, mentoring, and community development, and social cohe- help in finding a first job can play a major role sion along with cultural diversity. if done correctly. There is no use building Foster transparent governance. Effective people’s capacity for jobs that no longer exist. governance is essential to scale up promising Savings and credit are key to job creation. innovations into public policies, to provide Without access to these financial tools, would- basic services equitably, and to forge part- be entrepreneurs cannot start small busi- nerships with the private and voluntary sec- nesses. Many forms of microfinance, including tors. Addressing the World Bank Board in community savings and credit funds as well as Singapore in September 2006, Bank President small loans to make improvements to hous- Paul Wolfowitz emphasized this point: “With- ing, have been successful in urban settings. out [good] governance, all other reforms (See Chapter 8.)55 will have limited impact…. It is the view I Larger companies can also play a role in have heard on sidewalks and in taxis—in the strengthening the economies of poor com- marbled halls of ministries and in rundown munities. In Guadalajara, Mexico, where a shacks of shantytowns.” 52 good share of the population lives in

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STATE OF THE WORLD 2007 Fighting Poverty and Environmental Injustice in Cities unplanned settlements, a large, multinational ing toilets, separating drinking and greywater cement company, CEMEX, developed a sav- into different systems, using passive solar ings-and-credit scheme to allow households energy or biogas for heating, and adapting the that earn $5–15 a day (low-income families, recycling technologies developed by NASA but not the poorest of the poor) to buy for life in outer space. Architect William materials to build and improve their housing. McDonough is working on low-cost housing The program has since expanded to 23 cities projects in China that use biogas from waste- in Mexico.56 water for cooking, local compressed earth as In some cases, governments can help cre- building materials, and passive solar design for ate local jobs by hiring the urban poor to help heating and cooling. These sorts of tech- solve pressing environmental problems, as nologies are also being used in Johannes- reforestation in Rio demonstrated. In low- burg. (See Box 9–3.)59 income communities in Dar-es-Salaam in One challenge in adopting low-impact or Tanzania and Kampala in Uganda that were “alternative” technologies is that they do not damaged in flooding, local governments used carry the prestige of “modernity” seen on “community contracts” to get local labor for televisions and in houses of the rich around the necessary rebuilding.57 There is also a role for a “negative income tax” to help in periods between jobs or to sup- Box 9–3. Circular Technologies in plement incomes too low to live on. Mexico Johannesburg, South Africa and Brazil started innovative “conditional cash transfer programs” in which the gov- In the low-income neighborhood of Ivory ernment directly deposits funds into person- Park, Johannesburg, residents are discover- alized debit cards for low-income people as an ing new job opportunities with technol- incentive for desirable action. For example, a ogies that turn wastes into resources. family gets a certain amount of cash for chil- Local NGOs—EcoCity and GreenHouse People’s Environmental Centre Project— dren as long as they attend school regularly, have demonstrated the viability of locally gets other funds upon proof of immunization available rammed earth building materials, against contagious diseases, and receives fur- solar water heaters and cookers, water- ther aid if there are elderly or infirm people less sewage systems, recycling, and small- in the family. Such programs have led to scale organic agriculture.Together with the higher school enrollment and better preven- Co-operatives and Policy Alternative Cen- tive health care, especially in Latin American tre, EcoCity has helped set up more than a dozen “green” cooperative businesses. cities, and New York’s mayor now plans to try Clara Masonganye, from the women eco- 58 the approach. builders cooperative Ubuhle Bemvelo, says Develop innovative infrastructure to con- the green homes “are warm in winter and serve the environment. Cities that do not yet cool in summer.” Midrand Eco Savings have full infrastructure have the chance to and Credit Cooperative allows the local “leapfrog” over outmoded and wasteful sys- savings community to decide how to allo- tems created during the Industrial Revolution. cate loans. —Annie Sugrue They can take advantage of resource-con- EcoCity Trust, Johannesburg serving technologies, both low- and high- tech, to revolutionize the built environment. SOURCE: See endnote 59. Examples include installing water-conserv-

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the world. While cutting-edge neighbor- hoods in places like Stockholm show that Box 9–4. Planning for the Public eco-friendly design is compatible with a high Interest in São Paulo, Brazil standard of living, most people in developing countries do not see these models and con- In São Paulo’s plan, approved in 2002, the tinue to aspire to the worst mistakes of the administration negotiated a change in the floor ratio, which dictates how large a U.S. and European systems. building on a given lot can be.Throughout Promote intelligent land use and inte- the city, the ratio that developers can build grated community development. Urban plan- for no additional cost is now kept to 1, ning is making a comeback after decades of meaning the total area on all floors of a being dismissed as the province of useless new building must be equal to the lot area. colored maps. Creative urbanists have found But in areas where zoning allows floor new ways to involve communities in the trade- ratios of 2, 3, or 4, developers who wish to build more can pay for a permit.The pro- offs of physical planning decisions and to use ceeds go to a public fund for environmen- old planning tools for progressive change. tal, transport, and housing purposes. Zoning, building, and land use regulations The developers’ association published have been adapted to foster mixed-use com- four pages of ads against the proposed munities, with homes close to workplaces, plan in all local newspapers.The adminis- commerce, and recreation. Incentives for tration fought back and the innovation was development in areas with existing infra- eventually agreed upon. But at the City Council several changes diminished the structure have helped limit sprawl. “Areas of proceeds that could be expected from the special interest” have been established to pro- new permit system. It is now the law, how- tect environmentally important areas, connect ever, and developers have to abide, which nature corridors, and allow the upgrading of they can do without any significant harm informal settlements in flexible ways. Com- to their profits. prehensive transportation planning has now When a new administration has a dif- included investments in sidewalks, bicycle ferent approach to social problems or another set of priorities, it puts less empha- paths, and low-cost public transportation sis on some issues, even though they are options with easy connections between local, enshrined in the law. During the Workers’ regional, and longer-distance travel. Party administration (2001–04), for São Paulo has been among the leaders in instance, São Paulo created an Urban Poli- advancing urban planning tools to create a cies Council of 40 members, representing more inclusive city. One of the biggest steps both government and NGOs. It is required there was taxing building developers to cre- by law. But the current administration has never convened the council. ate a fund for investments in the public Developers will always try to change interest, including public transportation, the law in order to build more and more; housing, and environmental improvements. it is in the logic of their business. But as (See Box 9–4.)60 Jean-Jacques Rousseau wrote,“the public Low-income housing options are so lim- interest is not the interest of all.” ited in most cities that new migrants end up —Jorge Wilheim living in the most dangerous places. A logi- Former head of São Paulo’s planning department cal response would be to lay out small plots of land with connection to basic urban ser- SOURCE: See endnote 60. vices, available for small sums or loans. This

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“sites-and-services” approach, first tested in research centers, and nonprofit groups need Dakar, Senegal, in 1972, has been little used, to reflect this reality. All too often in the dis- as it does not offer politicians the chance for course on the future of cities, the focus remains ribbon cuttings and photo opportunities. Yet exclusively on global or world cities in their it makes monetary and environmental sense: role as centers of capital and information flows the costs of infrastructure are small compared and as corporate headquarters rather than on with retrofitting a squatter community, and the more numerous and populous cities of the the new settlements help reduce the inva- developing world. sion of environmentally sensitive areas. To bridge the divide between official Cultivate social cohesion and cultural sources of assistance and the urban poor, diversity. Diversity makes natural ecosystems governments and aid agencies might channel and human economies more resilient, yet their support to a local fund or community prejudice and misunderstanding between dif- foundation in each city. The fund would be ferent groups of people often squanders the earmarked for use by community organiza- potential of cultural diversity to strengthen tions, have transparent decisionmaking, and cities. Solving the complex problems that make it easy for groups that receive assis- our cities face will require the greatest diver- tance to exchange ideas with each other. The sity of cultures and value sets possible.61 Thai government’s Community Organiza- As violent crime rips apart the urban fab- tions Development Institute offers one exam- ric and further isolates the poor, there is a ple of how national governments could need to focus on controlling the sale of arms contribute to local funds. The Swedish Inter- and drugs, reducing the corruption that per- national Development Cooperation Agency mits violence with impunity, and mobilizing has set up local organizations to run urban the society at large to find solutions to the poverty programs in Costa Rica and problem. Promising initiatives include efforts Nicaragua. In Ecuador, the government at community policing in low-income neigh- reached agreements between 1988 and 1993 borhoods and all varieties of arts, culture, with foreign governments to restructure and sports programs for young people at risk. commercial debt instruments and then chan- Some programs of arms amnesty and pre- neled the funds through local NGOs to vention of small arms sales have also been finance development projects throughout tried, with varying degrees of success in low- the country.63 ering urban violence.62 Rethinking development assistance includes finding ways for federations of the Our Urban Future urban poor and NGOs working with them to bypass official aid channels. Two former The directions in politics, economics, envi- World Bank staff members have started a ronmental policy, and society just described Web site, www.globalgiving.com, that allows require at least three fundamental changes. individuals and institutions to support projects The first is to revise the architecture for sup- run by local people. Analyzing this initiative, port to cities and the urban poor, giving cities former Bank economist William Easterly their due and reversing the reward systems to writes: “Think of the potential for creativity promote innovation. As the global population if thousands of potential donors, project pro- shifts toward cities, the agendas of aid agen- posers, technical advisers, and advocates for cies, national governments, foundations, the poor were freed from the shackles of the

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large centralized bureaucracy and could find handful of “focus cities” in developing coun- solutions that worked on the ground. This is tries. A new Urban Sustainability Initiative, not a panacea for redesigning all of foreign supported by the Moore Foundation in the aid; it is just one promising experiment in how United States, is planning city partnership aid could reach the poor.” 64 projects in China, Mexico, South Africa, and A second change needed is to create sys- Tanzania, an exchange of ideas among cities, tematic ways for benchmarking progress and and a set of scientific and social indicators to measuring outcomes in cities. Without reli- gauge urban progress.65 able, comparable indicators of poverty and environmental conditions, we will never know Despite apparent differences in politics, whether progress is being made or how to economics, and culture, cities in compare the impact of one set of practices and policies with another. As international and developing countries and the industrial national efforts have not yielded city-level world have many problems in common. indicators, the need for local benchmarking is clear. One possibility is for local govern- In these and other initiatives it will be ments to hire residents to collect health, important to realize that rather than “best housing, income, and environmental data. practices” and “competitive cities,” what is Federations of the urban poor, from Mum- needed is “better practices” and “collabora- bai to Nairobi, have shown how this can be tive cities.” The “best practice” model is done, organizing communities to perform flawed by its implication of one ideal way for their own censuses. Cities can hold informa- all communities. As the Mega-Cities Project tion collection fairs that would motivate peo- discovered, each new innovation gives rise ple to collect data on their own areas of to new problems and contradictions, which interest and responsibility. require yet further innovations and revised Exchange of information is especially solutions. Another lesson was that a “best essential among those who are most directly practice” in one place may be useless or detri- involved in fighting urban poverty and mental in another. Each location needs to among the urban poor themselves. The jour- adapt solutions to its own history, culture, and nal Environment and Urbanization, pro- local circumstances. The current system of duced by the International Institute for nominating, judging, and rewarding “best Environment and Development, offers one practices” allows for self-nomination and self- important forum for researchers, NGO staff, promotion but leaves little room for neutral and others to exchange ideas. There is also external evaluation. a need for face-to-face discussions among Despite apparent differences in politics, community leaders. economics, and culture, cities in developing Some new projects aim to collect and share countries and the industrial world have many information on urban poverty and the envi- problems in common, often more than they ronment. The International Development share with small towns or villages in their Research Centre in Canada has launched a own countries. Nearly every wealthy city con- program to study interventions in urban agri- tains within it neighborhoods with high infant culture, water and sanitation, solid waste mortality, malnutrition, homelessness, job- management, vulnerability to natural disasters, lessness, and low life expectancy. And nearly and land tenure as a cross-cutting theme in a every city in the developing world contains

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STATE OF THE WORLD 2007 Fighting Poverty and Environmental Injustice in Cities within it a world of high finance, high tech- from Rose Molokoane of the South African nology, and high fashion. If cities are to be Federation of the Urban Poor, or FED UP. used as laboratories for urban innovation, She recently told an audience that included they can harvest ideas to exchange from the development professionals: “We are fed up of South to the North, since low-income cities being the subject of the agenda. We are fed have a lighter ecological footprint and have up with you not listening to us…. We are more experience in reuse. It is time to move poor, but not hopeless. We have money, but from NIMBY (not in my backyard) and no chance to come to the bank and open an NOPE (not on planet earth) to the recogni- account because we have no address. If you tion that all by-products of human activities give me security of tenure, then I have an end up in someone’s back yard and in the address, and I will open account. We will atmosphere that surrounds us. show you we can do it…. The only thing we The last basic shift needed is for people in are concentrating on is how to organize our- positions of power to listen to the most vul- selves. If communities are organized, they nerable portions of the population, particu- are a tool to address issues that are giving you larly young people and women. The cities of double stress.” 68 the future belong to the children of today. The gulf that Rose Molokoane identified Unfortunately, a review of municipal efforts between those who set “development goals” to incorporate children’s concerns in deci- and those who are the target of that agenda sionmaking found that “there is generally is a subset of larger rifts between rich and more interest in showcase projects” than in poor, between the powerful and the power- broader changes.66 less. Bridging these divides will require a new Cities could scale up programs that expose mindset. Unless and until we are ready to young people to arts and sports and develop expand our conception of “we” from “me and areas in which they can excel and feel part of my family” to my community, city, country, something worthwhile. In Rio, one such pro- and planet, the gap will continue to grow. We gram—Affro-Reggae, started in the favela may have come this far through competition Vigário Geral—has used drumming, dance, and survival of the fittest, but if we are to and song lyrics that expressed the commu- make the leap to a sustainable world for the nity’s reality to attract youngsters, build sol- centuries ahead, we will need to be intelligent idarity, and develop a critical analysis of their enough to do it through collaboration and situation. Its work, chronicled in the docu- inclusion. In the words of Australian aborig- mentary Favela Rising, helped defuse a drug inal elder Lilla Watson: “If you’ve come to war with the adjacent favela and has spread help me, you’re wasting your time. But if to other communities.67 you’ve come because your liberation is bound One of the most articulate explanations of up with mine, then let us work together.” 69 the need to listen to the urban poor comes

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Notes

State of the World: A Year in Review (Boulder, CO: 19 December 2005); World Trade Organization, “Day 6: Ministers Agree on Decla- October 2005. “Mexico First in Latin America ration That ‘Puts Round Back on Track,’” news to Set Aside Wilderness,” Environment News Ser- feature (Geneva: 18 December 2005); “Seven vice, 4 October 2005; “Pakistan Quake Rocks States Agree on a Regional Program to Reduce South Asia; Over 18,000 Killed,” New York Times, Emissions from Power Plants,” New York Times, 10 October 2005; “Pakistan Quake Toll Tops 21 December 2005. 73,000,” The Guardian (London), 3 November 2005; United Nations University, Institute for January 2006. “UN International Year of Deserts Environment and Human Security, “As Ranks of and Desertification Opens,” United Nations News ‘Environmental Refugees’ Swell Worldwide, Calls Centre, 1 January 2006; “Oil and Gas Zones Grow for Better Definition, Recognition, Sup- Cover One-Quarter of the Peruvian Amazon,” port,” press release (Bonn: 11 October 2005); Environment News Service, 4 January 2006; The “An Underclass Rebellion—France’s Riots,” The White House, “Fact Sheet: The Asia-Pacific Part- Economist, 12 November 2005; Gabriel D. Grims- nership on Clean Development and Climate,” ditch and Rodney V. Salm, Coral Reef Resilience press release (Washington, DC: 12 January 2006); and Resistance to Bleaching (Gland, Switzerland: “Donor Nations Pledge $1.85 Billion to Combat IUCN–World Conservation Union, October Bird Flu,” Environment News Service, 18 January 2005). 2006; U.S. National Aeronautics and Space Administration (NASA), “2005 Warmest Year in November 2005. World Wildlife Fund, “New Over a Century,” news feature (Washington, DC: Species Found in Fiji’s Great Sea Reef, WWF Sur- 24 January 2006). vey Reveals,” press release (Washington, DC: 2 November 2005); “Fiji Chiefs Create Marine February 2006. European Commission, “Max- Sanctuaries on World’s Third Largest Reef,” Envi- imum Levels Set for Dioxins and PCBs in Feed and ronment News Service, 4 November 2005; “Chi- Food,” press release (: 3 February 2006); nese Petrochemical Explosion Spills Toxics in Edward Alden and Jeremy Grant, “WTO Rules Songhua River,” Environment News Service, 13 Against Europe in GM Food Case,” Financial November 2005; U.N. Food and Agriculture Times, 8 February 2006; “Brazil Expands Amazon Organization, Global Forest Resources Assessment National Park, Creates Forest Reserves,” Envi- 2005 (Rome: 13 November 2005); U.N. Envi- ronment News Service, 15 February 2006; ronment Programme (UNEP), “West Africa’s Sebastien Berger, “1,500 Feared Dead in Mudslide ‘Forgotten’ Elephants Remembered at CMS Meet- Village,” Daily Telegraph (London), 18 February ing,” press release (Nairobi: 22 November 2005). 2006; Karen R. Lips et al., “Emerging Infectious Disease and the Loss of Biodiversity in a Neotrop- December 2005. National Center for Atmos- ical Amphibian Community,” Proceedings of the pheric Research, “Most of Arctic’s Near-Surface National Academy of Sciences, 28 February 2006; Permafrost May Thaw by 2100,” press release “Deadly Fungus Wipes Out Central American

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Amphibians,” Environment News Service, 7 Feb- “World Urban Forum III – Opens Monday!” ruary 2006. press release (Vancouver: 19 June 2006); “Cameroon, France Sign Central Africa’s First March 2006. “Bush and India Reach Pact That Debt-for-Nature Swap,” Environment News Ser- Allows Nuclear Sales,” New York Times, 3 March vice, 23 June 2006. 2006; NASA, “NASA Survey Confirms Climate Warming Impact on Polar Ice Sheets,” press release July 2006. “More African Ivory Seized in Kaoh- (Washington, DC: 8 March 2006); Andy White et siung Harbor,” Central News Agency, 6 July 2006; al., China and the Global Market for Forest Prod- “Clean-up Crews Recover Some of Massive ucts (Washington, DC: Forest Trends, March Lebanon Oil Spill,” Agence France Presse, 19 2006); International Maritime Organization, August 2006; Group of Eight, “Global Energy “International Rules on Dumping of Wastes At Sea Security” (St. Petersburg, Russia: 16 July 2006); to Be Strengthened with Entry into Force of 1996 “Governor, Blair Reach Environmental Accord,” Protocol,” press release (London: 22 February Los Angeles Times, 1 August 2006; “Japan Lifts 2006); “Stronger Rules Take Effect to Govern U.S. Beef Import Ban Imposed Against Mad Cow Dumping of Wastes at Sea,” Environment News Disease,” Environment News Service, 28 July 2006; Service, 10 March 2006. Brandon F. Keele et al., “Chimpanzee Reservoirs of Pandemic and Nonpandemic HIV-1,” Science, April 2006. “Tokyo Embraces Renewable 28 July 2006. Energy,” Environment News Service, 6 April 2006; UNEP, “Restoration of Wetlands Key to Reduc- August 2006. Robyn Dixon, “Ivorians Incensed ing Future Threats of Avian Flu,” press release over Toxins,” Los Angeles Times, 16 September (Nairobi: 11 April 2006); “Record Danube Flood- 2006; “Ivory Coast Toxic Waste Death Toll Rises ing,” Toronto Sun, 17 April 2006; “Balkans Bat- to 10,” Reuters, 16 October 2006; Stockholm tle Flooding,” Sun, 23 April 2006; World International Water Institute, “Experts from 140 Bank, “World Bank: Full Debt Cancellation Countries to Address Water, Environment, Liveli- Approved for Some of the World’s Poorest Coun- hoods and Poverty Reduction in Stockholm,” tries,” press release (Washington, DC: 21 April press release (Stockholm: 18 August 2006); Felic- 2006); UNEP, “UN Secretary-General Launches ity Barringer, “Leaders Accept California Bill to ‘Principles for Responsible Investment,’” press Cut Emissions,” New York Times, 31 August 2006. release (Nairobi: 27 April 2006). September 2006. BirdLife International, “Bugun May 2006. IUCN, “Release of the 2006 IUCN Liocichla: A Sensational Discovery in North-east Red List of Threatened Species Reveals Ongoing India,” press release (Cambridge, UK: 12 Sep- Decline of the Status of Plants and Animals,” press tember 2006); WWF International, “Bluefin Tuna release (Gland, Switzerland: 2 May 2006); “Brazil Overfished in the Mediterranean,” press release Officially Starts First Uranium Enrichment Facil- (Gland, Switzerland; 12 September 2006); U.S. ity,” Environment News Service, 8 May 2006; Food and Drug Administration (FDA), “FDA Lydia Polgreen, “Violent Rebel Rift Adds Layer to Warning on Serious Foodborne E. coli O157:H7 Darfur’s Misery,” New York Times, 19 May 2006; Outbreak,” press release (Washington, DC: 14 John Hagan and Alberto Palloni, “Death in Dar- September 2006); FDA, “FDA Announces Find- fur,” Science, 15 September 2006, pp. 1,578–79; ings From Investigation of Foodborne E. coli “Finally Feeling the Heat,” New York Times, 24 O157:H7 Outbreak in Spinach,” press release May 2006. (Washington, DC: 29 September 2006); B. D. Santer et al., “Forced and Unforced Ocean Tem- June 2006. “Three Gorges Cofferdam Demol- perature Changes in Atlantic and Pacific Tropical ished,” NewsGD.com, 7 June 2006, at www.news Cyclogenesis Regions,” Proceedings of the National gd.com/news/china1/200606070009.htm; “Ja- Academy of Sciences, 19 September 2006; pan Fails to Reverse Ban on Whaling,” Financial UNICEF, “Children Pay the Price for Lack of Times, 20 June 2006; World Urban Forum 3, Safe Water and Sanitation,” press release (New

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York: 28 September 2006); Anna Dolgov, “Two versity of Chicago Press, 1988), chapters 12–15. of Five People Around the World Without Proper Box 1–1 from the following: United Nations Pop- Sanitation,” Associated Press, 29 September 2006. ulation Division, Prospects: The 2004 Revision (New York: 2004); Roy Porter, The Chapter 1.An Urbanizing World Greatest Benefit to Mankind. A Medical History of Humanity (New York: W. W. Norton & Company, 1. “World’s first sustainable city” and projections 1997), chapters 13 and 14; health conditions of growth from Arup, “Dongtan Eco-City, Shang- today from Alan D. Lopez et al., Global Burden hai, China,” 23 August 2005, at www.arup.com/ of Disease and Risk Factors (New York: Oxford eastasia/project.cfm?pageid=7047; solid waste University Press for World Bank, 2006); urban recycling from Jean-Pierre Langellier and Brice penalty from National Research Council, Cities Pedroletti, “China to Build First Eco-city,” Transformed: Demographic Change and Its Impli- Guardian Unlimited, 5 May 2006; other data cations in the Developing World (Washington, DC: from Frank Kane, “Shanghai Plans Eco-metropo- National Academies Press, 2003), pp. 259–60, lis on its Mudflats,” Guardian Unlimited, 8 Jan- 271–72, 284, 259–60; per capita income from uary 2006. Angus Maddison, The World Economy: A Millen- nial Perspective (Paris: Organisation for Economic 2. The fraction of electricity generated by fos- Co-operation and Development, 2003); techno- sil fuels and nuclear fission is estimated from the logical changes from John Eberhard, “A New load served by Consolidated Edison in New York Generation of Urban Systems Innovations,” Cities: City and reported by the Environmental Disclo- The International Journal of Urban Policy and sure Label Program of the New York State Pub- Planning, February 1990; George Modelski and lic Service Commission, at www3.dps.state.ny.us/ Gardner Perry III, “‘Democratization in Long E/EnergyLabel.nsf/Web+Enviromental+Labels/ Perspective’ Revisited,” Technological Forecasting A3655A006989E8EB8525719C0056A1A5/ and Social Change, vol. 69 (2002), pp. 359–76. $File/CONED.PDF?OpenElement, viewed Sep- tember 2006; waste to landfills and recycling from 7. National Research Council, op. cit. note 6, Kate Ascher, The Works: Anatomy of a City (New pp. 89–92. York: Penguin Press, 2005), pp. 190–94. 8. United Nations Population Division, World 3. Ebenezer Howard, Garden Cities of To-Mor- Urbanization Prospects: The 2003 Revision (New row (Cambridge, MA: The MIT Press, 1965, York: 2003), Table 14, p. 7; slum dwellers from reprint); Rudolf Hartog, “Growth without Lim- UN-HABITAT, State of the World’s Cities 2006/7 its: Some Case Studies of 20th-Century Urban- (London: Earthscan, 2006), p. 16. ization,” International Planning Studies, February 1999, pp. 95–130. 9. World Commission on Environment and Development, Our Common Future (New York: 4. Displacement of farmers from “Develop- Oxford University Press, 1987), p. 43. ment Jockeys With Ecology on Shanghai Island,” Reuters, 18 April 2006; wetlands disruption from 10. J. T. Houghton et al., eds., Climate Change Meg Carter, “Life, But Not as We Know It,” The 1995: The Science of Climate Change, Contribution Independent, 4 May 2006. of Working Group I to the Second Assessment of the Intergovernmental Panel on Climate Change 5. United Nations Population Division, World (IPCC) (Cambridge, UK: Cambridge University Urbanization Prospects 2005 (New York: 2006), Press, 1996); James J. McCarthy et al., eds., Cli- also available online at esa.un.org/unup. mate Change 2001: Impacts, Adaptation, and Vul- nerability (Cambridge, UK: Cambridge University 6. Paul Bairoch, Cities and Economic Develop- Press, 2001); Habiba Gitay et al., eds., Climate ment: From the Dawn of History to the Present, Change and Biodiversity, IPCC Technical Paper V translated by Christopher Braider (Chicago: Uni- (Geneva: 2002); Millennium Ecosystem Assess-

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STATE OF THE WORLD 2007 Notes, Chapter 1 ment, “Summary for Decision-Makers,” Ecosystems pp. 99–102. and Human Well-Being: Synthesis (Washington: Island Press, 2005), p. 1. 20. UN-HABITAT, op. cit. note 8, p. 9. A con- trasting though not inconsistent account comes 11. UN-HABITAT, op. cit. note 8, pp. 46–47; from Christine Kessides, who points out that eco- National Research Council, op. cit. note 6, pp. nomic growth in sub-Saharan Africa derives largely 164–80. from industry, including construction and mining, and from service sectors, which are mainly urban. 12. National Research Council, op. cit. note 6, These activities accounted for almost 80 percent pp.132–35, with quote from p. 135; implications of growth in gross domestic product in the region of changing definition from David Satterthwaite, in 1990–2003. Christine Kessides, The Urban Outside the Large Cities: The Demographic Impor- Transition in Sub-Saharan Africa: Implications tance of Small Urban Centres and Large Villages in for Economic Growth and Poverty Reduction, Africa Africa, Asia, and Latin America, Human Settle- Region Working Paper Series No. 97 (Washington, ments Discussion Paper Series, Urban Change-3 DC: World Bank, 2005). (London: International Institute for Environment and Development (IIED), 2006). 21. National Research Council, op. cit. note 6, pp. 102–06; polluted cities in China from World 13. Table 1–1 and data in text from United Bank, cited in “A Great Wall of Waste—China’s Nations Population Division, op. cit. note 5. Environment,” The Economist, 21 August 2004; India’s urban poverty from UN-HABITAT, op. cit. 14. Ibid., viewed August 2006. A discussion with note 8, p. 11. David Satterthwaite was helpful in formulating these paragraphs. 22. National Research Council, op. cit. note 6, chapter 10. 15. United Nations Population Division, op. cit. note 5, viewed July 2006; Africa’s urban popula- 23. Cecilia Tacoli, “Editor’s Introduction,” in tion from Diana Mitlin and David Satterthwaite, Cecilia Tacoli, ed., The Earthscan Reader in Rural- eds., Empowering Squatter Citizen: Local Gov- Urban Linkage (London: Earthscan, 2006), pp. ernment, Civil Society, and Urban Poverty Reduc- 3–14. tion (Sterling, VA: Earthscan, 2004), p. 6; rate of urbanization from National Research Council, 24. National Research Council, op. cit. note 6, op. cit. note 6, pp. 92–93. pp. 143–46; doubts about rapid growth without economic growth from David Satterthwaite, The 16. National Research Council, op. cit. note 6, Scale of Urban Change Worldwide 1950–2000 and p. 107. Its Underpinning, Human Settlements Discus- sion Paper Series, Urban Change-1 (London: 17. Share living in settlements below 500,000 IIED, 2005). from United Nations Population Division, op. cit. note 8, p. 5; Figures 1–1 and 1–2 from United 25. Accra Planning and Development Pro- Nations Population Division, op. cit. note 5. Jan- gramme, Strategic Plan for the Greater Accra Met- ice Perlman provided the idea for Figure 1–1 on ropolitan Area. Volume I. Context Report (Accra: megacities. Department of Town and Country Planning, Min- istry of Local Government, Government of Ghana, 18. National Research Council, op. cit. note 6, draft final report, 1992), pp. 77–81. pp. 95–99; Latin America’s urban population share from United Nations Population Division, op. 26. Health penalty for urban poor from National cit. note 5, viewed August 2006. Research Council, op. cit. note 6, pp. 284–89; Jacob Songsore et al., with the assistance of CERS- 19. National Research Council, op. cit. note 6, GIS, State of Environmental Health. Report of the

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Greater Accra Metropolitan Area 2001 (Accra: 1991–92, and it is possible that the levels of access Ghana Universities Press, 2006); Institute for to improved water and sanitation have declined Regional Studies of the Californias, A Binational since then. The estimates of populations without Vision for the Tijuana River Watershed (San Diego, “improved” sanitation and water supply need to be CA: San Diego State University, 2005). read with caution, because the definitions used to define “improved” vary across the cities, reflecting 27. Infrastructure spending from UN-HABI- their different origins. These differences not only TAT, The State of the World’s Cities, 2004/2005 are unavoidable consequences of the way data are (London: Earthscan, 2005), p. 28; cost of meet- collected but also reflect differing histories and ing Millennium Development Goal from UN- cultural standards, as explained in UN-HABITAT, HABITAT, op. cit. note 8, p. 162; urban poverty Water and Sanitation in the World’s Cities: Local not transitory from ibid., p. 49. Action for Global Goals (London: Earthscan, 2003), pp. 2–5, as well as in the water and sanitation 28. Global Urban Observatory from UN-HABI- chapter of this book. The figures for Accra are TAT, op. cit. note 8; National Research Council, taken from Gordon McGranahan et al., The Cit- op. cit. note 6, chapter 5; Demographic and Health izens at Risk: From Urban Sanitation to Sustain- Surveys, at www.measuredhs.com/aboutdhs/ able Cities (Sterling, VA: Earthscan, for Stockholm whoweare.cfm, viewed August 2006; Shlomo Environment Institute, 2001), chapter 4 (with Angel, Stephen C. Sheppard, and Daniel L. Civco, sanitation considered unimproved if a household The Dynamics of Global Urban Expansion (Wash- shares a toilet with more than 10 other households ington, DC: World Bank, 2005). and water supply considered unimproved if a household lacks access to piped water inside the 29. Center for Global Development, When Will house). The figures for Tijuana are drawn from We Ever Learn? Improving Lives through Impact Potable Water and Wastewater Master Plan for Evaluation, Final Report of the Evaluation Gap Tijuana and Playas de Rosarito (Comisión Estatal Working Group (Washington, DC: 2006); C. S. de Servicios Públicos de Tijuana, 2003), p. 2-37, Holling, ed., Adaptive Environmental Assessment quoting census data for 2000 (with unimproved and Management (New York: John Wiley & Sons, sanitation defined as residences without sewage 1978); Richard Margoluis and Nick Salafsky, Mea- services and unimproved water supply meaning a sures of Success. Designing, Managing, and Moni- residence without piped water). Figures from Sin- toring Conservation and Development Projects gapore are taken from World Bank, op. cit. this (Washington, DC: Island Press, 1998); Kai N. note. Other material in text from Carolyn Stephens Lee, “Appraising Adaptive Management,” Con- et al., “Urban Equity and Urban Health: Using servation Ecology, vol. 3, no. 2 (1999), article 3. Existing Data to Understand Inequalities in Health and Environment in Accra, Ghana and São Paulo, 30. Table 1–2 from the following: First five rows Brazil,” Environment and Urbanization, April of data and row seven on per capita health expen- 1997, pp. 181–202, and from Songsore et al., op. ditures are taken from U.N. Development Pro- cit. note 26. gramme, Human Development Report 2005 (New York: Oxford University Press, 2005). Probability 31. Gordon McGranahan and Frank Murray, of dying before age five from Lopez et al., op. cit. eds., Air Pollution and Health in Rapidly Devel- note 6, annex 2A, pp. 36–42. Energy use from oping Countries (London: Earthscan, 2003). World Bank, World Development Indicators (2006), at devdata.worldbank.org/dataonline. Municipal 32. Thomas L. Friedman, The World Is Flat (New populations, estimated for 2005, are taken from York: Farrar, Straus and Giroux, 2005). United Nations Population Division, op. cit. note 8, Table A.12, pp. 266, 268, 270. The population 33. Figure 1–3 from Millennium Ecosystem figures are current, but the information on water, Assessment, Ecosystems and Human Well-Being. sanitation, and energy was collected at earlier dates; Vol. 1: Current State and Trends (Washington, Accra, in particular, was considerably smaller in DC: Island Press, 2005), p. 807; Xuemei Bai and

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Hidefumi Imura, “A Comparative Study of Urban national footprint estimates prepared by the Euro- Environment in East Asia: Stage Model of Urban pean Environment Agency, at org.eea.europa.eu/ Environmental Evolution,” International Review news/Ann1132753060, viewed August 2006. for Environmental Strategies, summer 2000, pp. The definition may make it seem that a country’s 135–58; McGranahan et al., op. cit. note 30. The footprint is related to the area within and adjacent environmental Kuznets curve was initially pro- to the national border, but all countries depend on posed in World Bank, World Development Report distant sources for resources such as oil or manu- 1992 (New York: Oxford University Press, 1992), factured products and sometimes water, so the p. 11; see also Kirk R. Smith and Majid Ezzati, footprint is actually an abstract measure based on “How Environmental Health Risks Change with globally averaged estimates of ecological produc- Development: The Epidemiologic and Environ- tivity. mental Risk Transitions Revisited,” Annual Review of Environment and Resources, November 2005, 37. Elinor Ostrom, Governing the Commons. The pp. 291–333. Evolution of Institutions for Collective Action (Cam- bridge, U.K.: Cambridge University Press, 1990), 34. O. Alberto Pombo, “Water Use and Sanita- especially chapter 3; J. Stephen Lansing, Priests and tion Practices in Peri-Urban Areas of Tijuana: A Programmers: Technologies of Power in the Engi- Demand-side Perspective,” in Lawrence A. Her- neered Landscape of Bali (Princeton, NJ: Prince- zog, ed., Shared Space: Rethinking the U.S.-Mex- ton University Press, 1991); Daniel Pauly et al., ico Border Environment (La Jolla, CA: Center for “The Future for Fisheries,” Science, 21 November U.S.-Mexican Studies, University of California, 2003, pp. 1359–61. San Diego, 2000); Serge Dedina, “The Political Ecology of Transboundary Development: Land 38. Joel A. Tarr, The Search for the Ultimate Use, Flood Control, and Politics in the Tijuana Sink: Urban Pollution in Historical Perspective River Valley,” Journal of Borderlands Studies, vol. (Akron, OH: University of Akron Press, 1996), pp. 10, no. 1 (1995), pp. 89–110; Accra from Song- 179–217. sore et al., op. cit. note 26; Singapore, where the implementation of public housing on a very large 39. UN-HABITAT, op. cit. note 30, pp. 8–12; scale since 1960 has dramatically altered the envi- John Thompson et al., “Waiting at the Tap: ronmental risks facing households, from Tan Sook Changes in Urban Water Use in East Africa over Yee, Private Ownership of Public Housing in Sin- Three Decades,” Environment and Urbanization, gapore (Singapore: Times Academic Press, 1998), October 2000, pp. 37–52. but compare the wider range of views in Giok Ling Ooi and Kenson Kwok, eds., The City & 40. Table 1–3 from the following: Edem The State: Singapore’s Built Environment Revisited Dzidzienyo and Kai N. Lee, unpublished field (Singapore: Oxford University Press for the Insti- notes, Accra, Ghana, January 2006, and Thomp- tute of Policy Studies, 1997); community-level son et al., op. cit. note 39 (prices of water in Accra organizations from Mitlin and Satterthwaite, op. in Ghanaian cedis (GHC) were converted to dol- cit. note 15. lars at the 2006 market rate of 8,900 GHC to the dollar; these prices were projected back to 1997 35. Sumerians from Sandra Postel, Pillar of Sand dollars using the implicit price deflator in Execu- (New York: W. W. Norton & Company, 1999) pp. tive Office of the President, Economic Report of 14–21; Mayans from Jared Diamond, Collapse: the President, 2006, Table B-3; the value for How Societies Choose to Fail or Succeed (New York: the fourth quarter of 2005 was combined with Viking, 2005), pp. 156–77. the 1997 value for an overall deflator of 113.369/95.414 =1.188); Ethiopia from UN- 36. Definition from Global Footprint Network, HABITAT, op. cit. note 30, pp. 67–68, and from at www.footprintnetwork.org/gfn_sub.php?con- UN-HABITAT, op. cit. note 8, p. 75; scientist tent=footprint_overview, viewed August 2006; from Dr. Frederick Amu-Mensah, Accra, Ghana, relative sizes of per capita footprints come from discussion with author, 9 February 2006.

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41. Association between human development 48. Herbert Girardet, Cities People Planet (Chich- and urbanization from UN-HABITAT, op. cit. ester, U.K.: John Wiley & Sons, 2004), pp. note 8, p. 46; scale of urban population growth and 123–25; Herbert Girardet, The Gaia Atlas of need for urban habitat from United Nations Pop- Cities (London: Gaia Books, 1992), pp. 22–23; ulation Division, op. cit. note 5. Box 1–2 from City of Stockholm, “Hammarby Sjöstad: The Best Environmental Solutions in 42. Nineteenth-century engineers from Hans Stockholm,” undated, from Timothy Beatley, van Engen, Dietrich Kampe, and Sybrand : Learning from European Cities Tjallingii, eds., Hydropolis: The Role of Water in (Washington, DC: Island Press, 2000), and from Urban Planning (Leiden, Netherlands: Backhuys site visits and interviews with city officials by Tim- Publishers, 1995); Christer Nilsson et al., “Frag- othy Beatley, 2000–06. mentation and Flow Regulation of the World’s Large River Systems,” Science, 15 April 2005, pp. 49. Ken Yeang, Bioclimatic Skyscrapers (London: 405–08. Ellipsis London Press, 2000); Condé Nast from “Urban Sustainability at the Building and Site 43. Chester L. Arnold, Jr., “Impervious Surface Scale,” in Stephen M. Wheeler and Timothy Beat- Coverage: The Emergence of a Key Environmen- ley, eds., The Sustainable Urban Development tal Indicator,” Journal of the American Planning Reader (London: Routledge, 2004), p. 300. Association, spring 1996, p. 243ff; Thomas Dunne and Luna B. Leopold, Water in Environmental 50. Steven Peck and Chris Callaghan, “Gather- Planning (New York: W. H. Freeman and Com- ing Steam: Eco-Industrial Parks Exchange Waste pany, 1998, 15th ed.); New York from Toni Nel- for Efficiency and Profit,” Alternatives Journal, son, “Closing the Nutrient Loop,” World Watch, spring 1997. November/December 1996; Vivian Toy, “Plan- ning to Close Its Landfill, New York Will Export 51. Mark A. Benedict and Edward T. McMa- Trash,” New York Times, 30 November 1996; hon, Green Infrastructure: Linking Landscapes nutrient cycle from Gary Gardner, Recycling and Communities (Washington, DC: Island Press, Organic Waste: From Urban Pollutant to Farm 2006); Laura Kitson, “Green Spaces Widen Resource, Worldwatch Paper 135 (Washington, Growth Area Purpose,” Planning, 9 June 2006. DC: Worldwatch Institute, August 1997). 52. International Telecommunications Union, 44. Millennium Project, Halving Hunger: It “Mobile Cellular, Subscribers per 100 People” Can Be Done, Summary of Report of the Task and “Main Telephone Lines, Subscribers per 100 Force on Hunger (New York: Earth Institute, People,” at www.itu.int/ITU-D/ict/statistics, Columbia University, 2005); people without elec- viewed 21 July 2006; William McDonough, tricity from V. Modi et al., Energy and the Mil- “China as a Green Lab,” Harvard Business Review, lennium Development Goals (New York: U.N. February 2006; Box 1–3 from Jeremy Harris, dis- Development Programme, UN Millennium Pro- cussion with Molly O’Meara Sheehan and author, ject, and World Bank, 2006). 19 June 2006, with additional information pro- vided by Karl Hausker, adjunct fellow, Center for 45. UN-HABITAT, op. cit. note 30, chapter 5. Strategic and International Studies, Washington, DC, e-mail to Molly Sheehan, 19 September 2006, 46. Arif Hasan, Working with Government: The and by Peter Chaffey, manager, Business Mel- Story of the Orangi Pilot Project’s Collaboration with bourne, City of Melbourne, e-mail to Molly Shee- State Agencies for Replicating its Low Cost Sani- han, 20 September 2006. tation Programme (Karachi, Pakistan: City Press, 1997). 53. Hon. Kodjo Gbli-Boyetey, discussion with author, Edem Dzidzienyo, and Dana Lee, 24 Jan- 47. UN-HABITAT, op. cit. note 8, pp. 160–67. uary 2006.

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54. Tim Campbell and Travis Katz, “The Politics 7. Yield from Konaté and Bocoum, op. cit. of Participation in Tijuana, Mexico: Inventing a note 3, p. 33; quote from ibid., p. 32. New Style of Governance,” in Tim Campbell and Harald Fuhr, Leadership and Innovation in Sub- 8. Konaté and Bocoum, op. cit. note 3, p. 31. national Government: Case Studies from Latin America (Washington, DC: World Bank Institute, 9. Quote from Konaté and Bocoum, op. cit. 2004), section 5-1, pp. 69–97. note 3, p. 32.

55. W. G. Huff, The Economic Growth of Singa- Loja: Ecological and Healthy City pore: Trade and Development in the Twentieth Cen- tury (Cambridge, U.K.: Cambridge University 1. Marlon Cueva, discussion with author, 23 Press, 1994); Tan, op. cit. note 34; energy from April 2004; Fernando Montesinos, discussion with World Bank, op. cit. note 30 (which shows energy author, 15 April 2004. use at 5,359 kilograms of oil equivalent per capita for Singapore in 2003 and 7,843 kilograms for the 2. Dr. José Bolívar Castillo, discussion with United States). author, 3 May 2004.

Timbuktu: Greening the Hinterlands 3. Dr. Ermel Salinas, discussion with author, 29 April 2004. 1. Estimate of 100,000 described in Richard W. Franke and Barbara H. Chasin, Seeds of Famine: 4. Jorge Muños Alvarado, discussion with Ecological Destruction and the Development author, 21 April 2004; Dr. Humberto Tapia, dis- Dilemma in the West African Sahel (Lanham, MD: cussion with author, 28 April 2004. Rowman and Littlefield, 1980), p. 11; population figures from Jan Lahmeyer, Population Statistics, 5. Wilson Jaramillo, discussion with author, 16 at www.library.uu.nl/wesp/populstat/popul April 2006. frame.html, viewed July 2006. 6. Fernando Montesinos, discussion with 2. National income and poverty data from Gov- author, 19 April 2004. ernment of Mali, Poverty Reduction Strategy Paper (Bamako, Mali: 29 May 2002), pp. 7, 13. 7. Ibid.

3. Aly Bacha Konaté and Mamadou Diakité, 8. Fabián Álvarez, municipal engineer, discus- Etude de la filière de l’Eucalyptus dans la vallée du sion with author, 19 April 2004; Fernando Mon- Yamé (Mopti, Mali: GDRN5 and USAID/ tesinos, discussion with author, 26 April 2004. FRAME, 2006), p. 28; quote from Aly Bacha Konaté and Aly Bocoum, Lutte contre la deserti- 9. Lolita Samaniego Idrovo, discussion with fication, reduction de la pauvreté: Etude de cas du author, 6 May 2004; Fernando Montesinos, dis- Mali (Mopti, Mali: GDRN5 and USAID/ cussion with author, 6 May 2004. FRAME, 2005), p. 36. 10. Cueva, op. cit. note 1. 4. Konaté and Bocoum, op. cit. note 3, p. 36. 11. Montesinos, op. cit. note 6. 5. Yield from Konaté and Bocoum, op. cit. note 3, p. 36; net value from Konaté and Diakité, 12. Tierramérica, Ecobreves, 2001, at www.tier op. cit. note 3, p. 28. ramerica.net/2001/1216/iecobreves.shtml; Liv- Com, LivCom Awards–Previous Winners 2001, 6. Regional director, Forest Service, discussion at www.livcomawards.com/previous-winners/ with authors, March 2005. 2001.htm; “Turismo Nacional se Reunirá en Loja,” El Mercurio, 16 September 2003.

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Chapter 2. Providing Clean Water 2006 (London: Earthscan, 2006). and Sanitation 7. Jorge E. Hardoy, Diana Mitlin, and David 1. U.N. Human Settlements Programme, Satterthwaite, Environmental Problems in an Water and Sanitation in the World’s Cities: Local Urbanizing World: Finding Solutions for Cities in Action for Global Goals (London: Earthscan, Africa, Asia and Latin America (London: Earth- 2003). scan, 2001); U.N. Human Settlements Pro- gramme, op. cit. note 1. 2. Simon Szreter, Health and Wealth: Studies in History and Policy (Rochester, NY: University of 8. Figure of 900 million from U.N. Human Rochester Press, 2005); U.N. Human Settlements Settlements Programme, The Challenge of Slums: Programme, op. cit. note 1. Global Report on Human Settlements 2003 (Lon- don: Earthscan, 2003). 3. U.N. Human Settlements Programme, op. cit. note 1. 9. UNICEF and WHO, op. cit. note 5, p. 23.

4. David Satterthwaite, The Under-estimation of 10. U.N. Human Settlements Programme, op. Urban Poverty in Low and Middle-Income Nations, cit. 1; U.N. Human Settlements Programme, op. Working Paper 14 on Poverty Reduction in Urban cit. note 6. Areas (London: International Institute on Envi- ronment and Development (IIED), 2004); see 11. WHO and UNICEF, Global Water Supply also African Population and Health Research Cen- and Sanitation Assessment, 2000 Report (Geneva: ter, Population and Health Dynamics in Nairobi’s WHO, UNICEF, and Water Supply and Sanitation Informal Settlements (Nairobi: 2002); Table 2–1 Collaborative Council, 2002); high infant and from U.N. Human Settlements Programme, op. child mortality rates from Satterthwaite, op. cit. cit. note 1. note 4.

5. See, for instance, U.N. Development Pro- 12. See, for instance, Arif Hasan, Understanding gramme (UNDP), Human Development Report Karachi: Planning and Reform for the Future 2006 (New York: Oxford University Press, 2006), (Karachi, Pakistan: City Press, 1999); Arif Hasan, which focuses on water and sanitation; see also “Orangi Pilot Project: The Expansion of Work UNICEF and World Health Organization beyond Orangi and the Mapping of Informal Set- (WHO), Meeting the MDG Drinking Water and tlements and Infrastructure,” Environment and Sanitation Target: A Mid-Term Assessment of Urbanization, October 2006, pp. 451–80. Progress, WHO/UNICEF Joint Monitoring Pro- gramme for Water Supply and Sanitation (New 13. Celine D’Cruz and David Satterthwaite, York: 2004). Building Homes, Changing Official Approaches: The Work of Urban Poor Federations and Their 6. Rualdo Menegat, “Participatory Democracy Contributions to Meeting the Millennium Devel- and Sustainable Development: Integrated Urban opment Goals in Urban Areas, Working Paper 16 Environmental Management in Porto Alegre, on Poverty Reduction in Urban Areas (London: Brazil,” Environment and Urbanization, Octo- IIED, 2005); Mohini Malhotra, “Financing Her ber 2002, pp. 181–206; U.N. Human Settle- Home, One Wall at a Time,” Environment and ments Programme, op. cit. note 1; Lo Heller, Urbanization, October 2003, pp. 217–28; Lula da “Access to Water Supply and Sanitation in Brazil: Silva et al., “The Programme for Land Tenure Historical and Current Reflections; Future Per- Legalization on Public Land,” Environment and spectives,” background paper for UNDP, op. cit. Urbanization, October 2003, pp. 191–200; Jes- note 5; U.N. Human Settlements Programme, sica Budds, with Paulo Teixeira and SEHAB, Meeting Development Goals in Small Urban Cen- “Ensuring the Right to the City: Pro-poor Hous- tres: Water and Sanitation in the World’s Cities ing, Urban Development and Land Tenure Legal-

199

STATE OF THE WORLD 2007 Notes, Chapter 2 ization in São Paulo, Brazil,” Environment and 22. Mimi Jenkins and Steven Sugden, “Rethink- Urbanization, April 2005, pp. 89–114. ing Sanitation—Lessons and Innovation for Sus- tainability and Success in the New Millennium,” 14. Table 2–2 adapted from U.N. Human Set- background paper for UNDP (London: London tlements Programme, op. cit. note 1, and from School of Hygiene and Tropical Medicine, 2006). U.N. Human Settlements Programme, op. cit. note 6. 23. Box 2–1 from Sundar Burra, Sheela Patel, and Tom Kerr, “Community-designed, Built and 15. J. C. Melo, The Experience of Condominial Managed Toilet Blocks in Indian Cities,” Envi- Water and Sewerage Systems in Brazil: Case Stud- ronment and Urbanization, October 2003, pp. ies from Brasilia, Salvador and Parauapebas (Lima, 11–32. Peru: Water and Sanitation Program Latin Amer- ica, 2005). 24. International agencies in the 1990s from Matthias Finger and Jeremy Allouche, Water Pri- 16. This draws on case studies prepared by Vin- vatisation: Trans-National Corporations and the centian Missionaries Social Development Foun- Re-Regulation of the Water Industry (London: dation Incorporated in Manila and provided to Spon Press, 2002). UN-HABITAT by the Asian Coalition for Hous- ing Rights for the preparation of U.N. Human Set- 25. For proponents, see, for example, Walter tlements Programme, op. cit. note 6. Stottman, “The Role of the Private Sector in the Provision of Water and Wastewater Services in 17. Hardoy, Mitlin, and Satterthwaite, op. cit. Urban Areas,” in Juha Uitto and Asit Biswas, eds., note 7. Water for Urban Areas (Tokyo: United Nations University Press, 2000). 18. Table 2–3 based on a table in UNDP, op. cit. note 5. 26. Clare Joy and Peter Hardstaff, Dirty Aid, Dirty Water: The UK Government’s Push to Pri- 19. Edi Medilanski et al., “Wastewater Manage- vatise Water and Sanitation in Poor Countries ment in Kunming, China: A Stakeholder Per- (London: World Development Movement, 2005). spective on Measures at the Source,” Environment and Urbanization, October 2006, pp 353–68. 27. For large reviews, see, for example, George R. G. Clarke, Katrina Kosec, and Scott Wallsten, 20. This draws on a case study by Arif Hasan of Has Private Participation in Water and Sanitation the Orangi Pilot Project–Research & Training Improved Coverage? Empirical Evidence from Latin Institute (OPP–RTI) prepared for a Research Pro- America, Policy Research Working Paper 3445 ject of the Max Lock Centre, Westminster Uni- (Washington, DC: World Bank, 2004), and Colin versity, London, UK, April 2003; on Arif Hasan, Kirkpatrick, David Parker, and Yin-Fang Zhang, Working with Government: The Story of the Orangi “State versus Private Sector Provision of Water Pilot Project’s Collaboration with State Agencies Services in Africa: An Empirical Analysis,” pre- for Replicating Its Low Cost Sanitation Programme sented at Pro-Poor Regulation and Competition: (Karachi, Pakistan: City Press, 1997); on Perween Issues, Policies and Practices, Cape Town, South Rahman, Katchi Abadis of Karachi: A Survey of Africa, 7–9 September 2004; J. Budds and G. 334 Katchi Abadis (Karachi, Pakistan: OPP-RTI, McGranahan, “Are the Debates on Water Priva- 2004); on Hasan, “Orangi Pilot Project,” op. cit. tization Missing the Point? Experiences from note 12; and on OPP-RTI staff, Karachi, discus- Africa, Asia and Latin America,” Environment sions with David Satterthwaite, July 2006. and Urbanization, October 2003, pp. 87–113.

21. Hasan, “Orangi Pilot Project,” op. cit. note 28. A. J. Loftus and D. A. McDonald, “Of Liq- 12. uid Dreams: A Political Ecology of Water Privati- zation in Buenos Aires,” Environment and

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Urbanization, October 2001, pp. 179–99; Ricardo Risk: From Urban Sanitation to Sustainable Cities Schusterman et al., Public Private Partnerships (London: Earthscan, 2001); José Esteban Cas- and the Poor: Experiences with Water Provision in tro, Water, Power and Citizenship: Social Struggles Four Low-income Barrios in Buenos Aires (Lough- in the Basin of Mexico (New York: Palgrave Macmil- borough, U.K.: Water, Engineering and Devel- lan, 2006). opment Centre, Loughborough University, 2002); A. Harsono, Water and Politics in the Fall of 36. For examples of cities with difficulties in Suharto (Washington, DC: International Con- water supply, see Etienne von Bertrab, “Guadala- sortium of Investigative Journalists, 2003). jara’s Water Crisis and the Fate of Lake Chapala: A Reflection of Poor Water Management in Mex- 29. David Hall and Emanuele Lobina, Pipe ico,” Environment and Urbanization, October Dreams: The Failure of the Private Sector to Invest 2003, pp. 127–40; J. Wolf et al., “Urban and in Water Services in Developing Countries (London: Peri-urban Agricultural Production in Beijing Public Services International Research Unit, 2006). Municipality and Its Impact on Water Quality,” Environment and Urbanization, October 2003, 30. K. Bakker, “Archipelagos and Networks: pp. 141–56; aggregate water withdrawls from Urbanization and Watrer Privatization in the Peter H. Gleick, “Water Use,” Annual Review of South,” Geographical Journal, vol. 169 (2003), pp. Environment and Resources, Vol. 28 (2003), pp. 328–41. 275–315.

31. Gordon McGranahan and David Lloyd 37. For examples of the possible contribution Owen, Local Water and Sanitation Companies to water supplies of rainwater harvesting, see, for and the Urban Poor, Water Discussion Paper 3 instance, Anil Agarwal and Sunita Narain, Dying (London: IIED, 2006). Wisdom: Rise, Fall and Potential of India’s Tra- ditional Water-harvesting Systems (New Delhi: 32. Bernard Collignon and Marc Vezina, Inde- Centre for Science and Environment, 1997). pendent Water and Sanitation Providers in African Cities, Water and Sanitation Program (Washington, 38. UNDP, op. cit. note 5; U.N. Human Set- DC: World Bank, 2000); Herve Conan and Maria tlements Programme, op. cit. note 1. Paniagua, The Role of Small Scale Private Water Providers in Serving the Poor (Manila: Asian Devel- 39. Jenkins and Sugden, op. cit. note 22. opment Bank, 2003); Tova Maria Solo, Indepen- dent Water Entrepreneurs in Latin America: The 40. Antonio Miranda, Developing Public-Public Other Private Sector in Water Services (Washington, Partnerships: Why and How Not-for-profit Part- DC: World Bank, 2003). nerships Can Improve Water and Sanitation Ser- vices Worldwide, prepared for seminar on 33. Silver Mugisha and Sanford V. Berg, “Turn- Reforming Public Utilities to Meet the Water and ing Around Struggling State-owned Enterprises in Sanitation Millennium Development Goals (Lon- Developing Countries: The Case of NWSC- don: World Development Movement and Wat- Uganda,” prepared for seminar on Reforming erAid, 2006). Public Utilities to Meet the Water and Sanitation Millennium Development Goals (London: World 41. Boost to improvements from U.N. Human Development Movement and WaterAid, 2006). Settlements Programme, op. cit. note 1; Jose Este- ban Castro and Leo Heller, “The Historical Devel- 34. Gordon McGranahan, Demand-Side Water opment of Water and Sanitation in Brazil and Strategies and the Urban Poor, Poverty, Inequal- Argentina” in Petri Juuti, Tapio Katko, and Heikki ity and Environment Series No. 4 (London: IIED, Vuorinen, eds., Environmental History of Water: 2002). Global View of Community Water Supply and San- itation (Tampere, Finland: Department of History, 35. Gordon McGranahan et al., The Citizens at University of Tampere, forthcoming).

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42. D’Cruz and Satterthwaite, op. cit. note 13. 3. Olukoju, op. cit. note 2; Matthew Gandy, “Learning from Lagos,” New Left Review, May- 43. Satterthwaite, op. cit. note 4. June 2005, pp. 37–52; Doyin Abiola, “Lagos Megacity: On the Way to Recovery?” Sunday 44. David Satterthwaite, “Reducing Urban PUNCH (Lagos), 30 July 2006, p. 2; Tunde Poverty: Constraints on the Effectiveness of Aid Alao, “NIESV Seeks Roles in Lagos Mega-city Agencies and Development Banks and Some Sug- Implementation,” The Guardian (Lagos), 31 July gestions for Change,” Environment and Urban- 2006, p. 33. ization, April 2001, pp. 137–57; U.N. Human Settlements Programme, op. cit. note 6. 4. Bola Olaosebikan, Lagos State Water Corpo- ration: Dawn of a New Era in Water Supply (Lagos: 45. Julie Crespin, “Aiding Local Action: The Lagos State Water Corporation, 1999); Acey, op. Constraints Faced by Donor Agencies in Sup- cit. note 1; Gandy, op. cit. note 1. porting Effective, Pro-poor Initiatives on the Ground,” Environment and Urbanization, Octo- 5. Olukoju, op. cit. note 2; Samuel Shofuyi, ber 2006, pp. 433–50. “Study X-rays Poor Quality of ‘Pure Water,’” The PUNCH (Lagos), 4 February 2003, p. 46; 46. U.N. Human Settlements Programme, op. J. W. K. Duncan and A. O. Olawale, “Properties cit. note 6. of Water from 9 Existing Wells in Shomolu, a Suburb of Lagos,” The Nigerian Engineer, vol. 6, 47. Meera Bapat and Indu Agarwal, “Our Needs, no. 2 (1970), pp. 17–19. Our Priorities: Women and Men from the ‘Slums’ in Mumbai and Pune Talk about Their Needs for 6. Acey, op. cit. note 1; Coker cited in Chinedu Water and Sanitation,” Environment and Urban- Uwaegbulam, “Four Firms Jostle for Lagos Water ization, October 2003, pp. 71–86. Corporation IPP Project,” The Guardian (Lagos), 31 July 2006. 48. Ibid. 7. Olukoju, op. cit. note 2; Gandy, op. cit. note Lagos: Collapsing Infrastructure 1; Alao, op. cit. note 3.

1. Matthew Gandy, “Planning, Anti-Planning 8. Abiola, op. cit. note 3; Madu Onuorah, and the Infrastructure Crisis Facing Metropolitan “FEC Okays Police Reforms, N26b Lagos Facelift Lagos,” Urban Studies, vol. 43, no. 2 (2006), p. Loan,” The Guardian (Lagos), 10 August 2006. 372; Charisma Acey, “Towards Sustainability in an African Mega-City: A Spatial Analysis of Potable Chapter 3. Farming the Cities Water Service Areas in Lagos, Nigeria,” Final Pro- ject Paper, Department of Urban Planning, Uni- 1. Resource Centers on Urban Agriculture and versity of California at Los Angeles, spring 2005, Food Security (RUAF), “Cities,” at www.ruaf.org/ p. 6. node/486, viewed August 2006; Ghana from World Bank, World Development Indicators Data- 2. Dele Olowu, Lagos State: Governance, Soci- base, 1 July 2005, at siteresources.worldbank.org/ ety and Economy (Lagos, Nigeria: Malthouse, DATASTATISTICS/Resources/GNIPC.pdf; Bei- 1990); Ayodeji Olukoju, Infrastructure Develop- jing from Embassy of the People’s Republic of ment and Urban Facilities in Lagos, 1861–2000 China, United States of America and China and (Ibadan, Nigeria: French Institute for Research in Beijing Statistic Services, at www.china-embassy Africa, 2003); Rem Koolhaas, “Fragments of a .org/chn/gyzg/t234138.htm, 2 February 2006, Lecture on Lagos,” in O. Enwezor et al. (eds.), translated by Zijun Li; Vancouver Board of Trade, Under Siege: Four African Cities: Freetown, Johan- Vancouver, BC, Canada, e-mail to Danielle Nieren- nesburg, Kinshasa, Lagos (Ostfildern-Ruit, Ger- berg, September 2006. many: 2003), pp. 181, 183.

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2. RUAF, op. cit. note 1. 12. “Technical Overview: The Challenge of Feed- ing Asian Cities,” in FAO, op. cit. note 11. 3. Ibid. 13. Olivio Argenti, Feeding the Cities: Food Sup- 4. Ibid. ply and Distribution, 2020 Focus 3, Brief 5 (Wash- ington, DC: International Food Policy Research 5. Ibid. Institute (IFPRI), 2000).

6. Michael Levenston, executive director, City 14. Maurizio Aragrande and Olivio Argenti, Farmer, Vancouver, BC, Canada, discussion with Studying Food Supply and Distribution Systems to authors, April 2006; City Farmer, “44% of Van- Developing Countries and Countries in Transi- couver Households Grow Food Says City Farmer” tion: Methodological and Operational Guide (Rome: (Vancouver, BC, Canada: September 2002); Inter- FAO, 2001). national Development Research Centre (IDRC), Shaping Livable Cities: Stories of Progress Around 15. RUAF, Cities Farming for the Future (Philip- the World (Ottawa, ON, Canada: 2006). pines: RUAF, International Institute of Rural Reconstruction, and ETC Urban Agriculture, 7. Jac Smit, Urban Agriculture Network, 2006), p. 3. Bethesda, MD, discussion with Brian Halweil, February 2004, cited in Brian Halweil, Eat Here: 16. Diana Lee-Smith and Gordon Prain, Under- Reclaiming Homegrown Pleasures in a Global standing the Links Between Agriculture and Health, Supermarket (New York: W. W. Norton & Com- Focus 13 (Washington, DC: IFPRI, 2006). pany, 2003). 17. RUAF, op. cit. note 15, p. 402. 8. Ibid. 18. Pothukuchi and Kaufman, op. cit. note 11, 9. U.N. Development Programme, Urban p. 214; FAO, op. cit. note 11, p. 11; FAO, The Agriculture: Food, Jobs, and Sustainable Cities State of Food and Agriculture 1998 (Rome: 1998). (New York: 1996), p. 26. 19. FAO, op. cit. note 11, p. 11; Capital Area 10. U.N. Food and Agriculture Organization Food Bank, Washington, DC, at www.capital (FAO), “Food Insecurity in an Urban Future,” areafoodbank.org/programsresources/fmp.cfm. FAO Newsroom (Rome: 2004); FAO, State of World Food Insecurity 2005 (Rome: 2005); Fred 20. Nelso Companioni et al., “The Growth of Pearce, “Cultivating the Urban Scene,” in Paul Urban Agriculture,” in Fernando Funes et al., Harrison and Fred Pearce, Atlas of Population & eds., Sustainable Agriculture and Resistance: Trans- Environment (Washington, DC: American Asso- forming Food Production in Cuba (Oakland, CA: ciation for the Advancement of Science and Uni- Food First Books, 2002), pp. 221–22. versity of California Press, 2000). 21. Ibid., pp. 223, 228–29. 11. Kameshwari Pothukuchi and Jerome L. Kauf- man, “Placing the Food System on the Urban 22. RUAF, op. cit. note 15, p. 177. Agenda: The Role of Municipal Institutions in Food Systems Planning,” Agriculture and Human 23. The Food Project, Boston, at www.the Values, vol. 16 (1999), pp. 213–24; FAO, “Feed- foodproject.org; Cairo from Jac Smit, Urban Agri- ing Asian Cities,” Proceedings of the Regional culture Network, Washington, DC, discussion Seminar, Food Supply and Distribution to Cities with authors, 20 July 2006. Programme, Bangkok, Thailand, 27–30 Novem- ber 2000. 24. Anne C. Bellow, “Health Benefits of Urban Agriculture, An Overview,” Community Food Secu-

203

STATE OF THE WORLD 2007 Notes, Chapter 3 rity News, winter 2006, p. 6. from Companioni et al., op. cit. note 20, pp. 227–29; Sierra Leone from Thomas Winnebah 25. Wayne Roberts, Toronto Food Policy Coun- and Raymond Alfredson, Food Security Situation cil, Toronto, ON, discussion with Brian Halweil, in Sierra Leone Since 1961, Food Security Mono- June 2002, cited in Halweil, op. cit. note 7. graph No. 2 (United Nations World Food Pro- gramme Sierra Leone, Technical Support Unit, rev. 26. Stacia and Kristof Nordin, “Improving Per- March 2006); Replant New Orleans, at maculture Through Nutrition in Malawi,” ProNu- www.replantneworleans.org, viewed 10 August trition, at www.pronutrition.org/archive/200606/ 2006; Los Angeles from Kate H. Brown and msg00013.php, June 2006; Anne Bellows, Food Andrew L. Jameton, “Public Health Implications Policy Institute, Rutgers University, interview with of Urban Agriculture,” Journal of Public Health Dana Artz, Worldwatch Institute, June 2006. Policy, vol. 21, no. 1 (2000), pp. 20–39; St. Peters- burg from Erio Ziglio et al. , eds., Health Systems 27. Wayne Roberts, Toronto Food Policy Coun- Confront Poverty (Geneva: World Health Organi- cil, discussion with Brian Halweil, 6 June 2002; zation, 2003), p. 137; “Analysis of Tropical Storm Pothukuchi and Kaufman, op. cit. note 11; unpub- Stan in El Salvador,” Centro de Intercambio y lished studies from Robert Sommer, discussion Solidaridad, 16 November 2005, Relief Web, at with Brian Halweil, 23 February 2002. www.reliefweb.int/rw/RWB.NSF/db900SID/ RMOI-6JL56Z?OpenDocument, viewed August 28. Donna Armstrong, “A Survey of Community 2006. Gardens in Upstate New York: Implications for Health Promotion and Community Develop- 32. Pearce, op. cit. note 10; Smit, op. cit. note ment,” Health and Place, vol. 6, no. 4 (2000), pp. 23. 319–27; Anne C. Bellows, Katherine Brown, and Jac Smit, “Health Benefits of Urban Agriculture,” 33. RUAF, op. cit. note 15, p. 386. Community Food Security Coalition, Venice, CA, undated. 34. Ibid.

29. Bellows, Brown, and Smit, op. cit. note 28. 35. Devi quoted in IDRC, op. cit. note 6.

30. International Water Management Institute 36. RUAF, op. cit. note 15, Chapter 13, “Urban (IWMI), Confronting the Realities of Wastewater Aquatic Production.” Use in Agriculture, Water Policy Briefing, Issue 9 (Colombo, Sri Lanka: 2003). Box 3–1 from the 37. Ibid., p. 396. following: “Waste Not Want Not,” New Agri- culturalist On-Line, Issue 28, 2002; P. Drechsel et 38. Challenge of dealing with garbage in devel- al., Informal Irrigation in Urban West Africa: An oping-world cities from Gisèle Yasmeen, Urban Overview, Research Report Series (Colombo, Sri Agriculture in India: A Survey of Expertise, Capac- Lanka: IWMI, in press); IWMI–Global Water ities and Recent Experience, Cities Feed People Partnership, Recycling Realities: Managing Health Report 32 (Ottawa, ON, Canada: IDRC, 2001), Risks to Make Wastewater an Asset, Water Policy p. 9. Box 3–2 from the following: Christine Furedy, Briefing, Issue 17 (Colombo, Sri Lanka: 2006); E. “Urban Waste and Rural Farmers: Enabling Low- Obuobie et al., Irrigated Urban Vegetable Pro- Cost Organic Waste Reuse in Developing Coun- duction in Ghana: Characteristics, Benefits and tries,” presentation given at “R’2002: Recovery, Risks (Accra, Ghana: IWMI, 2006). Recycling, Reintegration,” the 6th World Congress on Integrated Resource Management, Geneva, 31. Table 3–1 from the following: Cambodia 12–15 February 2002; Eduardo Spiaggi, “Urban from “Take It Personally,” The Earth Report Series Agriculture and Local Sustainable Development in 7, Program 4, at www.handsontv.info/series7/pro Rosario, Argentina: Integration of Economic, gramme_4.html, viewed 10 August 2006; Cuba Social, Technical and Environmental Variables,” in

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Luc J. A. Mougeot, ed., AGROPOLIS: The Social, FAO, op. cit. note 11, pp. 38–39. Political, and Environmental Dimensions of Urban Agriculture (London: Earthscan/IDRC, 2005); 50. Seidler, cited in FAO, op. cit. note 11, pp. “Supermarket Composting in California,” Bio- 45–46. Cycle, July 1997, pp. 70–71. 51. Edward Seidler, senior officer, Marketing 39. FAO, FAOSTAT Statistical Database, at Group, FAO, e-mail to Brian Halweil, 11 July apps.fao.org, updated 20 December 2005; Danielle 2002. Nierenberg, “Meat Consumption and Output Up,” in Worldwatch Institute, Vital Signs 52. IRDC, op. cit. note 6. 2006–2007 (New York: W. W. Norton & Com- pany, 2006), p. 24; RUAF, op. cit. note 15, p. 352; 53. Ibid. Box 3–3 from Spiaggi, op. cit. note 38. 54. “Introduction,” in RUAF, op. cit. note 15. 40. Michael Greger, Bird Flu: A Virus of Our Own Hatching (draft), (Washington, DC: Humane 55. IRDC, op. cit. note 6. Society of the United States, 2006), p. 106. 56. The Food Trust, Food Geography: How Food 41. World Bank, Managing the Livestock Revo- Access Affects Diet and Health (Philadelphia: 2004). lution: Policy and Technology to Address the Nega- tive Impacts of a Fast-Growing Sector (Washington, 57. Leslie Hoffman, Earth Pledge, New York, DC: 2005), p. 6. discussion with Brian Halweil, 21 April 2004.

42. Ibid. 58. Lee Rood, “Praise Grows for Lush Roof in Chicago,” Des Moines Register, 29 July 2002; 43. “Cleaning Up Its Act: Recycling Livestock Chang-Ran Kim, “Tokyo Turns to Rooftop Gar- Waste,” New Agriculturalist On-Line, at www dens to Beat the Heat,” Reuters, 8 August 2002; .new-agri.co.uk/06-2/focuson/focuson3.html, Marty Logan and Mark Foss, Urban Agriculture 1 March 2006. Reaches New Heights Through Rooftop Garden- ing, IDRC Reports (Ottawa, ON, Canada: 2004); 44. Ibid. Frederic Perron, “Jardins Suspendus,” La Presse (Montreal), 8 March 2004. 45. FAO, Pollution from Industrialized Livestock Production, Policy Brief 2 (Rome: Livestock Infor- 59. Pothukuchi and Kaufman, op. cit. note 11; mation, Sector Analysis, and Policy Branch, Ani- Neil Hamilton, “Putting a Face on Our Food: mal Production and Health Division, undated). How State and Local Food Policies Can Promote the New Agriculture,” Drake Journal of Agricul- 46. Ebenezer Howard, Garden Cities of To-Mor- tural Law, November 2002. row (Cambridge, MA: The MIT Press, 1965), pp. 33–35. 60. Mark Winne, Hartford Food System, dis- cussion with Brian Halweil, 4 April 2002; Hartford 47. A. A. Sorenson et al., Farming on the Edge Food System, at www.hartfordfood.org, viewed 1 (DeKalb, IL: American Farmland Trust, 1997). September 2002.

48. Pothukuchi and Kaufman, op. cit. note 11; 61. Winne, op. cit. note 60. FAO, op. cit. note 11. 62. Smit, op. cit. note 23. 49. American Farmland Trust, “Fact Sheet: Cost of Community Services Studies,” Farmland Infor- 63. Matovu quote from “More Investment in mation Sheet (Washington, DC: June 1986); Agriculture Will Reduce Migration, Improve

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Urban Life: UN Agency,” UN Daily News Digest, University College, University of Sierra Leone, 5 June 2006. Freetown; for technical studies, see Josie Abraham Scott-Manga, Agricultural Practices at Dump- 64. Ibid. sites: Case Study of Bormeh and Grandville Brook in Freetown (B.A. in education project submitted 65. FAO study from ibid. in 2000), Department of Geography and Rural Development, Faculty of Environmental Sciences, 66. RUAF, op. cit. note 15, p. 17. Njala University College, University of Sierra Leone, Freetown; Abrassac Abu Kamara, Water Freetown: Urban Farms After a War Mangement Studies of Okra Under Drip Irrigation System (M.Sc. in soil and water engineering dis- 1. For early agricultural history, see Donald sertation submitted in 2006), Department of Agri- Davies, Historical Development of Agricultural cultural Engineering, School of Technology, Njala Land Use in Greater Freetown (M.Sc. in rural University, Freetown. development dissertation submitted in 2004), Department of Geography and Rural Develop- 5. Effects of rebel war on food production from ment, Faculty of Environmental Sciences, Njala Thomas R. A. Winnebah, Food Security Situation University College, University of Sierra Leone, in Sierra Leone Since 1961, Food Security Mono- Freetown; Christopher Fyfe, “The Foundation of graph No. 2, World Food Programme Sierra Freetown,” in Christopher Fyfe and Eldred Jones, Leone, Technical Support Unit, Freetown, revised eds., Freetown: a Symposium (Freetown: Sierra March 2003. Leone University Press, 1968), pp. 1–8; and E. G. Ingham, Sierra Leone after a Hundred Years (Lon- 6. GOPA-Consultants, op. cit. note 2; Statistics don: Seeley and Co. Ltd, 1894). For connection Sierra Leone, op. cit. note 2. to the slave trade, see Joe A. D. Alie, A New His- tory of Sierra Leone (Malaysia: Macmillan Pub- 7. Report on Training Workshop on Multi- lishers, 1990), and R. J. Olu-Wright, “The Physical stakeholder Processes for Action Planning and Growth of Freetown,” in Fyfe and Jones, op. cit. Policy Formulation in Urban Agriculture, Free- this note, pp. 24–37. town, Sierra Leone, 12–17 June 2006.

2. Growth in population and land area from Chapter 4. Greening Urban Transportation GOPA-Consultants, “Solid Waste Management Study, June,” Freetown Infrastructure Rehabili- 1. The Perth story, as described in the opening tation Project, Sierra Leone, 1995, and from Sta- paragraphs, is told in P. Newman, “Railways and tistics Sierra Leone, Final Results 2004 Population Reurbanisation in Perth,” in J. Williams and R. and Housing Census Report (Freetown: 2006). Stimson, eds., Case Studies in Planning Success (New York: Elsevier, 2001). 3. Government of Sierra Leone, Poverty Reduc- tion Strategy Paper: A National Programme for 2. Michael Renner, “Vehicle Production Con- Food Security, Job Creation, and Good Governance tinues to Expand,” in Worldwatch Institute, Vital (2005–2007) (Freetown: 2005). Signs (New York: W. W. Norton & Company, 2006), pp. 64–65. 4. For health status, see Mohamed Mankay Sesay, Occupational Health and Safety Hazards 3. The data are from a comparative study of 100 and Production in Small Scale Agriculture: A Case global cities for the International Union of Pub- Study of Inland Valley Farmers in the Eastern Part lic Transport (UITP) and conducted by the Insti- of Greater Freetown, Western Area, Sierra Leone tute for Sustainability and Technology Policy (B.Sc. in education project submitted in 1998), (ISTP) at Murdoch University, involving 27 para- Department of Geography and Rural Develop- meters using highly controlled processes to ensure ment, Faculty of Environmental Sciences, Njala comparability of data. The study took five years and

206

STATE OF THE WORLD 2007 Notes, Chapter 4 builds on previous data collection since 1980. See 10. See, for example, D. Simon, Transport and J. Kenworthy and F. Laube, The Millennium Cities Development in the Third World (New York: Rout- Database for Sustainable Transport (Brussels: ledge, 1996); Jorge E. Hardoy, Diana Mitlin, and UITP/ISTP, 2001), and J. Kenworthy et al., An David Satterthwaite, Environmental Problems in an International Sourcebook of Automobile Depen- Urbanizing World: Finding Solutions for Cities in dence in Cities, 1960–1990 (Boulder, CO: Uni- Africa, Asia and Latin America (London: Earth- versity Press of Colorado, 1999). The 2005 data scan, 2001); P. A. Barter, J. R. Kenworthy, and F. collection will commence shortly. Complete data Laube, “Lessons from Asia on Sustainable Urban on the cities can be viewed at www.sustainabil Transport,” in N. Low and B. Gleeson, eds., Mak- ity.murdoch.edu.au (16 cities were incomplete, ing Urban Transport Sustainable (Basingstoke, so the data are mainly for 84 cities). U.K.: Palgrave-Macmillan, 2003), pp. 252–70.

4. Figure 4–1 from Kenworthy and Laube, op. 11. C. Marchetti, “Anthropological Invariants cit. note 3. These data are for city regions in 1995 in Travel Behavior,” Technical Forecasting & Social and include all the gasoline and diesel for private Change, September 1994, pp. 75–88; P. New- passenger travel. Note that 1 liter of gasoline man and J. Kenworthy, Sustainability and Cities: equals about one quarter of a U.S. gallon. Overcoming Automobile Dependence (Washington, DC: Island Press, 1999); Standing Advisory Com- 5. The lack of strong correlation between city mittee for Trunk Road Assessment, Trunk Roads wealth and car use is shown in Kenworthy and and the Generation of Traffic (London: Depart- Laube, op. cit. note 3. ment for Transport, 1994).

66. Figure 4–2 from Kenworthy and Laube, op. 12. Britton from www.newmobility.org; for more cit. note 3. on resilience in cities, see Jane Jacobs, Cities and the Wealth of Nations (Harmondsworth, U.K.: 7. Figure 4–3 from ibid. Box 4–1 from Lester Penguin, 1984), and L. Sandercock, Mongrel R. Brown, Plan B 2.0 (New York: W. W. Norton Cities: Cosmopolis2 (London: Continuum, 2003). & Company, 2006), p. 10, and from J. Kenwor- thy and C. Townsend, “An International Com- 13. K. S. Deffeyes, Beyond Oil: The View from parative Perspective on Motorisation in Urban Hubbert’s Peak (New York: Hill and Wang, 2005); China: Problems and Prospects,” IATSS Research, Table 4–2 from Newman and Kenworthy, op. cit. vol. 26, no. 2 (2002), pp. 99–109. note 11, pp. 74–77, discussed further in P. New- man and J. Kenworthy, “Transportation Energy in 8. Figures 4–4 and 4–5 from Kenworthy and Global Cities: Sustainable Transportation Comes Laube, op. cit. note 3; for studies on the signifi- in from the Cold?” Natural Resources Forum, vol. cance of factors other than urban form, see O. Min- 25 (2001), pp. 91–107. dali, A. Raveh, and I. Saloman, “Urban Density and Energy Consumption: A New Look at Old 14. Kenworthy and Laube, op. cit. note 3. Statistics,” Transportation Research Record, Part A 38 (2004), pp. 143–62, and R. E. Brindle, “Lies, 15. Jeremy Leggett, Half Gone: Oil, Gas, Hot Air Damned Lies and ‘Automobile Dependence’— and the Global Energy Crisis (London: Portobello Some Hyperbolic Reflections,” Australian Trans- Books, 2006); trends in driving from Kenworthy port Research Forum 94 (1994), pp. 117–31; and Laube, op. cit. note 3. Figure 4–6 from P. Newman and J. Kenworthy, “Urban Design to Reduce Automobile Depen- 16. U.S. data from U.S. Environmental Protec- dence,” Opolis, vol. 2, no. 1 (2006), pp. 35–52. tion Agency, Light Duty Automotive Technology and Fuel Economy Trends, 1975–2006 (Ann Arbor, 9. For auto use 10 times as high in some cities, MI: 2006); Australian data in P. Laird et al., Back see Figures 4–1 and 4–5. on Track: Rethinking Australian and New Zealand Transport Policy (Sydney, Australia: University of

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Sydney, 2001); technological advances from 24. R. Gordon, “Boulevard of Dreams,” 8 Sep- Amory B. Lovins and David R. Cramer, “Hyper- tember 2005, at www.sfgate.com. cars, Hydrogen and the Automotive Transition,” International Journal of Vehicle Design, vol. 35, no. 25. See www.metro.seoul.kr/kor2000/chungae 1/2 (2004), pp. 50–85. home/en/seoul/2sub; Institute for Transport and Development, “Seoul to Raze Elevated High- 17. Three-wheeler taxis from Kenworthy and way, Giving Way to Revitalized Center,” Sustain- Laube, op. cit. note 3; Mexico City data from able Transport e-update, May 2003; L. Gemsoe, International Mayors Forum, Sustainable Urban “Turning the Downside Up: Creating Value for Energy Development, Kunming, China, 10–11 People,” Profitable Places Conference, Sheffield November 2004; surpassing recommended levels Hallam University, Sheffield, U.K., 19–20 Sep- from U.N. Population Fund, The State of the tember 2006. World Population (New York: 2001), and from Clean Air Initiative for Asian Cities, at 26. David Burwell, “Way to Go! Three Simple www.cleanairnet.org/caiasia. Rules to Make Transportation a Positive Force in the Public Realm,” Making Places Bulletin (Pro- 18. Clean Air Initiative for Asian Cities, op. cit. ject for Public Spaces), June 2005; Aarhus from note 17; A. Rosencranz and M. Jackson, The Delhi Gemsoe, op. cit. note 25; Melissa Mean and Char- Pollution Case, 2002, at indlaw.com; S. Jain, lie Tims, People Make Places: Growing the Public “Smog City to Clean City: How Did Delhi Do It?” Life of Cities (London: Demos, 2005). Mumbai Newsline, 26 May 2004. 27. Andy Wiley-Schwartz, “A Revolutionary 19. Figure 4–7 from Kenworthy and Laube, op. Change in Transportation Planning: The Slow cit. note 3; this argument is expanded in P. New- Road Movement,” New York Times, 10 July 2006; man and J. Kenworthy, “The Transport Energy Jan Gehl et al., New City Life (Copenhagen: Dan- Trade-off: Fuel Efficient Traffic vs Fuel Efficient ish Architectural Press, 2006). Cities,” Transportation Research Record, vol. 22A, no. 3 (1988), pp. 163–74. 28. Kenworthy and Laube, op. cit. note 3.

20. Surface Transportation Policy Project 29. Data analyzed in Newman and Kenworthy, (STPP), An Analysis of the Relationship Between op. cit. note 8; see also N. Mercat, ”Evaluating Highway Expansion and Congestion in Metropol- Exposure to the Risk of Accident in the Grenoble itan Areas: Lessons from the 15 Year Texas Trans- ,” European Transport Conference, portation Institute Study (Washington, DC: 1998). Strasbourg, France, 18–20 September 2006, par- ticularly suggesting the cycling figure. 21. Table 4–3 from Kenworthy and Laube, op. cit. note 3. 30. Greater Vancouver Regional District, Liv- able Region Strategic Plan (Vancouver, BC: 1996); 22. Congestion charging covered in detail in New South Wales Government, City of Cities: A European Transport Conference, Strasbourg, Plan for Sydney’s Future (Sydney: Department of France, 18–20 September 2006: see, for example, Planning, 2005); Denver Region Council of Gov- S. Kearns, “Congestion Charging Trials in Lon- ernments, Metro Vision 2030 Plan (Denver, CO: don,” J. Eliasson and M. Beser, “The Stockholm 2005). Congestion Charging System,” and J. Baker and S. Kohli, “Challenges in the Development and 31. Kenworthy and Laube, op. cit. note 3; U.S. Appraisal of Road User Charging Schemes.” data from Janette Sadik-Khan, Center for Transit- Oriented Development, ReconnectingAmerica.org, 23. See Newman and Kenworthy, op. cit. note e-mail to and discussion with authors. 11, pp. 191–231. 32. C. Hass Klau, Bus or Light Rail: Making the

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Right Choice, 2nd ed. (Brighton, U.K.: Environ- mer Director of City Planning, City of Quito, dis- mental and Transport Planning, 2004); Brian cussions with Walter Hook, ITDP; Bogotá qual- Goodknight and Peter Buryk, “Along the Tracks: ity of life and transit speeds and loads from Lloyd A Tale of Transit and Development,” The Next Wright and Lewis Fulton, “Climate Change Mit- American City, spring 2006; R. Cervero et al., igation and Transport in Developing Nations,” Transit-Oriented Development in America: Expe- Transport Reviews, November 2005, pp. 691–717; riences, Challenges and Prospects (Washington DC: Jakarta traffic data from PT TransJakarta; critique Transportation Research Board, National Research of TransJakarta from Making TransJakarta a Council, 2004); J. Renne and J. S. Wells, “Tran- World Class BRT System (New York: ITDP, 2005); sit-Oriented Development: Developing a Strat- new systems in other cities from field interviews, egy to Measure Success,” TRB Research Results ITDP staff. Digest 294 (Washington DC: Transportation Research Board, 2005). 39. V. Vuchic, Transportation for Livable Cities (New Brunswick, NJ: Center for Urban Policy 33. P. Newman, “Transport Greenhouse Gas Research, Rutgers University, 1999); V. Vuchic, and Australian Suburbs: What Planners Can Do,” Urban Transit: Planning, Operations and Eco- Australian Planner, vol. 43, no. 2 (2006), pp. 6–7; nomics (Indianapolis, IN: Wiley Press, 2005). P. Calthorpe, The Next American Metropolis: Ecol- ogy, Community and the American Dream (Cam- 40. International Mayors Forum, op. cit. note 17; bridge, MA: Harvard University Press, 1993). L. Fulton and L. Schipper, Bus Systems for the Future: Achieving Sustainable Transport Worldwide 34. For information on Denver, see www.green (Paris: International Energy Agency and Organi- printdenver.org/landuse/index.php and Denver sation for Economic Co-operation and Develop- Regional Council of Governments, 2030 Metro ment, 2002). Vision Regional Transportation Plan (Denver: 2004). 41. Barter, Kenworthy, and Laube, op. cit. note 10. 35. City of Vancouver, Downtown Transportation Plan—Progress Report, City of Vancouver (Van- 42. American Public Transportation Association couver, BC: 2006). and Millar from “Light Rail and Buses Beckon. But Will Americans Really Abandon Their Cars?” The 36. City of Vancouver, Transportation Plan (Van- Economist, 31 August 2006. couver, BC: 1997); Newman and Kenworthy, op. cit. note 11, pp. 174–77, 217–23. 43. Kobenhavns Kommune, Copenhagen City Green Accounts and Environmental Report: Indi- 37. J. Michaelson, “Lessons from Paris,” Mak- cators for Traffic (Copenhagen: 2002); Roads and ing Places Bulletin (Project for Public Spaces), Parks Department, Bicycle Accounts 2004 (Copen- June 2005. hagen: City of Copenhagen, 2005); J. Watts, ”China Backs Bikes to Kick Car Habit,” Guardian 38. Box 4–2 from the following: data on (London), 15 June 2006; tensions between drivers Curitiba’s BRT from Urbanizacao de Curitiba, and pedestrians from John Whitelegg and Nick SA, and Bogotá TransMilenio from TransMile- Williams, “Non-motorised Transport and Sus- nio SA, both discussions with Walter Hook of tainable Development: Evidence from Calcutta,” Institute for Transportation and Development Local Environment, February 2000, pp. 7–18. Policy (ITDP); history of the two systems from Arturo Ardila-Gómez, Transit Planning in 44. Charles Surjadi and Haryatiningsih Darrun- Curitiba and Bogotá: Roles in Interaction, Risk, dono, Review of Kampung Improvement Program and Change, PhD dissertation, Massachusetts Evaluation in Jakarta, Final Report for Water Institute of Technology, 2004; bus operators and Sanitation Program by the Regional Water and blocking change and Quito from Cesar Arias, for- Sanitation Group for East Asia and the Pacific

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(Jakarta: U.N. Development Programme/World Policy and Planning, forthcoming; Vuchic, Trans- Bank, 1998). portation for Livable Cities, op. cit. note 39; STPP and Center for Neighborhood Technology, Dri- 45. Glendening and Whitman quoted in “Stalling ven to Spend: Pumping Dollars Out of Our House- Sprawl: CT Must Take Leadership Role in Shap- holds and Communities (Washington, DC: 2005). ing Development,” Hartford Courant, 17 July 2006. Box 4–3 from the following: population data 50. Vuchic, Urban Transit, op. cit. note 39; data from Instituto Brasilera de Geografía e Estatís- on parking calculated by J. Kenworthy, Transport tica, at ww.ibge.gov.br, viewed 7 August 2006; Energy in Australian Cities, Honours Thesis vehicle contribution to smog from “Brazil: Envi- (Perth, Australia: Murdoch University, 1979). ronmental Issues,” Energy Information Adminis- tration, U.S. Department of Energy, August 2003, 51. Calculations are by the authors and are partly at www.eia.doe.gov/cabs/brazenv.html; Nelson published in Peter Vintila, John Phillimore, and Gouveia and Tony Fletcher, “Respiratory Dis- Peter Newman, eds., Markets, Morals and Mani- eases in Children and Outdoor Air Pollution in São festos (Perth, Australia: Institute for Science and Paulo, Brazil: A Time Series Analysis,” Occupa- Technology Policy, Murdoch University, 1992); see tional and Environmental Medicine, July 2000, pp. also H. Frumkin, L. Frank, and R. Jackson, Urban 477–83; helicopter fleet from Adhemar Altieri, Sprawl and Public Health: Designing, Planning “Letter: Sao Paulo’s Balancing Act,” 18 August and Building for Healthy Communities (Wash- 2004, ington, DC: Island Press, 2004). at news.bbc.co.uk/2/hi/programmes/3570402 .stm, viewed 7 August 2006; Laura Ceneviva, dis- 52. Center for Transit-Oriented Development, cussion with Jonas Hagen, 6 August 2006. for the Federal Transit Administration, Hidden in Plain Sight: Capturing the Demand for Housing 46. Kenworthy and Laube, op. cit. note 3; L. Near Transit (Oakland, CA: 2004). Schipper, C. Marie-Lilliu, and R. Gorham, Flex- ing the Link Between Transport and Greenhouse Gas 53. Free Congress Foundation, Conservatives Emissions: A Path for the World Bank (Paris: Inter- for Mass Transit (Washington, DC: 2003). national Energy Agency, 2000); World Bank, Sus- tainable Transport: Priorities for Policy Reform 54. House of Representatives, op. cit. note 49. (Washington, DC: 1996). 55. Newman and Kenworthy, op. cit. note 11, 47. For the history of this legislation, see D. pp. 191–204. Camph, Transportation, the ISTEA and American Cities (Washington, DC: STPP, 1996); for reau- 56. Perth data from Department of Transport, thorization, see STPP, Transfer Bulletin, at Perth, Australia, discussion with authors; Porto www.transact.org. Alegre from D. Recondo, “Local Participatory Democracy in Latin America,” New Frontiers of 48. Newman and Kenworthy, op. cit. note 11, Social Policy, Arusha Conference, 12–15 Decem- pp. 191–97; A. Eichi et al., A History of Japanese ber 2005; Milwaukee from “Public Opinion and Railways, 1872–1999 (Tokyo: East Japanese Rail- Transportation Priorities in Southeastern Wis- way Culture Foundation, 2000). consin,” Regional Report (Public Policy Forum), June 2006; Oregon from InterACT, Findings of 49. Data on city wealth and transport from New- the Transportation Priorities Project (Vancouver, man and Kenworthy, op. cit. note 11; data on WA: 2003). transportation costs from House of Representa- tives, Sustainable Cities (: Parliament of 57. Center for Transportation Excellence, Trans- Australia, 2005), and from G. Glazebrook, “Tak- portation Finance at the Ballot Box (Washington, ing the Con Out of Convenience: The True Cost DC: 2006). of Transport Modes in Sydney,” Journal of Urban

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58. Beltline loop details and Calthorpe quote in 6. Allen J. Scott and E. Richard Brown, South- Shaila Dewan, “The Greening of Downtown Central Los Angeles: Anatomy of an Urban Crisis, Atlanta,” New York Times, 6 September 2006. Lewis Center for Regional Policy Studies, Work- ing Paper No. 6 (Los Angeles: University of Cal- 59. Data from Center for Transit-Oriented ifornia at Los Angeles, 1993). Development, at www.reconnectingamerica.org/ html/TOD; J. Hartz-Karp and P. Newman, “The 7. John Landis, H. Hood, and C. Amado, “The Participative Route to Sustainability,” in S. Paulin, Future of Infill Housing in California,” Frameworks ed., Communities Doing It for Themselves: Creat- (University of California, Berkeley), spring 2006, ing Space for Sustainability (Perth: University of pp. 14–21. Western Australia Press, 2006); A. Curry et al., Intelligent Infrastructure Futures, The Scenar- Melbourne: ios–Towards 2055 (London: Foresight Directorate, Reducing a City’s Carbon Emissions Office of Science and Technology, U.K. Govern- ment, 2006). 1. Queen Victoria Market from City of Mel- bourne Web site, at www.melbourne.vic.gov.au. Los Angeles: End of Sprawl 2. Geoff Lawler, director, Sustainability and 1. In the whole Los Angeles metropolitan Innovation, “Towards a Thriving and Sustainable region, 16 million people reside in five counties City,” presentation to the Seattle Trade Alliance, containing 177 cities covering about 36,000 square May 2006. kilometers (along with 54,000 square kilometers of government-owned land in the region). South- 3. City of Melbourne, Zero Net Emissions by ern California Studies Center and the Brookings 2020–A Roadmap for a Climate Neutral City Institution Center on Urban and Metropolitan (Melbourne: 2003); five milestones from “How It Policy, Sprawl Hits the Wall (Los Angeles: Uni- Works,” Cities for Climate Protection, at versity of Southern California, 2001), p. 6; for iclei.org/index.php?id=810. 2005 census estimate, see quickfacts.census.gov/ qfd/states/06000.html; population density cal- 4. Quote from Ben Heywood, Melbourne Age, culations taken from Demographia: World Urban 14 August 2006. Areas, at www.demographia.com/db-worldua.pdf, viewed 13 February 2006, and from the U.S. 5. Ibid. Census Bureau 2000 census, in Blaine Harden, “Out West, a Paradox: Densely Packed Sprawl,” 6. City of Melbourne Web site, op. cit. note 1. Washington Post, 11 August 2005. 7. Greenfleet from www.greenfleet.org.au; 2. For an extensive description of suburban Mayor’s offset from Sara Gipton, acting CEO, postwar expansion, zoning, and racial restrictions Greenfleet, discussion with author. in Los Angeles, see Dana Cuff, The Provisional City (Cambridge, MA: The MIT Press, 2000). 8. City of Melbourne Web site, op. cit. note 1.

3. U.S. Bureau of the Census, Census of Hous- 9. T. Roper, “Greening Major Public Events,” ing, Historical Census of Housing Tables (Suitland, Global Urban Development, March 2006. MD: revised 2 December 2004). 10. So quote from WME Weekly, Environment 4. Southern California Studies Center and Business Media, 3 August 2006. Brookings Institution, op. cit. note 1. 11. Broad support indicated by original decision 5. Population density calculations taken from in July 1998 after a joint presentation to Council Demographia, op. cit. note 1. by Ian Carruthers (Australian Greenhouse Office)

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STATE OF THE WORLD 2007 Notes, Melbourne, Chapter 5 representing the Liberal Minister of the Environ- Energy (DOE), Energy Information Administra- ment and the author; National Australia Bank, tion (EIA), “Total Energy Consumption in U.S. Corporate Social Responsibility Report 2005 (Mel- Households by West Census Region, 2001,” bourne: 2005), p. 53. updated 18 November 2004, at www.eia.doe .gov/emeu/recs/recs2001/ce_pdf/enduse/ce1 12. City of Melbourne, City Plan 2010 (Mel- -12c-westregion2001.pdf; embodied energy of bourne: 2005), pp. 60, 65. cement from Wilson, op. cit. this note; emissions from cement industry from Nadav Malin, “The Fly Chapter 5. Energizing Cities Ash Revolution: Making Better Concrete with Less Cement,” Environmental Building News, 1. Real limits from John Byrne et al., “An June 1999; emissions in Japan from Carbon Diox- Equity- and Sustainability-Based Policy Response ide Information Analysis Center, cited in UNDP, to Global Climate Change,” Energy Policy, March “Human Development Reports 2005—Indica- 1998, pp. 335–43. tors: Carbon Dioxide Emissions, Share of World Total,” at hdr.undp.org/statistics/data/indica 2. Bridging to the Future, “How Have Energy tors.cfm?x=212&y=1&z=1; 15 percent from U.S. Systems Shaped Cities Through History? Human Environmental Protection Agency, “Cement and Food Cities; Wood and Hay Cities; Coal Cities,” Concrete,” updated 15 August 2006, at at www.bridgingtothefuture.org, viewed 8 August www.epa.gov/cpg/products/cement.htm; poten- 2006. tial savings from Malin, op. cit. this note; Germany from World Resources Institute (WRI), Climate 3. Tetsunari Iida, Institute for Sustainable Analysis Indicators Tool (Washington, DC: 2003); Energy Policies, Tokyo, e-mail to Janet Sawin, 29 lighter, stronger bricks from “Superior Building August 2006; New York most efficient from Products,” University of New South Wales, New GreenHomeNYC, “For Tenants,” 2003, at South Innovations (Sydney, Australia: June 2006); www.greenhomenyc.org/page/tenants. completely replacing cement from Doug Cross, Jerry Stephens, and Jason Vollmer, Structural 4. India from “Underpowering,” The Econo- Applications of 100 Percent Fly Ash Concrete mist, 22 September 2005; China from Arno Rose- (Billings, MT: Montana State University, 2005); marin, United Nations Development Programme benefits of local materials from Ibrahim Togola, (UNDP), China Human Development Report Mali Folkecentre, “Sustainable Building of Local 2002: Making Green Development a Choice (New Materials in Sahel Countries of West Africa” (draft York: Oxford University Press, 2002), p. 57. paper), sent to Janet Sawin, 4 August 2006; trans- portation share of embodied energy from Wil- 5. Box 5–1 from the following: Emissions and son, op. cit. this note; Big Dig waste from Raphael 40 percent from U.N. Environment Programme Lewis, “End Nears for Elevated Artery,” Boston (UNEP), International Environmental Technology Globe, 14 April 2002; “Man Builds Home From Centre, Energy and Cities: Sustainable Building Big Dig Scrap Materials,” Associated Press, 30 July and Construction (Osaka, Japan: 2003); embod- 2006. ied energy of concrete from Alex Wilson, “Cement and Concrete: Environmental Considerations,” 6. Effect on 50 million people and blackout in Environmental Building News, March 1993; Italy from Alan Katz, “Maintaining Facility Power embodied energy of steel from Center for Build- in the Age of the Blackout,” Electrical Construc- ing Performance Research, University of Welling- tion and Maintenance, 1 June 2004; cause and ton, “Table of Embodied Energy Coefficients,” 7 costs of August blackout from Electricity Con- July 2004, at www.vuw.ac.nz/cbpr/resources/ sumers Resource Council, The Economic Impacts index.aspx; San Francisco home based on 66.6 of the August 2003 Blackouts (Washington, DC: million Btus per household in Pacific region for 2004). space and water heating, cooling, refrigerators, lighting, and appliances, from U.S. Department of 7. Line losses from World Bank, World Devel-

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STATE OF THE WORLD 2007 Notes, Chapter 5 opment Report 1997 (New York: Oxford Univer- 12. Buildings more than 40 percent from UNEP, sity Press, 1997), from M. S. Bhalla, “Transmis- International Environmental Technology Centre, sion and Distribution Losses (Power),” in Energy and Cities: Sustainable Building and Con- Proceedings of the National Conference on Regu- struction (Osaka, Japan: 2003), p. 1; U.S. build- lation in Infrastructure Services: Progress and Way ings from Greg Franta, “High-Performance Forward (New Delhi: The Energy and Resources Buildings Through Integrated Design,” RMI Institute, 2000), and from Seth Dunn, Micropower: Solutions, summer 2006, p. 6, and from Greg The Next Electrical Era, Worldwatch Paper 151 Franta, Rocky Mountain Institute, e-mail to (Washington, DC: Worldwatch Institute, 2000), Stephanie Kung, Worldwatch Institute, 20 Sep- p. 46; New Delhi from John Lancaster, “Sniffing tember 2006. Out the Freeloaders Who Stress the Grid,” Wash- ington Post, 12 June 2006. 13. Shanghai from David Barboza, “China Builds Its Dreams, and Some Fear a Bubble,” New York 8. One fifth from World Bank, Energy Poverty Times, 18 October 2005; China urban infrastruc- Issues and G8 Actions, Discussion Paper (Wash- ture from McKibben, op. cit. note 10. ington, DC: 2 February 2006), p. 1; number could be higher from “Power to the Poor,” The 14. Lighting from IEA, “Light’s Labour’s Lost— Economist, 8 February 2001; Africans from Bereket Policies for Energy-Efficient Lighting,” press Kebede and Ikhupuleng Dube, “Chapter 1: Intro- release (Paris: 29 June 2006); Eric Corey Freed, duction,” in Bereket Kebede and Ikhupuleng “Ask the Green Architect: Mirrors for Lighting; Dube, eds., Energy Services for the Urban Poor in Radiant Heating for Floors; Efficient Exit Signs,” Africa: Issues and Policy Implications (London: GreenBiz.com, undated; Jonathan Rider, Light Zed Books in Association with the African Energy Shelves, Advanced Buildings, Technologies and Policy Research Network, 2004), p. 1. Practices (Ottawa, ON: Natural Resources Canada and Public Works and Government Services 9. Millions of deaths from “Power to the Poor,” Canada); glass from Rick Cook, Partner, Cook + op. cit. note 8; India, Sri Lanka, and Thailand Fox Architects, interview on “The Green Apple,” from Emily Matthews et al., The Pilot Analysis of Design E 2, U.S. Public Broadcasting System series, Global Ecosystems: Forest Ecosystems (Washington, summer 2006. DC: WRI, 2000); Khartoum from Business in Africa, “Energy in Africa: Is There Energy for 15. Incandescent bulbs and compact fluorescents All?” 4 November 2005, p. 1. from DOE, Office of Energy Efficiency and Renewable Energy (EERE), “Technology Fact 10. Coal use from “Chapter 5: World Coal Mar- Sheet: Improved Lighting,” GHG Management kets,” in EIA, International Energy Outlook 2006 Workshop, 25–26 February 2003, pp. 1–2; DOE, (Washington, DC: DOE, 2006); coal projections EERE, “Energy Efficient Lighting and Light Emit- from International Energy Agency (IEA), Key ting Diodes,” fact sheet (Richland, WA: May World Energy Statistics 2006 (Paris: 2006), p. 46; 2006); DOE, EERE, “LED Traffic Lights Save impact in China from Bill McKibben, “The Great Energy in Idaho,” Conservation Update, May- Leap: Scenes from China’s Industrial Revolution,” June 2004. Harper’s Magazine, December 2005. 16. Ceilings in South Africa from Randall Spald- 11. Cities account for 75 percent of world’s fos- ing-Fecher et al., “The Economics of Energy Effi- sil fuel consumption (and hence about 75 percent ciency for the Poor—A South Africa Case Study,” of energy-related emissions); see World Council for Energy, December 2002, pp. 1,099–117. Renewable Energy (WCRE), “Renewable Energy and the City,” discussion paper for World Renew- 17. Combined heat and power efficiency from able Energy Policy and Strategy Forum, Berlin, DOE, EERE, “Distributed Energy Resources: Germany, 13–15 June 2005. Combined Heat & Power Program for Buildings, Industry and District Energy,” at www.eere.energy

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.gov/de/pdfs/chp_buildings_industry_district.pdf, “Comparative Life Cycle Assessment of Standard viewed 15 July 2006; Verdesian, 80 percent or and Green Roofs,” Environmental Science & Tech- higher, and typical fossil fuel plant from Robin nology, 1 July 2006, pp. 4312–16; heat island and Pogrebin, “Putting Environmentalism on the smog reductions from Akbari, op. cit. note 22. Urban Map,” New York Times, 17 May 2006; typical plant efficiency also from DOE, Office of 24. Less than half from DOE, EERE, “Tech- Fossil Energy, “DOE Launches Project to Improve nology Fact Sheet: Resources for Whole Building Materials for Supercritical Coal Plants,” press Design,” GHG Management Workshop, 25–26 release (Pittsburgh, PA: 16 October 2001). February 2003, p. 11; savings up to 80 percent from James Read, associate director, Arup Com- 18. Radiant heating from DOE, EERE, Office of munications, on “Deeper Shades of Green,” Energy Efficiency and Renewable Energy, “Radi- Design E 2, op. cit. note 14; savings in energy and ant Heating,” updated 12 September 2005; construction costs from Franta, “High-Perfor- Romans from Freed, op. cit. note 14; Hewlett mance Buildings,” op. cit. note 12, p. 7; Accord building from The William and Flora Hewlett 21 Building from Robert Watson, senior scientist, Foundation, “The Hewlett Foundation Building: Natural Resources Defense Council, on “China: Energy Efficiency,” (Menlo Park, CA: updated From Red to Green?” Design E2, op. cit. note 14. 23 August 2005), and from Stephanie Kung, Worldwatch Institute, personal observations. 25. Healthier, more comfortable occupants and greater worker productivity from Gregory H. Kats, 19. Cooling in China from National Renewable “Green Building Costs and Financial Benefits,” Energy Laboratory, Renewable Energy in China: Massachusetts Technology Collaborative, 2003, p. Development of the Geothermal Heat Pump Mar- 6, from Judith Heerwagen, “Sustainable Design ket in China (Golden, CO: 2006); Tokyo and Can Be an Asset to the Bottom Line,” Environ- Houston from David J. Sailor and Chittaranjan mental Design + Construction, 15 July 2002, and Vasireddy, “Correcting Aggregate Energy Con- from DOE, op. cit. note 24, p. 11; reduced sumption Data to Account for Variability in Local turnover from “Study: Environmentally Friendly Weather,” Environmental Modelling & Software, Buildings Also Most Market Friendly,” Green- May 2006, p. 733. biz.com, 31 October 2005; Heschong Mahone Group, “Daylighting in Schools: An Investiga- 20. Susan Roaf and Mary Hancock, “Future- tion Into the Relationship Between Daylighting Proofing Buildings Against Climate Change Using and Human Performance,” prepared for the Cal- Traditional Building Technologies in the Mediter- ifornia Board for Energy Efficiency (Fair Oaks, CA: ranean Region,” EuroSun 98, II.1.13, pp. 1–7. 20 August 1999); Warren E. Hathaway et al., A Study into the Effects of Light on Children of Ele- 21. M. Santamouris, “Special Issue of the Solar mentary School Age—A Case Study of Daylight Energy Program Devoted to Natural Ventilation Robbery (Edmonton, AB: Policy and Planning in Urban Areas” (editorial), Solar Energy, April Branch, Planning and Information Services Divi- 2006, pp. 369–70; EPA, “Heat Island Effect— sion, Alberta Education, 1992); bank building What Can Be Done—Trees & Vegetation,” fact from Nicholas Lenssen and David Roodman, A sheet (Washington, DC: 9 June 2006). Building Revolution, Worldwatch Paper 124 (Washington, DC: Worldwatch Institute, 1994), 22. Cool roof savings from Hashem Akbari, p. 45; more than 10 times the benefits from Kats, “Estimating Energy Saving Potentials of Heat op. cit. this note, p. 8; and from U.S. Green Build- Island Mitigation Measures,” Heat Island Group, ing Council, “Green Buildings by the Numbers,” Lawrence Berkeley National Laboratory, power- 2006, at www.usgbc.org/DisplayPage.aspx?CMS point presentation, updated 16 June 1999. PageID=1442; costs falling from Kats, op. cit. this note, p. 3. 23. EPA, op. cit. note 21; Madrid study and heat island reductions from Susana Saiz et al., 26. One year payback from Franta, “High-Per-

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STATE OF THE WORLD 2007 Notes, Chapter 5 formance Buildings,” op. cit. note 12, p. 7; retro- Canada, Technologies and Applications—Photo- fit projects from Jiang Lin et al., Developing an voltaic: Integrating Photovoltaic Arrays in Build- Energy Efficiency Service Industry in Shanghai ings (Ottawa, ON: updated 26 July 2006); (Berkeley, CA: Lawrence Berkeley National Lab- potential in Finland, Australia, and United States oratory, 2004), pp. 2, 17. (adjusted for the fact that it was based on 1998 electricity consumption data and conservative esti- 27. Anuj Chopra, “Low-cost Lamps Brighten mates for available rooftops and façades and for the Future of Rural India,” Christian Science Mon- solar resources) from IEA, Summary: Potential for itor, 3 January 2006. Building Integrated Photovoltaics (Paris: 2002), p. 8. 28. John Perlin, “Solar Evolution: The History of Solar Energy,” California Solar Center, 2005, 34. UNDP, Equator Initiative, “Solar City— at www.californiasolarcenter.org/history_pas Germany,” August 2000, at www.tve.org/ho/ sive.html; Babylon from The Garland Company, doc.cfm?aid=657, viewed 23 September 2006; “History of Green Roofs,” at www.garlandco David Faiman, “Solar Energy in Israel,” Ben- .com/green-roof-history.html, viewed 9 August Gurion University of the Negev, Sde Boker, Israel, 2006. 26 November 2002; fuel savings from Environ- mental and Energy Study Institute, “Renewable 29. Edison and evolution of industry from Dunn, Energy Fact Sheet: Solar Water Heating—Using op. cit. note 7, pp. 6, 11, 13–14. the Sun’s Energy to Heat Water” (Washington, DC: May 2006); China solar energy from REN21, 30. For microturbines, see, for example, Wilson Renewables Global Status Report 2006 Update TurboPower, Inc., “The Wilson Microturbine,” at (Paris and Washington, DC: REN21 Secretariat www.wilsonturbopower.com; fuel cells already and Worldwatch Institute, 2006); China’s driver producing power from Joel N. Swisher, Cleaner from Zijun Li, “Solar Energy Booming in China,” Energy, Greener Profits: Fuel Cells as Cost-Effective China Watch, 23 September 2005. Distributed Energy Resources (Snowmass, CO: Rocky Mountain Institute, 2002), p. 12; Susan 35. P. J. Hughes and J. A. Shonder, The Evalu- Nasr, “More Powerful Fuel Cells Get Closer to ation of a 4000 Home Geothermal Heat Pump Market,” Technology Review, 13 June 2006. Retrofit at Fort Polk, Louisiana: Final Report (Oak Ridge, TN: Oak Ridge National Laboratory, 31. Energy & Enviro Finland, “Utilizing Biogas March 1998), p. 2; Beijing Linked Hybrid Project as a Fuel: Wärtsilä Fuel Cell Unit to Power the City from Li Hu, Partner, Steven Holl Architects, on of Vaasa,” 15 June 2006. “China: From Red to Green?” Design E 2, op. cit. note 14. 32. Renewables from REN21 Renewable Energy Policy Network, Executive Summary: Renewables 36. Pompeii and list of countries from Geother- Global Status Report 2006 Update (Washington, mal Education Office, “Geothermal Energy,” DC: Worldwatch Institute, 2006); wind, solar, slideshow, funded by DOE, undated; Paris from and biofuels from Worldwatch Institute, Vital European Renewable Energy Council, “Joint Dec- Signs 2006–2007 (New York: W. W. Norton & laration for a European Directive to Promote Company, 2006), pp. 36–41. Renewable Heating and Cooling,” Brussels, undated, p. 8. 33. Cheaper for building facades from Steven Strong, “Solar Electric Buildings: PV as a Dis- 37. New York waste and shipped to Ohio from tributed Resource,” Renewable Energy World, July- Timothy Gardner, “Hot Trash-to-Fuel Technol- August 2002, p. 171; Europe from “BIPV ogy Gathering Steam,” Reuters, 27 February 2004; Technology,” Wisconsin Public Service, University disposal costs as of 2002 from Steven Cohen, of Wisconsin, at www.buildingsolar.com/tech “Putting Garbage to Good Use,” New York Times, nology.asp; use elsewhere from Natural Resources 15 August 2002; increasing waste in industrial

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STATE OF THE WORLD 2007 Notes, Chapter 5 countries from Euiyoung Yoon and Sunghan Jo, 41. “Tokyo Embraces Renewable Energy,” Envi- “Municipal Solid Waste Management in Tokyo ronment News Service, 6 April 2006; “Boston’s and Seoul,” Proceedings of Workshop of First Wind Turbine Serves as Example,” Renew- IGES/APN Mega-City Project, Kitakyushu, Japan, ableEnergyAccess.com, 18 May 2005; Middel- 23–25 January 2002, p. 1; developing countries, grunden Wind Turbine Cooperative, “The garbage burned or left to rot, and impacts from Middelgrunden Offshore Wind Farm—A Popular “Hazardous Waste: Special Reference to Munici- Initiative,” undated, at www.middelgrunden.dk/ pal Solid Waste Management,” in The Energy MG_UK/project_info/mg_pjece.htm. and Resources Institute, India: State of the Envi- ronment 2001 (Delhi: 2001), pp. 133–41; 90 per- 42. New York and San Francisco from Jeff John- cent not collected from UNEP, “At a Glance: son, “Power from Moving Water,” Chemical and Waste,” Our Planet, 1999. Engineering News, 4 October 2004, and from Adam Aston, “Here Comes Lunar Power,” Busi- 38. Methane potency from EPA, “Global Warm- ness Week, 6 March 2006; Paris from Doyle, op. cit. ing—Emissions,” at yosemite.epa.gov/OAR/ note 40; “Deep Lake Water Cooling: Chilled globalwarming.nsf/content/Emissions.html; U.S. Water for Cooling Toronto’s Buildings,” at cities from Daniela Chen, “Converting Trash Gas www.enwave.com/enwave/view.asp?/dlwc/energy, into Energy Gold,” CNN.com, 17 July 2006; São viewed 6 August 2006. Paulo and Riga from Carl R. Bartone, Horacio Ter- raza, and Francisco Grajales-Cravioto, “Oppor- 43. Environment Department, City of Malmö, tunities for LFGTE Projects in LAC Utilizing “100 Percent Locally Renewable Energy in the International Carbon Financing,” World Bank, Western Harbour of Malmö in Sweden,” ICLEI presentation at LMOP 8th Annual Conference, in Europe: Cities in Action—Good Practice Exam- Baltimore, MD, 10–11 January 2005; Cheryl ples, at www.iclei-europe.org; Dongtan from Fred Smith, “Monterrey Plans to Turn Rotting Garbage Pearce, “Eco-cities Special: A Shanghai Surprise,” into Electricity,” Christian Science Monitor, 21 New Scientist, 21 June 2006; expected population March 2002. from Jean-Pierre Langellier and Brice Pedroletti, “China to Build First Eco-city,” The Guardian 39. Incomes spent on cooking fuel from Christo- Weekly, 2006. pher Flavin and Molly Hull Aeck, Energy for Devel- opment: The Potential Role of Renewable Energy in 44. Janet L. Sawin, “National Policy Instru- Meeting the Millennium Development Goals (Wash- ments: Policy Lessons for the Advancement & ington, DC: Worldwatch Institute, 2005), p. 17; Diffusion of Renewable Energy Technologies Innocent Rutamu, “Low Cost Biodigesters for Around the World,” background paper prepared Zero Grazing Smallholder Diary Farmers in Tan- for Secretariat of the International Conference of zania,” Livestock Research for Rural Development, Renewable Energies, Bonn, Germany, January July 1999. 2004, p. 24.

40. European cities and San Francisco from “San 45. Blackout from Richard Perez et al., “Solution Francisco to Test Turning Dog Waste into Power,” to the Summer Blackouts? How Dispersed Solar Reuters, 23 February 2006; Alister Doyle, “Oslo’s Power-Generating Systems Can Help Prevent the Sewage Heats Its Homes,” Reuters, 10 April 2006; Next Major Outage,” Solar Today, July/August Helsingborg from Michael D. Lemonick, “Cleaner 2005, and from Richard Perez, Atmospheric Sci- Air Over Scandinavia,” Time, 3 April 2006, p. ences Research Center, State University of New 47; hospital and industrial wastes to electricity York at Albany, e-mail to Janet Sawin, 3 October from Timothy Gardner, “Hot Trash-to-Fuel Tech- 2006. nology Gathering Steam,” Reuters, 27 February 2006; “$84 Million for the First Tires-to-Ethanol 46. UNDP survey from Molly O’Meara, Rein- Facility,” RenewableEnergyAccess.com, 23 March venting Cities for People and the Planet, Worldwatch 2006. Paper 147 (Washington, DC: 1999), p. 57; Ger-

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STATE OF THE WORLD 2007 Notes, Chapter 5 many from Preben Maegaard, “Wind, Not and Results,” presented at the 9th Annual Con- Nuclear!–Why Does the UK Not Take This ference of Energie-Cités, Martigny, 22–23 April Opportunity?” WCRE, July 2006; China’s solar 2004; expanded requirements from REN21, op. heating industry from REN21 Renewable Energy cit. note 34, p. 10; more than 70 cities and national Policy Network, Renewables 2005 Global Status government from European Solar Thermal Indus- Report (Washington, DC: Worldwatch Institute, try Federation, “Spain Approves National Solar 2005), pp. 24–25; India’s biogas industry from Thermal Obligation,” at www.estif.org, viewed 7 Institute of Science in Society, “Biogas Bonanza for July 2006, and from REN21, op. cit. note 34. Third World Development,” press release (Lon- don: 20 June 2005). 50. Sacramento Municipal Utility District (SMUD), “EBSS Solicitations–Solicitation Detail,” 47. Box 5–2 from the following: event statistics at www.bids.smud.org/sDsp/sDsp004.asp?solic and Olympics overview from The Hon. Tom itation_id=2195, viewed 19 September 2006; Roper, “The Environmental Challenge of Major SMUD, “Solar for Your Home: PV Pioneers,” at Events,” presented at the Eighth World Congress www.smud.org/green/solar/index.html, viewed Metropolis, Berlin, Germany, 2005, pp. 1–2, 6, 21 September 2006; from SMUD, “Solar Power and from Tom Roper, “Producing Environmen- for Your Business,” at www.smud.org/green/ tally Sustainable Olympic Games and Greening solar/compv.html, viewed 21 September 2006. Major Public Events,” Global Urban Development Magazine, March 2006; additional Beijing data 51. Heat wave and ComEd settlement from Ken from Environment News Service, “Beijing Enlists Regelson, Sustainable Cities: Best Practices for U.S. Help to Green the 2008 Olympic Games,” Renewable Energy & Energy Efficiency (Denver, 18 April 2005, p. 1; World Cup data from Fédéra- CO: Sierra Club–Rocky Mountain Chapter, 2005), tion Internationale de Football Association (FIFA), pp. 10–15; 20 percent agreement from City of “Green Goal™: Environmental Protection Tar- Chicago, Office of the Mayor and Department of gets,” Zurich, 2005; renewable sources from FIFA, Environment, Energy Plan (Chicago, IL: 2001); “Sunny Days Ahead in Kaiserslautern,” Zurich, 26 target year moved to 2010, for budgetary and May 2006. contractual reasons, from Mike Johnson, project coordinator, City of Chicago Department of 48. Forum Barcelona, “Imma Mayol: The Clo- Energy, Environment and Air Quality, discussion sure of Nuclear Power Stations in Catalonia is with Kristen Hughes, 4 October 2006, and from One of the Prime Objectives to Be Carried Out in SustainLane, “#4 Chicago: The Wind at its Back,” the Next 15 Years, in Terms of Defining a New at www.sustainlane.com/article/846, viewed 7 Energy Model,” 2004; Ajuntament de Barcelona, October 2006. Plan for Energy Improvement in Barcelona (Barcelona: 2002); elections, sunlight and energy 52. “Most environmentally friendly” from City equivalent, demonstration, and timeline from of Chicago, “A Message from the Mayor,” at Pamela Stirzaker, “Spain’s Chain Reaction: Munic- www.cityofchicago.org/Transportation/bikemap, ipal Obligations Spur on Solar Thermal Growth,” viewed 26 September 2006; Regelson, op. cit. Renewable Energy World, September-October note 51. 2004, pp. 2–3, and from Josep Puig i Boix, “The Barcelona Solar Ordinance: A Case Study About 53. Kevin McCarthy, “Chicago Approves Big How the Impossible Became Reality,” presented Grants for Green Roof Retrofits,” Construc- at the International Sustainable Energy Organi- tion.com, 19 July 2006; trees from J. Slama, zation Special Session, World Summit for Sus- “Chicago Will Be America’s Greenest City,” Con- tainable Development, Johannesburg, South scious Choice, April 2002. Africa, 28 August 2002. 54. David Engle, “With the Power at Hand: 49. Toni Pujol, Barcelona Energy Agency, “The Examining the Merits of Distributed Energy,” Barcelona Solar Thermal Ordinance: Evaluation Planning Magazine (American Planning Associa-

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STATE OF THE WORLD 2007 Notes, Chapter 5 tion), July 2006; community aggregation impacts tainable Development,” People’s Daily Online, 7 from Donald Aitken, Donald Aitken Associates, e- June 2005; Berlin, Copenhagen, Melbourne, and mail to Kristen Hughes, 4 September 2006. Tokyo from The Climate Group, Low Carbon Leader: Cities Oct. 2005 (Woking, Surrey, U.K.: 55. Jong-dall Kim, Dong-hi Han, and Jung-gyu 2005); Freiburg, Oxford, and Portland from Eric Na, “The Solar City Daegu 2050 Project: Visions Martinot, “Index of Solar Cities,” at www.martin for a Sustainable City,” Bulletin of Science, Tech- ot.info/solarcities, viewed 19 July 2006; Leices- nology & Society, April 2006, pp. 99–100; finan- ter from ICLEI, “Profiting from Energy Effi- cial crisis from EIA, “South Korea: Environmental ciency: 7.0 Best Municipal Practices for Energy Issues,” at www.eia.doe.gov/emeu/cabs/skoren Efficiency,” at www.iclei.org/index.php?id= .html, viewed 9 August 2006. 1677&0, viewed 11 July 2006; City of Portland, Resolution Adopted 27 April 2005, at www.port 56. Renewables goal from REN21, op. cit. note landonline.com/osd/index.cfm?a=112681&c=41 46, p. 28; 2050 planning from Eric Martinot, 701, viewed 7 August 2006; Toronto Environ- “Solar City Case Study: Daegu, Korea,” Renew- mental Alliance, Getting Green Power On-line in able Energy Information on Markets, Policy, Toronto (Toronto, ON: 2005); Tokyo Metropol- Investment, and Future Pathways, 2004, p. 1; itan Government Bureau of Environment, “Tokyo Kim, Han, and Na, op. cit. note 55, pp. 98–99. Renewable Energy Strategy,” 3 April 2006, at www.isep.or.jp/e/Eng_project/TokyoREstrat 57. Population from Dejan Sudjic, “Making egy060526.pdf, viewed 20 July 2006. Cities Work: Mexico City,” BBC News, 21 June 2006; haze from Michelle Hibler, “Taking Con- 61. U.S. Mayors’ agreement and ICLEI from trol of Air Pollution in Mexico City,” IDRC Wilson Rickerson and Kristen Hughes, “The Pol- Reports, 12 August 2003; “most dangerous” title icy Framework for Greenhouse Gas Reductions in from “New Center a Breath of Fresh Air for Mex- New York City,” presented at the 2006 Interna- ico City,” Environment News Service, 3 June 2002; tional Solar Cities Congress, Oxford, U.K., 4 April remains among most polluted from EIA, “Mexico: 2006; ICLEI, “About CCP,” at www.iclei.org/ Environmental Issues,” at www.eia.doe.gov/ index/php?id=811, viewed 19 September 2006; emeu/cabs/mexenv.html, viewed 8 August 2006. Office of the Mayor, U.S. Mayors Climate Protec- tion Agreement (Seattle, WA: 2005); Australia 58. Proaire campaign and installation figures ICLEI from Tom Roper, Project Leader, Global from The Climate Group, Less Is More: 14 Pioneers Sustainable Energy Islands Initiative, discussion in Reducing Greenhouse Gas Emissions (Woking, with Kristen Hughes, 17 August 2006, and from Surrey, U.K.: 2004), p. 29; supporting organiza- Cities for Climate Protection® Australia, “About tions from The Climate Group, “Mexico CCP Australia,” at www.iclei.org/index.php?id City–Municipal Government,” at www.thecli =about, viewed 19 September 2006. mategroup.org/index.php?pid=427, viewed 5 August 2006. 62. Target for pathfinders from International Solar Cities Initiative, “International Solar Cities 59. The Climate Group, Cape Town–Municipal Congress 2006,” at www.solarcities.org.uk, viewed Government (Woking, Surrey, U.K.: undated), pp. 19 July 2006; 3.3 tons from Byrne et al., op. cit. 1–3; Gold Standard from Renewable Energy and note 1; Argentina and China from United Nations Energy Efficiency Partnership (REEEP), “CDM Statistics Division, “Millennium Development Housing Project to Become Replicable Energy Goals Indicators: Data Availability by Country,” at Savings Model for South Africa,” at millenniumindicators.un.org/unsd/mdg/default www.reeep.org/index.cfm?article .aspx, viewed 19 September 2006. id=1198&ros=1, viewed 6 September 2006. 63. Investment priorities from WCRE and Asia 60. Table 5–1 from the following: “China’s Cap- Pacific & Renewable Energy Foundation Lim- ital Launches Plan to Save Sparse Energy for Sus- ited, Asia Pacific Renewable Energy and Sustain-

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STATE OF THE WORLD 2007 Notes, Chapter 5 able Development Agenda 2004 (Bonn, Germany: 69. DOE, “Energy Savers: Homeowners,” at 2004), pp. 4–6; initiatives in global programs www.energysavers.gov/homeowners.html, viewed from Practical Action, Power to the People: Sus- 6 September 2006, and “Building Energy Efficient tainable Energy Solutions for the World’s Poor New Homes,” at www.eere.energy.gov/buildings/ (Rugby, U.K.: 2002), p. 8. info/homes/newconstruction.html, viewed 6 Sep- tember 2006. 64. Subsidies from WCRE, Action Plan for the Global Proliferation of Renewable Energy (Bonn, 70. Local conditions and expertise from UNEP, Germany: 2002), p. 8, and from WCRE, “First op. cit. note 12, pp. 1, 3, 8–9; institutional capac- World Renewable Energy Policy and Strategy ity from Tom Roper, “5 Star Housing–Victoria, Forum Successfully Carried Out,” press release Australia: Performance Based Building Regula- (Bonn, Germany: 18 June 2002); The White tion Delivers Major Sustainability Outcomes,” House, Department of Energy–Overview: The Bud- presented to Greenbuild 2005, Atlanta, GA, 9–11 get for Fiscal Year 2005 (Washington, DC: 2005); November 2005, pp. 1, 5–7. India and China from Jon Gertner, “Atomic Balm?” New York Times, 16 July 2005; leadership 71. Chicago from Tom Roper, Project Leader, from WCRE and Asia Pacific & Renewable Energy Global Sustainable Energy Islands Initiative, e- Foundation Limited, op. cit. note 63; Janet Sawin, mail to Kristen Hughes, 21 August 2006, and “Charting a New Energy Future,” in Worldwatch from Chicago Department of Construction and Institute, State of the World 2003 (New York: Permits, Green Permit Program (Chicago: date W. W. Norton & Company, 2003), p. 105. unknown), p. 3; “New Urbanism: Creating Liv- able Sustainable Communities,” at www.newur 65. Lori Bird et al., “Policies and Market Factors banism.org, viewed 5 September 2006. Driving Wind Power Development in the United States,” Energy Policy, July 2005, p. 1,405; elec- 72. Table 5–2 from the following: Cooperatives tricity privatization from Kirsty Hamilton, “Finance from Paul Gipe, Community Wind: The Third and Investment: A Challenge of Scale,” Renewable Way (Toronto: Ontario Sustainable Energy Asso- Energy World, September-October 2002. ciation, 2004); fuelwood pricing and replanting from Practical Action, Energy: Working with Com- 66. Negawatts from Amory Lovins, “The munities to Provide Appropriate Solutions (Rugby,

Negawatt Revolution—Solving the CO2 Prob- U.K.: 2006), p. 5; secondary power and lifeline tar- lem,” presented at Green Energy Conference, iffs from Kebede and Dube, op. cit. note 8, pp. 1, Montreal, 14–17 September 1989. 4, 6–8; energy service companies from Lin et al., op. cit. note 26, p. 2; microfinance and loans from 67. Anchor tenants from David Roeder, “Eco- Abhishek Lal and Betty Meyer, “An Overview of Friendly Builders Starting to Grow,” Chicago Sun Microfinance and Environmental Management,” Times, 20 February 2006; energy costs small share Global Development Research Center, at www of expenses from Board of Governors of the Fed- .gdrc.org/icm/environ/abhishek.html, viewed eral Reserve System, Monetary Policy Report to 19 April 2006, p. 9; bundling from Hamilton, op. the Congress (Washington, DC: 19 July 2006), p. cit. note 65, pp. 5–6; solar water heaters from 20; savings not reflected in conventional account- REEEP, “Innovative Financing for Solar Water ing from Massachusetts Public Interest Research Heating Increases Affordability,” press release Group, “Testimony on Senate Bill 360: ‘An Act To (Vienna, : April 2006); importance of cham- Promote An Energy Efficient Massachusetts,’ pions and utility involvement from Roper, op. cit. Cost-Effective Solutions to Protect Consumers, note 71; demonstration projects and awareness Reduce Pollution, and Boost Our Economy,” sub- from Practical Action, op. cit. note 63, pp. 3–4; mitted 27 March 2001. state and city de facto policy from Aitken, op. cit. note 54. 68. Juliet Eilperin, “22 Cities Join Clinton Anti- Warming Effort,” Washington Post, 2 August 2006. 73. Partnerships and commitments from Practi-

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STATE OF THE WORLD 2007 Notes, Chapter 5, Rizhao, Malmö cal Action, op. cit. note 63, p. 1; importance of pri- 11. “More than 300 Peking University Professors vate-sector allies from Innovest Strategic Value Bought Houses in Rizhao,” Beijing Youth Daily Advisors, Climate Change & The Financial Services (Beijing Qingnian Bao), 11 August 2006; Qufu Industry: Module 1–Threats and Opportunities, from Wang Shuguang, discussion with author, 11 prepared for the UNEP Finance Initiatives Climate October 2006. Change Working Group (Toronto, ON: 2002). Malmö: Building A Green Future Rizhao: Solar-Powered City 1. Height of Turning Torso from Sam Lubbell, 1. Population from Rizhao City Government, “Just Opened….” Architectural Record, January 2005 Rizhao Economic and Social Development 2006, p. 36; population from City of Malmö Web Statistic Bulletin, at www.rizhao.gov.cn/rztj/show site, at www.malmo.se; Santiago Calatrava from .asp?ListName=YDTJ&ID=15, viewed 10 June Paul Goldberger, “The Sculptor,” The New Yorker, 2006. 31 October 2005, pp. 88–90.

2. Usage data from Rizhao City Construction 2. Earliest settlements from City of Malmö, at Committee, internal statistics. www.malmo.se/turist/inenglish/malmocityofdi versityandpossibilities.4.33aee30d103b8f1591680 3. Li Zhaoqian, Presentation at World Urban 0021971.html; foreign-born population from City Forum III, Vancouver, 19–23 June 2006; Wang of Malmö, op. cit. note 1; Kockum’s history from Shuguang, e-mail to author, 15 October 2006. Christer Persson, “Sweden Learns the Harsh Lessons of Regeneration,” Special Supplement, 4. Li Zhaoqian, discussion with author, 17 June (London) Guardian, 19 January 2005; related 2006. industries and economic downturn from Kevin Done with Hilary Barnes, “Survey: Malmo and 5. Costs from Li, op. cit. note 3; average salaries Southern Sweden,” Financial Times, 25 May from Rizhao City Government, op. cit. note 1. 1983; number leaving from Malmö, at Wikipedia.

6. Installations first for government buildings 3. Mats Olsson, “Bo01 as a Strategic Project,” and homes of city leaders from Li, op. cit. note 3; in FORMAS (Swedish Research Council for Envi- free installation for some employees from Li, op. ronment, Agricultural Sciences and Spatial Plan- cit. note 4; Wang Shuguang, e-mails and discus- ning), Sustainable City of Tomorrow, sions with author, August and October 2006. Bo01–Experiences of a Swedish Housing Exposition (Stockholm: 2005). 7. Li, op. cit. note 4. 4. Daniel Nilsson, “The LIP Programme—A 8. State Environmental Protection Agency, Prerequisite for the Environmental Initiatives,” 2005 Annual Report of Urban Environmental in FORMAS, op. cit. note 3. Management and Comprehensive Pollution Control (Beijing: 2006). 5. Li Löverhed, “100 Per Cent Local Renew- able Energy,” in FORMAS, op. cit. note 3. 9. Wang, op. cit. note 6. 6. Information from Tor Fossum, Environ- 10. Tourist numbers from Rizhao City Govern- mental Strategy Unit, Environmental Department, ment, op. cit. note 1; Rizhao City Government, City of Malmö, discussion with author, 8 October 2004 Rizhao Economic and Social Development 2006. Statistic Bulletin, at www.rizhao.gov.cn/rztj/ show.asp?ListName=YDTJ&ID=5., viewed 10 7. Carbon dioxide reduction target from “58 June 2006. Environmental Objectives for the City of Malmö,” at www.malmö.se; further information on

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SECURE available at www.secureproject.org. ature, flood, slides, volcano, wildfire, and wind storm. Note: due to a change in disaster record- 8. Current population for the Västra Hamnen ing methods in 2003, recent figures on the num- area from City of Malmö Web site, at ber of disasters may appear artificially inflated www.malmo.se/faktaommalmopolitik/statistik/ compared with historical figures; see Center for eomradesfaktaformalmo/omradesfakta2005; pro- Research on the Epidemiology of Disasters jected population from “Västra Hamnen: The (CRED), “EM-DAT Data Entry Procedures,” at Bo01-Area, A City for People and the Environ- www.em-dat.net/guidelin.htm. Definition of nat- ment,” information folder, City of Malmö, at ural disaster from CRED, “EM-DAT Criteria and www.ekostaden.com/pdf/vhfolder_malmostad_ Definition,” at www.em-dat.net/criteria.htm, 0308_eng.pdf. viewed 16 September 2006.

9. Housing construction and education from 4. Data in Figure 6–1 are a Worldwatch calcu- “Malmö 2006, Facts and Figures,” leaflet, City of lation based on “EM-DAT: The OFDA/CRED Malmö, Serviceförvaltningen, 2006; joblessness International Disaster Database,” op. cit. note 3, from København Malmö 2006 (Malmö and Copen- viewed 4 October 2006; city and national popu- hagen: City Office of Malmö and Statistical Office lations from United Nations Population Division, of Copenhagen, 2006). “File 14: The 30 Largest Urban Agglomerations Ranked by Population Size, 1950–2015,” and 10. Population for Rosengård area from City of “File 1: Total Population at Mid-Year by Major Malmö Web site, op. cit. note 8. Area, Region and Country, 1950–2030 (thou- sands),” World Urbanization Prospects 2005 (New 11. Jeanette Andersson, discussion with author, York: 2006); definition of “total affected” from 27 September 2006. CRED, “EM-DAT Criteria and Definition,” op. cit. note 3, viewed 4 October 2006. Chapter 6. Reducing Natural Disaster Risk in Cities 5. Worldwatch calculations based on data from “EM-DAT: The OFDA/CRED International Dis- 1. John Noble Wilford, “Scientists Unearth aster Database,” op. cit. note 3, viewed 21 July Urban Center More Ancient Than Plato,” New 2006, and from United Nations, “File 1: Total York Times, 2 December 2003; Helike Foundation, Population at Mid-Year,” op. cit. note 4. “Appendix B: Helike and Atlantis,” at www.helike .org/atlantis.shtml. 6. United Nations, “File 2: Urban Population at Mid-Year by Major Area, Region and Country, 2. Helike Foundation, “The Lost Cities of 1950–2030 (thousands),” World Urbanization Ancient Helike,” at www.helike.org/index.shtml; Prospects 2005 (New York: 2005); urban popula- John Noble Wilford, “Ruins May Be Ancient City tion at risk of earthquakes from GeoHazards Inter- Swallowed by Sea,” New York Times, 17 October national/UN Center for Regional Development, 2000; “Helike—The Real Atlantis,” BBC, 10 Jan- Global Earthquake Safety Initiative Pilot Project: uary 2002; Steven Soter, research scientist, Amer- Final Report (Palo Alto, CA: 2001), p. 1. ican Museum of Natural History, e-mail to author, 5 October 2006. 7. Physical surroundings as cause of death from Jaime Valdés, “Disaster Risk Reduction: A Call to 3. Worldwatch calculations based on data from Action,” @local.glob 3 (Delnet Journal), 2006. “EM-DAT: The OFDA/CRED International Dis- Box 6–1 from the following: Charlotte Benson and aster Database,” Université Catholique de Louvain, John Twigg, “Measuring Mitigation: Method- Brussels, Belgium, at www.em-dat.net, viewed 16 ologies for Assessing Natural Hazard Risks and the September 2006. This chapter includes the fol- Net Benefits of Mitigation—A Scoping Study” lowing hazards under the umbrella term “natural (Geneva: International Federation of Red Cross disaster”: drought, earthquake, extreme temper- and Red Crescent Societies/ ProVention Con-

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STATE OF THE WORLD 2007 Notes, Chapter 6 sortium, December 2004); U.N. International 12. Henny Vidiarina, “The Challenges and Strategy for Risk Reduction, “Terminology: Basic Lessons of Working with Communities in Urban Terms of Disaster Risk Reduction,” at www.unisdr Areas: The ACF Experience in Kampung Melayu,” .org/eng/library/lib-terminology-eng-p.htm, in Partnerships for Disaster Reduction–Southeast viewed 13 September 2006. Box 6–2 from the fol- Asia 3 Newsletter, April 2006, pp. 3–4. lowing: Mark Pelling, The Vulnerability of Cities: Natural Disasters and Social Resilience (London: 13. “New York: A Documentary Film, Episode Earthscan, 2003), p. 57; Inter-agency Secretariat 1: The Country and the City,” Public Broadcast- for the International Strategy for Disaster Reduc- ing System, 1999. tion (UN/ISDR), Women, Disaster Reduction, and Sustainable Development (Geneva: undated), 14. Terry McPherson and Wendell Stapler, p. 4; Ian Davis and Yasamin Izadkhah, “Building “Tropical Cyclone 05B,” in 1999 Annual Tropi- Resilient Urban Communities,” Open House Inter- cal Cyclone Report (Pearl Harbor, HI: U.S. Naval national, March 2006, pp. 11–21; James Morris- Pacific Meteorology and Oceanography Cen- sey and Anna Taylor, “Fire Risk in Informal ter/Joint Typhoon Warning Center, 1999). Table Settlements: A South African Case Study,” Open 6–2 from the following: Unless otherwise noted, House International, March 2006, pp. 98–104. deaths and economic damages from Munich Re, op. cit. note 9, p. 21; Hurricane Katrina deaths 8. Independent Evaluation Group, Hazards of from Gary Younge, “Gone with the Wind,” The Nature, Risks to Development: An IEG Evaluation Guardian (London), 26 July 2006; Hurricane of World Bank Assistance for Natural Disasters Katrina economic losses from Munich Re, “Two (Washington DC: World Bank, 2006), p. xx. Natural Events Play a Prominent Role in the 2005 Catastrophe Figures,” press release (Munich: 29 9. Worldwatch “slum” growth calculation based December 2005); Mumbai deaths from Somini on UN-HABITAT, State of the World’s Cities Sengupta, “Torrential Rain Reveals Booming 2006/ 7 (London: Earthscan, 2006), p. 16; Mike Mumbai’s Frailties,” New York Times, 3 August Davis, “Slum Ecology,” Orion Magazine, 2005; Mumbai economic losses from Radhika March/April 2006; traditional networks from Menon, “A ‘Disastrous’ Year for Insurers,” Hindu Munich Re, Megacities—Megarisks: Trends and Business Line, 1 January 2006; Bam deaths from Challenges for Insurance and Risk Management IRIN News, “Iran: Tehran Lowers Bam Earth- (Munich: 2004), p. 23; Mark Pelling, The Vul- quake Toll,” press release (New York: U.N. Office nerability of Cities: Natural Disasters and Social for the Coordination of Humanitarian Affairs, 30 Resilience (London: Earthscan, 2003), p. 7. March 2004); Bam economic losses from Inter- national Federation of Red Cross and Red Cres- 10. Christine Wamsler, “Managing Urban Risk: cent Societies, World Disasters Report 2005 Perceptions of Housing and Planning as a Tool for (Geneva: 2005); Bhuj deaths and economic losses Reducing Disaster Risk,” Global Built Environment from Anil Kkumar Sinha, The Gujarat Earthquake Review, vol. 4, no. 2 (2004), p. 15; building stan- 2001 (Kobe, Japan: Asian Disaster Reduction Cen- dards in Mexico City from United Nations Uni- ter, undated); Tangshan earthquake deaths from versity, “Mexico City, Mexico: We’re Still Here,” “EM-DAT: The OFDA/CRED International Dis- video, at www.unu.edu/env/urban/social-vul aster Database,” op. cit. note 3, viewed 8 Sep- nerability. Table 6–2 from the following: popula- tember 2006; Dhaka flood data from 1988 Global tions from United Nations, “File 14: The 30 Register of Extreme Flood Events (Dartmouth, MA: Largest Urban Agglomerations,” op. cit. note 4; Dartmouth Flood Observatory, 1988); deflator disaster risk from “Megacities and Natural Haz- from Robert Sahr, “Consumer Price Index Con- ards,” insert in Munich Re, op. cit. note 9. version Factors 1800 to estimated 2016 to Con- vert to Dollars of 2005,” Oregon State University, 11. Morrissey and Taylor, op. cit. note 7; Davis, revised 11 April 2006, at oregonstate.edu/cla/ op. cit. note 9. polisci/faculty/sahr/sahr.htm.

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15. Tsunami distance from Chuck Herring, Insurance,” Financial Times, 6 March 2006. “Images Help Rebuilding,” Planning, August/ September 2005; “Aid Arrives for Volcano Vic- 22. “AIG Adopts First Policy on Global Climate tims,” BBC News, 22 January 2002; deaths from Change,” Reuters, 17 May 2006; Lorna Victoria, “Health Update: WHO Activities—Nyiragongo “Networking for CBDRM among Practitioners in Eruption,” press release (Geneva: World Health the Philippines: An NGO Perspective,” in Part- Organization, 31 January 2002); Nelson F. Fer- nerships for Disaster Reduction–Southeast Asia 3 nandes et al., “Topographic Controls of Land- Newsletter, April 2006, pp. 5–6; “Corporate Cit- slides in Rio de Janeiro: Field Evidence and izenship,” Makati Business Club, at www.mbc. Modeling,” Catena, 20 January 2004, pp. 163–81. com.ph/corporate_citizenship/default.htm. Box 6–3 from the following: human toll of tsunami from U.N. Office of the Special Envoy for Tsunami 23. Losses from power disruption from National Recovery, “The Human Toll,” at www.tsunami Association of Home Builders, “Natural Disaster specialenvoy.org/country/humantoll.asp; popu- Survival Helped by Renewable Energy,” Nation’s lation and deaths in Banda Aceh from Official Building News, 10 April 2006; business motiva- Website of the Banda Aceh Government, at tions from Howard Kunreuther, “Interdependent www.bandaaceh.go.id/tsunamifx.htm, viewed 31 Disaster Risks: The Need for Public Private Part- August 2006; on-the-ground observations from nerships,” in World Bank, Building Safer Cities Michael Renner’s visit to Aceh, 15–23 December (Washington, DC: 2003), p. 86. 2006; houses rebuilt from World Bank, Aceh Pub- lic Expenditure Analysis: Spending for Recon- 24. Cities account for 75 percent of world’s fos- struction and Poverty Reduction (Washington, sil fuel consumption (and hence about 75 percent DC: September 2006). of energy-related emissions); see World Council on Renewable Energy, “Renewable Energy and the 16. Temperature 10 degrees Celsius higher from City,” discussion paper for World Renewable Munich Re, op. cit. note 9, p. 25; Cynthia Rosen- Energy Policy and Strategy Forum, Berlin, Ger- zweig et al., “Mitigating New York City’s Heat many, 13–15 June 2005; duration of heat waves Island with Urban Forestry, Living Roofs, and from Juliet Eilperin, “More Frequent Heat Waves Light Surfaces,” Presentation at 86th American Linked to Global Warming,” Washington Post, 4 Meteorological Society Annual Meeting, 31 Jan- August 2006; “Weather Related Natural Disasters uary 2006, Atlanta, GA. in 2003 Cost the World Billions,” press release (Nairobi: U.N. Environment Programme, 10 17. Munich Re, op. cit. note 9, p. 25. December 2003).

18. Galle land use from Ranjith Premalal De 25. Coastal wetlands from John Young, “Black Silva, “Reciprocation by Nature,” Tsunami in Sri Water Rising,” World Watch, September/October Lanka: Genesis, Impact and Response (Colombo, 2006, p. 26; Boston from Jane Holtz Kay, “Shore Sri Lanka: Geo Informatics Society of Sri Lanka, Losers: US Leaders, Residents Turn Backs on 2006); Jane Preuss, “Why ‘Tsunami’ Means ‘Wake Impending Coastal Chaos,” Grist, 15 June 2005; Up Call’: What Planners Can Learn from Sri U.S. Environmental Protection Agency, Climate Lanka,” Planning, August/September 2005. Change and Massachusetts (Washington, DC: Sep- tember 1997); New York City from Climate 19. Kobe economic damages from Munich Re, Change Information Resources—New York Met- op. cit. note 9, p. 21; Hurricane Katrina eco- ropolitan Region, “What Are the Projected Costs nomic losses from Munich Re, op. cit. note 14; of Climate Change in the Region’s Coastal Com- deflator from Sahr, op. cit. note 14. munities and Coastal Environments?” Issue Brief, at ccir.ciesin.columbia.edu/nyc/ccir-ny_q2e.html, 20. Munich Re, op. cit. note 9, p. 23. viewed 27 July 2006.

21. Dan Roberts, “Buffett Raises Climate Cover 26. Gareth Davies, “Dutch Answer to Flood-

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STATE OF THE WORLD 2007 Notes, Chapter 6 ing: Build Houses that Swim,” Der Spiegel, 26 37. CITYNET Web site at www.citynet-ap September 2005; Hilary Clarke, “Tide of Opinion .org/en; member numbers from www.citynet-ap Turns Against Venice Dam,” Daily Telegraph .org/en/Members/member.html, viewed 4 (London), 29 January 2006. August 2006; Banda Aceh and community centers in Sri Lanka from Bernadia Irawati Tjandradewi, 27. Young, op. cit. note 25, p. 30. CITYNET, discussion with author, 8 August 2006.

28. Chen Ganzhang, “Roof-Garden: Getting 38. Hurricane Mitch deaths from “Mitch: The Popular in China,” China Economic Net, 18 July Deadliest Atlantic Hurricane since 1780,” National 2006. Climatic Data Center, at www.ncdc.noaa.gov/ oa/reports/mitch/mitch.html, updated 29 August 29. Chicago tree plantings from Keith Schneider, 2006; Jorge Gavidia and Annalisa Crivellari, “Leg- “To Revitalize a City, Try Spreading Some Mulch,” islation as a Vulnerability Factor,” Open House New York Times, 17 May 2006; Casey Trees International, vol. 31, no. 1, 2006, p. 84. Endowment, “The Case for Trees,” at www.casey trees.org/resources/casefortrees.html, viewed 6 39. Benson and Twigg, op. cit. note 7; Dominica August 2006. and Jamaica from Jan Vermeiren and Steven Stichter, Costs and Benefits of Hazard Mitigation 30. Juliet Eilperin, “22 Cities Join Clinton Anti- for Building and Infrastructure Development: A Warming Effort,” Washington Post, 2 August 2006; Case Study in Small Island Developing States (Wash- “Clinton Climate Initiative,” at www.clinton ington, DC: Organization of American States and foundation.org/cf-pgm-cci-home.htm, viewed 5 U.S. Agency for International Development, October 2006. 1998); Philippines and U.S. Geological Survey from Reinhard Mechler, “Natural Disaster Risk and 31. “US Mayors Climate Protection Agreement,” Cost-Benefit Analysis,” in World Bank, op. cit. at www.seattle.gov/mayor/climate, viewed 5 note 23, p. 52. Box 6–4 from the following: October 2006. Colombia from “Double Jeopardy: The Impact of Conflict and Natural Disaster on Cities,” in UN- 32. Sengupta, op. cit. note 14; “As Toll Rises to HABITAT, op. cit. note 9, p. 157; China flood 749 in India Monsoon, Mumbai Goes Back to control from Mechler, op. cit. this note, p. 52; Work,” New York Times, 30 July 2005. China population from United Nations, “File 1: Total Population at Mid-Year,” op. cit. note 4; 33. Sengupta, op. cit. note 14; 92 percent from Seattle earthquake from Robert Freitag, “The International Federation of Red Cross and Red Impact of Project Impact on the Seattle Nisqually Crescent Societies, World Disasters Report 2004 Earthquake,” Natural Hazards Observer, May (Geneva: 2004), p. 150. 2001; “Seattle Project Impact,” at www.seat tle.gov/projectimpact/; Pacific Northwest Seis- 34. Sri Lanka from Preuss, op. cit. note 18; indi- mograph Network, at www.ess.washington.edu/ vidual feeling of control over risk from Kunreuther, SEIS/EQ_Special/WEBDIR_01022818543p/wel op. cit. note 23, p. 86. come.html.

35. London from Munich Re, op. cit. note 9, p. 40. Davis, op. cit. note 9. 20; El Salvador from Kurt Rhyner, “Disaster Pre- vention: Are We Really Trying,” Basin News 41. Box 6–5 based on field work in February (Building Advisory Service and Information Net- and March 2006 by Christine Wamsler; see Chris- work), June 2002, pp. 2–5. tine Wamsler, “Understanding Disasters from a Local Perspective,” TRIALOG (Journal for Plan- 36. Quote from Sengupta, op. cit. note 14; cities ning and Building in the Third World), special issue merging from Munich Re, op. cit. note 9, p. 23. on “Building on Disasters,” December 2006, and Christine Wamsler, “Bridging the Gaps: Stake-

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STATE OF THE WORLD 2007 Notes, Chapter 6 holder-based Strategies for Risk Reduction and master, discussion with author, 7 August 2006; Financing for the Urban Poor,” forthcoming. “Flooding in Central Europe” and “Floods in Senegal,” at www.disasterscharter.org/disasters. 42. “Slum Communities and Municipality Coop- erate in Santo Domingo,” and “Tuti Islanders 50. “Expert Predicted Volcano Eruption,” BBC Fight Floods Together,” in International Federa- News, 23 January 2002. tion of Red Cross and Red Crescent Societies, op. cit. note 33, pp. 24–25. 51. Li, op. cit. note 48.

43. Guilliame Chantry and John Norton, “Local 52. Official pledges from Adam Blenford, “Con- Confidence and Partnership to Strengthen Capac- cern over Urban Evacuation Plans,” BBC News, 27 ity for Community Vulnerability Reduction: Devel- September 2005; Matthew L. Wald, “Deadly Bus opment Workshop France in Central Vietnam,” in Fire is Focus of Safety Hearings,” New York Times, Partnerships for Disaster Reduction–Southeast Asia 5 August 2006. 3 Newsletter, April 2006, pp. 7–8. 53. “Run, Tell Your Neighbor! Hurricane Warn- 44. Development Marketplace Team, Scrap Tires ing in the Caribbean,” in International Federation Save Homes in Turkey (Washington, DC: World of Red Cross and Red Crescent Societies, op. cit. Bank, October 2005); safer shelters from Inde- note 14. pendent Evaluation Group, op. cit. note 8, p. xxiii. 54. Ted Koppel, “Preparing for a Disaster is Nei- ther Rocket Science nor Brain Surgery,” Morning 45. Reinhard Mechler and Joanne Linnerooth- Edition, National Public Radio, 3 August 2006. Bayer with David Peppiatt, Disaster Insurance for the Poor? (Geneva: ProVention Consortium/Inter- 55. “To the People,” Oakland Tribune, 18 April natoinal Institute for Applied Systems Analysis, 1906; Egeland quoted in “Disaster Reduction: 2006), p. 6; Independent Evaluation Group, op. Changes Since the Kobe Conference and the cit. note 8, p. xx. Tsunami,” in “Disaster Reduction and the Human Cost of Disaster,” IRIN Web Special, 2005. 46. Muhammad Yunus, “Rebuilding Through Social Entrepreneurship,” Changemakers News 56. Dilley quoted in Quirin Schiermeier, “The Feature, October 2005/February 2006. Chaos to Come,” Nature, 15 December 2005, p. 906. 47. Mechler and Linnerooth-Bayer with Peppi- att, op. cit. note 45, p. 18. 57. “Hyogo Framework for Action 2005–2015: Building the Resilience of Nations and Commu- 48. Zijun Li, “Shanghai Completes Massive nities to Disasters,” International Strategy for Dis- Underground Bunker to Protect Citizens from aster Reduction, 2005, at www.unisdr.org/eng/ Disasters,” China Watch, 8 August 2006, at hfa/hfa.htm; number of governments and visi- www.worldwatch.org/node/4424; death toll from tors from “Statistics of the Public Forum,” and “EM-DAT: The OFDA/CRED International Dis- “Brief History of the WCDR Process,” at aster Database,” op. cit. note 3, viewed 8 Sept www.unisdr.org/wcdr/, viewed 2 October 2006. 2006. The death toll of 242,000 is considered an official figure, with other estimates going as high 58. “Hyogo Framework for Action 2005–2015,” as 655,000. op. cit. note 57.

49. For information on the International Char- 59. Christine Wamsler, Operational Framework ter, “Space and Major Disasters,” see www.disas for Integrating Risk Reduction: For Aid Organi- tercharter.org; charter activations from Interna- zations Working in Human Settlement Develop- tional Charter on Space and Major Disasters Web- ment, Working Paper No. 14 (Lund, Sweden:

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Benfield Hazard Research Centre/Lund Univer- at www.republika.co.id/detail.asp?id=256616, sity, 2006). from Bambang Parlupi, “Ciliwung Ecosystem Restored by Local People,” Jakarta Post, 25 April Jakarta: River Management 2006, from Financial Times Information–Asia Intelligence Wire, “Jakarta’s Rivers Scoured Every 1. Number of zones from Accion Contra la Three Months,” Antara, 19 March 2006, and Faime, Report of Area Selection for Flood Disaster from Adianto P. Simamora and Anissa S. Febrina, Preparedness Programme Development in DKI “Riverbank Community Takes Pollution of Water- Jakarta Province (Jakarta: 2006), p. 11; Damar ways to Heart,” Jakarta Post, 12 April 2006. Harsanto, “Jakarta Braces for Annual Floods,” Jakarta Post, 28 October 2005; official city pop- 6. Financial Times Information–Asia Intelli- ulation census data for 2000 from Badan Pusat Sta- gence Wire, “Dutch Government Donates Rp.3 tisik, at www.bps.go.id, although the population Billion to Control Jakarta Floods,” Antara, 20 of metropolitan Jakarta is significantly larger, par- February 2003; Carin Bobeldijk, Karin Bosman, ticularly when contiguous urban areas within and Robert-Jan de Jonge, eds., Made in Holland greater Jabotabek are included; quote from Bam- (The Hague, Netherlands: Land and Water Inter- bang Nurbianto, “Residents Stick by Riverbank national, Netherlands Agency for International Despite Floods,” Jakarta Post, 26 September Business and Cooperation, and NEDECO, 2004); 2005. Friso Roest, NEDECO, Jakarta, letters to author, 28 June–11 July 2006. 2. Harsanto, op. cit. note 1; Adianto P. Simamora, “Floodwaters Swell as Residents Take 7. Richel Dursin, “Environment: For Indone- to Rooftops,” Jakarta Post, 14 January 2006. sian Villagers, Floods are a Part of Life,” Inter Press Service, 8 July 2005; Kampung Improvement 3. Financial Times Information–Global News Program, ArchNet Digital Library at archnet Wire, “Household, Chemical Waste Pollutes .org/library/one-site.tcl?site_id=63; Roest, op. Rivers,” Jakarta Post, 20 August 2001; quote cit. note 6. from Financial Times Information–Asia Intelli- gence Wire, “Integrated Waste Management,” 8. Damar Harsanto, “Low-Cost Apartments to Jakarta Post, 12 June 2004. be Built, But Only for a Chosen Few,” Jakarta Post, 6 January 2005; residents challenging from 4. River length from Adianto P. Simamora, Hexa Rahmawati and Suryanto, Sanggar Cili- “Cleaned-Up Ciliwung Set to Go With the Flow,” wung, Jakarta, discussions with author, 7–25 July Jakarta Post, 13 April 2006; Damar Harsanto, 2006; Financial Times Information–Asia Intelli- “City Seeks Closer Ties With Neighboring,” gence Wire, “Bridges a Hive of Activity for the Jakarta Post, 5 September 2005. Poor,” Jakarta Post, 15 April 2006.

5. Canal details from Departemen Pekerjaan 9. Azas Tigor Nainggolan, “Jakarta in 2001: No Umum (Department of Public Works), “Proyek Room for the Poor,” Jakarta Post, 11 December Pembangunan Banjir Kanal Timur Mulai Diker- 2001; Evi Mariani, “City Gears Up to Make More jakan,” PU-Net, 10 December 2003, at Jakartans Homeless,” Jakarta Post, 28 November www.pu.go.id/index.asp?link=Humas/news2003/ 2003; Muninggar Sri Saraswati and Annastashya ppw160606gt.htm; Moch. N. Kurniawan, “Gov- Emmanuelle, “Riverbank Squatters Demand Fair ernment to Rehabilitate 17 Catchment Areas Compensation,” Jakarta Post, 5 November 2001; Across Indonesia,” Jakarta Post, 7 March 2003; Rahmawati and Suryanto, op. cit. note 8; Evi improved flood warning system from Edward Mariani, “Fishermen Challenge Eviction Notice,” Turvill, Accion Contra la Faime, Jakarta, discus- Jakarta Post, 13 October 2003. sion with author, 4 August 2006; community groups from Alwi Shahab, “Mengamankan Ban- 10. Questioning of government’s sincerity from taran Ciliwung,” Republika Online, 15 April 2006, Selamet Daroyni, WALHI (Indonesia Forum for

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Environment), Jakarta, discussion with author, in Ancient Rome,” in Glenn R. Storey, ed., Urban- 25 July 2006; Rahmawati and Suryanto, op. cit. ism in the Preindustrial World: Cross-Cultural note 8; Kurniawan, op. cit. note 5; Devi Asmarani, Approaches (Tuscaloosa, AL: University of Alabama “Jakarta Floods Back With a Vengeance,” Straits Press, 2006), p. 82; life expectancy in London Times, 15 February 2002. from Roger Finlay, Population and Metropolis: The Demography of London (Cambridge, U.K.: Mumbai: Policing by the People Cambridge University Press, 1981), p.108.

1. Census of India, 2001, at www.censusindia 3. Mortality for urban poor from U.S. Agency .net/results/slum/slum2.html. for International Development (USAID), “Urban Health and Poverty,” at www.makingcities 2. A. N. Roy, Commissioner of Police, Mum- work.org, viewed 22 August 2006; Box 7–1 from bai, India, discussion with author, 12 August U.N. Population Division, World Urbanization 2006. Prospects: The 2003 Revision (New York: 2003), p. 5, and from C. McCord and H. P. Freeman, 3. A. Jockin, president, National Slum Dwellers’ “Excess Mortality in Harlem,” New England Jour- Federation, Mumbai, India, discussion with author, nal of Medicine, 18 January 1990, pp. 173–77. August 2006. 4. C. Stephens, “Inequalities in Environment, 4. Ibid. Health and Power—Reflections on Theory and Practice,” in C. Pugh, ed., Urban Sustainable 5. Ibid. Development in Developing Countries (London: Earthscan, 2000), pp. 91–115; Anthony 6. Roy, op. cit. note 2. McMichael, “The Urban Environment and Health in a World of Increasing Globalization: Issues for 7. Malti Ambre, Mankhurd, India, discussion Developing Countries,” Bulletin of the World with author, 15 August 2006. Health Organization, vol. 78, no. 9 (2000), pp. 1117–26. Box 7–2 from the following: Pedro 8. Ibid. Pirez, “Buenos Aires: Fragmentation and Privati- zation of the Metropolitan City,” Environment & 9. Roy, op. cit. note 2. Urbanization, April 2002, pp. 145–58; Centre for Urban Studies and U.S. National Institute of 10. Ibid.; Jockin, op. cit. note 3. Population Research and Training, Slums in Bangladesh Cities: Mapping and Census 2005 11. Roy, op. cit. note 2. (Chapel Hill, NC: USAID, 2005); people living between toxic factory and poisoned lake from J. Chapter 7. Charting a New Course for Seabrook, In the Cities of the South (New York: Urban Public Health Verso, 1996).

1. C. Ofili, Children’s Experiences of Water and 5. N. Ohenjo et al., “Health of Indigenous Health in Low Income Urban Settlements—A Case People in Africa,” The Lancet, 10 June 2006, pp. Study in Asaba, Nigeria, University of London 1937–46; J. Suzman, An Introduction to the PhD Thesis, London School of Hygiene & Trop- Regional Assessment of the San in Southern Africa ical Medicine, 2006. (Windhoek, Namibia: Legal Assistance Centre, 2001). 2. Diseases and deficiency in early cities from Mark Nathan Cohen, Health and the Rise of Civ- 6. N. Thapar and I. Sanderson, “Diarrhoea in ilization (New Haven, CT: Yale University Press, Children: An Interface between Developing and 1989), pp. 122–23; Richard R. Paine and Glenn Developed Countries,” The Lancet, 21 February R. Storey, “Epidemics, Age at Death, and Mortality 2004, pp. 641–53.

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7. J. Clauson-Kaas et al., “Urban Health: 14. Buddha Basnyat and Lalini C. Rajapaksa, Human Settlement Indicators of Crowding,” “Cardiovascular and Infectious Diseases in South Third World Planning Review, vol. 18, no. 3 Asia: The Double Whammy,” BMJ (British Med- (1996), pp. 349–63; E. Drucker et al., “Childhood ical Journal), 3 April 2004, p. 781; Figure 7–1 Tuberculosis in the Bronx, New York,” The Lancet, from C. Stephens, “What Has Health Got to Do 11 June 1994, pp. 1482–85. With It? Using Health to Guide Urban Priority- setting Processes Towards Equity,” in J. Davila et 8. S. Ghosh and D. Shah, “Nutritional Prob- al., eds., Environmental Management in Metro- lems in Urban Slum Children,” Indian Pediatrics, politan Areas (London: University College Lon- July 2004, pp. 682–96; J. C. Fotso, “Child Health don Press, 1999), pp. 88–95. Inequities in Developing Countries: Differences across Urban and Rural Areas,” International 15. Letícia Legay Vermelho and Maria Helena P. Journal for Equity in Health, 11 July 2006. de Mello Jorge, “Mortalidade de Jovens: Análise do Período de 1930 a 1991 (a Transição Epi- 9. World Health Organization (WHO), Diet, demiológica para a Violência),” Rev. Saúde Pública, Nutrition and the Prevention of Chronic Diseases, August 1996; C. Stephens, M. Akerman, and P. Report of a Joint WHO/Food and Agriculture Borlina-Maia, “Health and Environment in São Organization Expert Consultation (Geneva: 2002). Paulo, Brazil: Methods of Data Linkage and Ques- tions for Policy,” World Health Statistics Quarterly, 10. WHO, Fuel for Life: Household Energy and vol. 48 (1995), pp. 95–107. Health (Geneva: 2006). 16. Edinilsa Ramos de Souza and Maria Luiza 11. Table 7–1 from J. Hardoy, D. Mitlin, and D. Carvalho de Lima, “The Panorama of Urban Vio- Satterthwaite, Environmental Problems in an lence in Brazil and Its Capitals,” Ciênc. Saúde Urbanizing World: Finding Solutions for Cities in Coletiva, April/June 2006; L. A. Teplin et al., Africa, Asia and Latin America (London: Earth- “Early Violent Death among Delinquent Youth: scan, 2001), pp. 89–107; 800,000 deaths from J. A Prospective Longitudinal Study,” Pediatrics, Kenworthy and F. Laube, “Urban Transport Pat- June 2005, pp. 1586–93. terns in a Global Sample of Cities and Their Link- ages to Transport , Land Use, 17. De Souza and Carvalho de Lima, op. cit. Economics and Environment,” World Transport note 16. Policy & Practice, vol. 8, no. 3 (2002), pp. 5–20. 18. E. Krug et al., eds., World Report on Violence 12. E. Broughton, “The Bhopal Disaster and Its and Health (Geneva: WHO, 2002); National Aftermath: A Review,” Environmental Health, 10 Research Council, Cities Transformed: Demo- May 2005, p. 6. graphic Change and Its Implications in the Devel- oping World (Washington, DC: National 13. WHO, World Report on Road Traffic Injury Academies Press, 2003), p. 267. Prevention (Geneva: 2004), p. 3; Hardoy, Mitlin, and Satterthwaite, op. cit. note 11, p. 112; H. 19. McMichael, op. cit. note 4. Nizamo et al., “Mortality Due to Injuries in Maputo City, Mozambique,” International Jour- 20. Intergovernmental Panel on Climate Change, nal of Injury Control and Safety Promotion, March Climate Change 2001: The Scientific Basis. Con- 2006, pp. 1–6; young people’s cause of death tribution of Working Group I to the Third Assessment from C. Stephens, “The Urban Environment and Report of the Intergovernmental Panel on Climate Health–A Review of the Evidence.” in S. Atkinson, Change (New York: Cambridge University Press, J. Songsore, and E. Werna, eds., Urban Health in 2001); Janet Larsen, “Setting the Record Straight: Developing Countries (Oxford, Avebury Press, More than 52,000 Europeans Died from Heat in 1996), pp. 115–35. Summer 2003,” Earth Policy Indicator (Wash- ington, DC: Earth Policy Institute, July 2006);

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“Heat Island Effect: Basic Information,” U.S. ment Gateway, at topics.developmentgateway.org/ Environmental Protection Agency, at www.epa.gov. poverty/rc/ItemDetail.do˜1059017, viewed 12 August 2006; Julio Diaz Palacios and Liliana 21. Quote from Siddharth Agarwal, Arti Bhanot, Miranda Sara, “Concertación (Reaching Agree- and Geetanjali Goindi, “Understanding and ment) and Planning for Sustainable Development Addressing Childhood Immunization Coverage in in Ilo, Peru,” in S. Bass et al., eds., Reducing Urban Slums,” Indian Pediatrics, July 2005, pp. Poverty and Sustaining the Environment: The Pol- 653–63; Jean-Frédéric Levesque et al., “Outpatient itics of Local Engagement (London: Earthscan, Care Utilization in Urban Kerala, India,” Health 2005), pp. 255–79. Policy and Planning, July 2006, pp. 289–301. 30. Grupo Cultural AfroReggae, Favela Rising, 22. Robert Woods and John Woodward, eds., 2006, at favelarising.com, viewed 14 August 2006. Urban Disease and Mortality in Nineteenth-Cen- tury England (London: Batsford Academic and 31. Alex Roberto et al., Curitiba, Capital Educational, 1984). Social—Social? (Curitiba, Brazil: 2006).

23. M. Daunton, ed., The Cambridge Urban 32. Stephens, op. cit. note 14. History of Britain, Vol. 3 (Leicester, U.K.: Centre for Urban History, 2001), p. 632. 33. American Forests, “Setting Urban Tree Canopy Goals,” at www.americanforests.org, 24. Lisa C. Smith, Marie T. Ruel, and Aida Ndi- viewed 22 August 2006. aye, “Why Is Child Malnutrition Lower in Urban Than in Rural Areas?” IFPRI Discussion Paper 34. D. Nowak and D. Crane, “The Urban For- Briefs (Washington, DC: International Food Pol- est Effects (UFORE) Model: Quantifying Urban icy Research Institute, 2002); USAID, “Urban Forest Structure and Functions,” in M. Hansen, Health and Poverty,” at www.makingcities ed., Second International Symposium: Integrated work.org/, viewed 22 August 2006. Tools for Natural Resources Inventories in the 21st Century (Washington, DC: Forest Service, U.S. 25. National Research Council, op. cit. note 18, Department of Agriculture, 2000); Atlanta from p. 263. C. Cardelino and W. Chameides, “Natural Hydro- carbons, Urbanization, and Urban Ozone,” Jour- 26. A. T. Geronimus, J. Bound, and T. A. Waid- nal of Geophysical Research, August 1990, mann, “Poverty, Time, and Place: Variation in pp.13,971–79; U.S. Environmental Protection Excess Mortality across Selected US Populations, Agency (EPA), Air Quality Strategy and Stan- 1980–1990,” Journal of Epidemiological Com- dards Division, Incorporating Emerging and Vol- munity Health, June 1999, pp. 325–34; T. A. untary Measures in a State Implementation Plan Houweling et al., “Rising Under-5 Mortality in (Washington, DC: 2004). Africa: Who Bears the Brunt?” Tropical Medicine and International Health, August 2006, pp. 35. F. Kuo and W. Sullivan, “Environment and 1218–27. Crime in the Inner City: Does Vegetation Reduce Crime?” Environment and Behavior, May 2001, 27. Kolkata from Stephens, op. cit. note 14. pp. 343–67.

28. Ivo Imparato, Slum Upgrading and Partic- 36. Enrique Peñalosa, “High Achievements,” ipation: Lessons from Latin America (Washington, Our Planet (U.N. Environment Programme), vol. DC: World Bank, 2003), p. 10. 16, no. 1 (2005).

29. Brazil from Marion Gret, “The Emergence 37. Charlie Pye-Smith, “Building Green Islands of a New Urban Structure Thanks to the Public in Bombay,” peopleandplanet.net, 12 June 2001. Policies of Civil Participation,” 2006, Develop-

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38. Mardie Townsend, “Feel Blue? Touch Green! 2002; Nairobi population from United Nations, Participation in Forest/Woodland Management as World Urbanization Prospects: The 2003 Revision a Treatment for Depression,” Urban Forestry & (New York: 2003). Urban Greening, vol. 5, issue 3 (2006), pp. 111–20. 2. Number of slums from Government of Kenya and UNCHS, op. cit. note 1, p. 1; official figures 39. Peñalosa, op. cit. note 36. for the population of Kibera are notoriously hard to find, although the Government of Kenya and 40. Figure of three quarters from Peñalosa, op. UNCHS report estimated it in 1999 to be cit. note 36; Michelle Hibler, “Taking Control of 377,624—however, a more recent document Air Pollution in Mexico City,” Reports (Interna- (Government of Kenya, Kibera-Soweto Slum tional Development Research Centre), 12 August Upgrading Project, Nairobi, December 2004) 2003; Julia Preston, “The World: Mexico City’s states that the population of Kibera is 600,000 and Air; A Fatal Case of Fatalism,” New York Times, 14 some nongovernmental organizations have esti- February 1999. mated the figure to be as high as 900,000; recent survey from Government of Kenya and UN- 41. Sheng-Yong Wang et al., “Trends in Road HABITAT, Kibera Social and Economic Mapping. Traffic Crashes and Associated Injury and Fatality Document RI/4733—Executive Summary Report in the People’s Republic of China, 1951–1999,” (Nairobi: 2004–05), pp. 7–9; surveys and socio- Injury Control and Safety Promotion, April 2003, economic mapping by Research International as pp. 83–87; WHO, “Road Safety is No Accident,” part of the Kenya Slum Upgrading Programme; press release (Geneva: 7 April 2004); Road Traf- illegal structures from W. Olima and S. Karirah- fic Injuries Research Network, cited in Detroit Gitau, Land Tenure and Tenancy Concerns and Free Press, 24 September 2002. Issues in Kibera, KUESP Preparatory Group Task, Final Report (Washington, DC: World Bank, 42. WHO, World Health Report 2002 (Geneva: unpublished); average rents from Government of 2002); trips by foot in poorer countries from Ken Kenya and UN-HABITAT, “A Study to Conduct Gwilliam, Cities on the Move (Washington, DC: Kibera Social and Economic Mapping: Executive World Bank, 2002), pp. 25–38; EPA, Travel and Summary Report RI/4733” (Nairobi: Research Environmental Implications of School Siting (Wash- International 2004/5). Figures based on exchange ington, DC: 2003). rate on 7 September 2006 of $1 equals 72.7 Kenya shillings. 43. James Sallis and Karen Glanz, “The Role of Built Environments in Physical Activity, Eating, and 3. Share who are tenants from Central Bureau Obesity in Childhood,” The Future of Children, of Statistics, Kenya Demographic and Health Sur- spring 2006, pp. 89–108. vey 2003 (Nairobi: 2004); apartment rents and unauthorized tenements from Marie Huchzer- 44. John Donne, Divine Meditations XVII meyer, Slum Upgrading Initiatives in Kenya within (1624), in John Donne, The Complete English the Basic Services and Wider Housing Market: A Poems (Troy, MI: Phoenix Press, 1994). Housing Rights Concern, draft discussion paper No. 1/2006, Kenya Housing Rights Project Nairobi: Life in Kibera (Geneva: Centre on Housing Rights and Evic- tions, unpublished); average earnings from Gov- 1. Size from Government of Kenya and U.N. ernment of Kenya and UN-HABITAT, Kibera Centre for Human Settlements (UNCHS), Social and Economic Mapping, op. cit. note 2, p. Nairobi Situation Analysis, Consultative Report on 4. the Collaborative Nairobi Slum Upgrading Ini- tiative (Nairobi: 2001), Table 9, p. 36; history 4. Rasna Warah, “Bill Bryson Tour: I Let Kib- from John Mbaria, “Kibera and the Politics of era Speak for Itself,” The East African, 20 Decem- Dispossession,” The East African, 15–21 July ber 2002–5 January 2003. Obwaya interviewed by

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STATE OF THE WORLD 2007 Notes, Nairobi, Petra, Chapter 8 the author in March 2002. 13 September 2006.

5. Emily Lugano and Geoff Sayer, “Girls’ Edu- 5. Quote from Hashemite Kingdom of Jordan, cation in Nairobi’s Informal Settlements,” Links op. cit. note 2, p. 8-2. (Oxfam GB), October 2003. 6. Akrawi, op. cit. note 4. 6. The Kenya Slum Upgrading Programme was initiated in 2000 through an agreement between 7. Ibid. the previous government of Kenya (under Presi- dent Moi) and UN-HABITAT. It was renewed in 8. Ibid. January 2003 with the new National Rainbow Coalition government under President Kibaki. A 9. Ibid. pilot project in the Soweto “village” in Kibera, which houses approximately 60,000 people, was 10. Ibid. launched in October 2004, but actual construction has not yet begun. Stalemate from Dauti Kahura, 11. Challenge for many cities from UN-HABI- “Sh.880 Billion Housing Dream for the Poor TAT, Our Future: Sustainable Cities—Turning Turns Sour,” The Standard (Nairobi), 14 Novem- Ideas into Action, Background Paper, World Urban ber 2005. Forum III, Vancouver, Canada, 19–23 June 2006, p. 3. 7. Huchzermeyer, op. cit. note 3. 12. Mohammad Ajlouni, “Dana Nature Reserve: 8. UN-HABITAT, State of the World’s Cities Jordan,” in U.N. Development Programme Spe- Report 2006/7 (London: Earthscan, 2006). cial Unit for SSC, Sharing Innovative Experi- ences—Volume 9: Examples of the Successful 9. Ibid. The report shows that in many coun- Conservation and Sustainable Use of Dryland Bio- tries, living in a slum is as hazardous to a person’s diversity (New York: 2004), pp. 23–28. health as living in a deprived rural area. Chapter 8. Strengthening Local Economies Petra: Managing Tourism 1. United Nations Population Division, World 1. “The Mysterious Nabateans,” The Hash- Urbanization Prospects: The 2005 Revision, online emite Kingdom of Jordan, at www.kinghussein database at esa.un.org/unup, viewed September .gov.jo/his_nabateans.html. 2006.

2. Jordan Department of Statistics, “Housing 2. UN-HABITAT, State of the World’s Cities, and Population Census 1979” and “Housing and 2006/7 (London: Earthscan, 2006); International Population Census 1994,” at www.dos.gov.jo; Council for Local Environmental Initiatives estimated population in 2006 from The Hashemite (ICLEI), Accelerating Sustainable Development: Kingdom of Jordan, Ministry of Tourism and Local Action Moves the World (New York: United Antiquities, Petra Priority Action Plan Study, Phase Nations Economic and Social Council, 2002). One Report, Outline Development and Growth Sce- nario Petra Region (Amman: Dar Al Handasah, 3. Mark Magnier, “Huge Environmental Bat- 1996). tle Leaves Legacy of Rage,” Los Angeles Times, reprinted in the Vancouver Sun, 6 September 3. Hashemite Kingdom of Jordan, op. cit. 2006; polluted cities from UN-HABITAT, op. note 2. cit. note 2.

4. Ibid.; Aysar Akrawi, executive director, Petra 4. Magnier, op. cit. note 3. National Trust, Amman, discussion with author,

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STATE OF THE WORLD 2007 Notes, Chapter 8

5. China Daily cited in ibid. 15. For more detail, see the Web sites of Local Government Commission, Rocky Mountain Insti- 6. UN HABITAT, op. cit. note 2. tute, and Smart Growth America.

7. For Millennium Development Goals, see 16. Box 8–1 from John Restakis, The Emilian www.un.org/millenniumgoals. Model—Profile of a Co-operative Economy, British Columbia Co-operative Association (Vancouver, 8. UN Millennium Project, Investing in Devel- BC: undated), and from John Restakis, The Lessons opment: A Practical Plan to Achieve the Millennium of Emilia Romagna (Vancouver, BC: British Development Goals (London: Earthscan, 2005); Columbia Co-operative Association, 2005). Millennium Villages Project, Annual Report: Mil- lennium Research Villages–First Year July 2004 to 17. Ian MacPherson, “Into the Twenty-First June 2005 (New York: Earth Institute at Colum- Century: Co-operatives Yesterday, Today and bia University, 2005); Earth Institute Millennium Tomorrow,” in British Columbia Institute for Co- Villages Project, at www.earthinstitute.colum operative Studies, Sorting Out: A Selection of Papers bia.edu/mvp, viewed 30 September 2006. and Presentations, 1995–2005 (Victoria, BC: 2004); quote from Johnston Birchall, Rediscov- 9. Lee Scott, Wal-Mart CEO, “Wal-Mart: 21st ering the Co-operative Advantage: Poverty Reduc- Century Leadership,” speech, 24 October 2005; tion through Self-help (Geneva: Co-operative for critics, see Wal-Mart, “Sustainability: Starting Branch, International Labour Office, 2003), p. 3; the Journey,” at walmartstores.com/GlobalWM Box 8–2 from International Co-operative Alliance, StoresWeb/navigate.do?catg=345. Statement on the Co-operative Identity, at www.ica.coop/coop/principles.html, viewed 30 10. October 2005 announcement from Jad September 2006. Mouawad, “The Greener Guys,” New York Times, 30 May 2006; Scott, op. cit. note 9; Michael Pol- 18. Julia Smith, Worker Co-operatives: A Glance lan, “Mass Natural,” New York Times Magazine, Around the World (Victoria, BC: British Colum- 4 June 2006. bia Institute for Co-operative Studies, 2003).

11. Sean Markey et al., Second Growth: Com- 19. Benjamin Dangl, “Worker-Run Cooperatives munity Economic Development in Rural British in Buenos Aires,” Z Magazine, April 2005; Geoff Columbia (Vancouver: University of British Olson, “The Take—A Story of Hope,” Common Columbia Press, 2005). Ground, November 2004.

12. Stephan J. Goetz and Hema Swaminathan, 20. Smith, op. cit. note 18. Wal-Mart and County-Wide Poverty, Staff Paper No. 371 (State College, PA: Department of Agri- 21. Birchall, op. cit. note 17; United Nations, cultural Economics and Rural Sociology, Penn- “Cooperatives Are Significant Actors in Develop- sylvania State University, 2004); Michael H. ment, says Secretary-General,” press release (New Shuman, The Small-Mart Revolution: How Local York: 7 July 2001). Businesses Are Beating The Global Competition (San Francisco: Berrett-Koehler Publishers, 2006). 22. For general information on microfinance, see Consultative Group to Assist the Poor, at 13. Shuman, op. cit. note 12. www.cgap.org.

14. Civic Economics, Economic Impact Analysis: 23. Microcredit Summit Campaign, at A Case Study: Local Merchants vs. Chain Retailers, www.microcreditsummit.org, viewed 16 Septem- prepared for Liveable City (Austin, TX: 2002); ber 2006; Sam Daley-Harris, State of the Micro- Goetz and Swaminathan, op. cit. note 12, p. 12. credit Summit Campaign Report 2005 (Washington, DC: Microcredit Summit Cam-

232

STATE OF THE WORLD 2007 Notes, Chapter 8 paign, 2005). 34. Fair Trade Labelling Organizations Interna- tional, op. cit. note 33. 24. Daley-Harris, op. cit. note 23. 35. TransFair Canada, at www.transfair.ca/en/ 25. International Year of Microcredit 2005, fairtrade, viewed 30 September 2006; Fair Trade Microfinance and the Millennium Development Labelling Organizations International, op. cit. Goals (New York: U.N. Capital Development note 33. Fund, 2005). 36. Box 8–5 from Centre for Development in 26. Grameen—Banking for the Poor, at Central America, at www.fairtradezone.jhc-cdca www.grameen-info.org/index.html, viewed 30 .org/story.htm. September 2006. 37. Business Alliance for Local Living Economies, 27. Celia W. Dugger, “Peace Prize to Pioneer of at www.livingeconomies.org, viewed 14 October Loans for Those Too Poor to Borrow,” New York 2006. Times, 14 October 2006; Grameen—Banking for the Poor, op. cit. note 26; Alexandra Bernasek, 38. Local campaigns from ibid. “Banking on Social Change: Grameen Bank Lend- ing to Women,” International Journal of Politics, 39. ICLEI, International Development Research Culture and Society, spring 2003, pp. 369–85. Centre (IDRC), and United Nations Environ- ment Programme, The Local Agenda 21 Planning 28. International Year of Microcredit 2005, op. Guide (Toronto and Ottawa, ON: ICLEI and cit. note 25; Box 8–3 from Unitus—Innovative IDRC, 1996); Mark Roseland, Toward Sustainable Solutions to Global Poverty at www.unitus.com/ Communities: Resources for Citizens and Their sections/impact/impact_css_kenya.asp; Daley- Governments (Gabriola Island, BC: New Society Harris, op. cit. note 23. Publishers, 2005).

29. Bernasek, op. cit. note 27; Rosintan D. M. 40. Shuman, op. cit. note 12. Panjaitan-Drioadisuryo and Kathleen Cloud, “Gender, Self-employment and Microcredit Pro- 41. Zane Parker, “Unravelling the Code: Align- grams: An Indonesian Case Study,” The Quarterly ing Taxes and Community Goals,” Focus on Review of Economics and Finance, vol. 39 (1999), Municipal Assessment and Taxation, June 2005, pp. 769–79. pp. 46–47.

30. World Council of Credit Unions, at 42. Mark Roseland, ed., Tax Reform as If Sus- www.woccu.org, viewed 15 October 2006. tainability Mattered: Demonstrating Ecological Tax-Shifting in Vancouver’s Sustainability Precinct 31. Information and Box 8–4 from Vancouver (Vancouver, BC: Simon Fraser University, 2005). City Savings Credit Union, at www.vancity.com/ MyCommunity, viewed 30 September 2006. 43. Judy Wicks, Local Living Economies: The New Movement for Responsible Business (San Francisco: 32. Shorebank Pacific, at www.eco-bank.com, Business Alliance for Local Living Economies, viewed 30 September 2006. 2006).

33. Table 8–1 from Fair Trade Labelling Orga- 44. Social Venture Network, Standards of Cor- nizations International, at www.fairtrade.net/ porate Social Responsibility, 1999, at www.svn 30.html, viewed 30 September 2006; William .org/initiatives/standards.html, viewed 30 Sep- Young and Karla Utting, “Fair Trade, Business and tember 2006. Sustainable Development,” Sustainable Develop- ment, vol. 13 (2005), pp. 139–42. 45. E. F. Schumacher, Small is Beautiful (New

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STATE OF THE WORLD 2007 Notes, Chapter 8, Brno, Chapter 9

York: Harper & Row, 1973). tember 1996; Ilos Crhonek, PhD, “Areál Stro- jírenského Závodu Vanˇkovka na Zvonarˇce v Brneˇ— 46. Markey et al., op. cit. note 11, p. 2. Stavebneˇ Historicky´Pru˚zkum,” 1997; “Minutes from the Brno City Parliament session–number 47. Roseland, op. cit. note 39. Z3/O19,” 20 June 2000.

48. All from ibid. 5. AQUA PROTEC s.r.o., Environmental Pol- lution Risk Analysis—ZETOR s.p. VANKOVKA 49. Lucy Stevens, Stuart Coupe, and Diana Complex (Brno: May 1997). Mitlin, eds., Confronting the Crisis in Urban Poverty: Making Integrated Approaches Work (War- 6. “Program 1994–1999,” at www.vankovka.cz/ wickshire, UK: Intermediate Technology Publi- index.php?lang=cz&page=9&program=1. cations, 2006); Robert Chambers and Gordon Conway, “Sustainable Rural Livelihoods: Practical 7. Milena Flodrová and Libor Tepl´y, Promeˇny Concepts for the 21st Century,” IDS Discussion Vanˇ kovky—The Changing Faces of Vanˇkovka (Brno: Paper No. 296 (Brighton, U.K.: Institute of Devel- FOTEP, 2005). opment Studies, December 1991). 8.Jirˇina Bergatt Jackson and Collective, Brown- 50. Stevens, Coupe, and Mitlin, op. cit. note fields Snadno a Lehce (Prague: Institut pro 49. Udrzˇiteln´y Rozvoj Sídel, 2004).

51. International Labour Office, Global Employ- Chapter 9. Fighting Poverty and ment Trends Brief, February 2005. Environmental Injustice in Cities

52. Roseland, op. cit. note 39. 1. Italo Calvino, Invisible Cities, trans. William Weaver (Orlando, FL: Harcourt, 1974); different Brno: Brownfield Redevelopment types of inequality between countries in World Bank, World Development Report 2006 (Washing- 1. Karel Kucˇa, BRNO—Vy´voj Meˇsta, Prˇedmeˇstí ton, DC: Oxford University Press and World Bank, a Prˇipojeny´ch Vesnic (Prague-Brno: BASET, 2000); 2006). Die Hunderjahrige Geschichte der Erste Brunner Maschinen-Fabriks-Gesellschaft in Brunn von 1821 2. Urban population in slums in developing bis 1921 (Leipzig, Germany: Von Eckert & Pflug); countries from UN-HABITAT, State of the World’s Alstom Power s.r.o., 100 Let Parních Turbín v Cities 2006/7 (London: Earthscan, 2006), pp. Brneˇ (2002). 16, 111; Mumbai and Nairobi from Gora Mboup, senior demographic and health expert, UN-HABI- 2. Kovoprojekta Brno a.s., Územní Generel TAT, Nairobi, e-mail to Molly Sheehan, 5 Octo- Vy´roby Meˇsta Brna—Obecná Analy´za(2001–03). ber 2006; Zuenir Ventura, Cidade Partida (São Paulo, Brazil: Companhia das Letras, 1994). 3. Karel Stránsky´, “Obnova a rozvoj meˇsta na prˇíkladu projektu Jizˇní centrum,” in Brno—Meˇsto 3. Janice E. Perlman, “Marginality: From Myth Uprostrˇed Evropy, proceedings of international to Reality in the Favelas in Rio de Janeiro conference, 2–4 December 1993, pp. 155–60; 1969–2002,” in Ananya Roy and Nezar www.pps.org/info/projects/international_pro AlSayyad, eds., Urban Informality: Transna- jects/czech_placemaking; “Krok za Krokem,” tional Perspectives from the Middle East, Latin video about activity of PPS in Czech Republic, America, and South Asia (Lanham, MD: Lexing- Místa v srdci Foundation, Prague, 1996. ton Books, 2004).

4. B.I.R.T. Consulting, s.r.o., Variantní Eko- 4. Glenn H. Beyer, ed., The Urban Explosion in nomická Studie Vyuzˇití Areálu Vanˇ kovka, Sep- Latin America: A Continent in Process of Mod-

234

STATE OF THE WORLD 2007 Notes, Chapter 9 ernization (Ithaca, NY: Cornell University Press, ington, DC: IMF, 1997); Sanjeev Gupta, Hamid 1967); Peter Wilsher and Rosemary Righter, The Davoodi, and Rosa Alonso-Terme, Does Corrup- Exploding Cities (London: A Deutsch, 1975); tion Affect Income Inequality and Poverty? Work- Franz Fanon, The Wretched of the Earth (London: ing Paper 98/76 (Washington, DC: IMF, 1998); MacGibbon and Kee, 1965); John F. C. Turner, Ratih Hardjono and Stefanie Teggeman, eds., The Uncontrolled Urban Settlement: Problems and Poli- Poor Speak Up: 17 Stories of Corruption (Jakarta: cies (Pittsburgh, PA: University of Pittsburgh Press, Partnership for Governance Reform, 2002). 1966); squatters’ interest in better opportunities for children from Janice Perlman, The Myth of 9. UN-HABITAT, The State of the World’s Cities Marginality: Urban Poverty and Politics in Rio 2004/2005 (London: Earthscan, 2004), pp. de Janeiro (Berkeley: University of California Press, 134–57. 1976), and from Joan M. Nelson, Access to Power: Politics and The Urban Poor in Developing Nations 10. Box 9–1 from the following: results of the (Princeton, NJ: Princeton University Press, 1979). original study from Perlman, op. cit. note 4; recent study from Janice Perlman, “The Chronic Poor in 5. For Millennium Development Goals, see Rio de Janeiro: What has Changed in 30 Years?” www.un.org/millenniumgoals; United Nations in Marco Keiner et al., eds., Manging Urban Population Division, World Urbanization Prospects: Futures: Sustainability and Urban Growth in Devel- The 2005 Revision (New York: 2005). oping Countries (Burlington, VT: Ashgate, 2005), pp. 165–85 (41 percent of the original study par- 6. Janice Perlman, “Re-Democratization in ticipants, or 307 of the original 750, were found; Brazil: A View from Below, The Experience of Rio the 307 original interviewees were interviewed, de Janeiro’s Favelados 1968–2005,” in Peter King- along with a random sample of their children stone and Timothy Power, eds., Democratic Brazil (367) and grandchildren (208)); Ignacio Cano Revisited (Pittsburgh, PA: University of Pittsburgh et al., O Impacto da Violência no Rio de Janeiro, Press, forthcoming); Kenya’s tax on bicycles from Working Paper (Rio de Janeiro: Universidade do VNG uitgeverij, The Economic Significance of Estado do Rio de Janeiro, 2004); levels of violence Cycling: A Study to Illustrate the Costs and Bene- from Luke Dowdney, Children of the Drug Trade fits of Cycling Policy (The Hague: 2000), and from (Rio de Janeiro: Viveiros de Castro Editoria, Jeffrey Maganya, Intermediate Technology Devel- 2003); police provoking violence from “Law- opment Group, Nairobi, Kenya, discussion with Enforcers on the Rampage; Brazil’s Trigger-Happy Molly Sheehan, 8 May 2001. Police,” The Economist, 9 April 2005.

7. Daniel Kaufmann, Frannie Léautier, and 11. UN-HABITAT, op. cit. note 9, pp. 134–57; Massimo Mastruzzi, “Globalization and Urban François Bourguignon, “Crime, Violence, and Performance,” in Frannie Léautier, ed., Cities in Inequitable Development,” paper prepared for a Globalizing World: Governance, Performance & the Annual World Bank Conference on Develop- Sustainability (Washington, DC: World Bank Insti- ment Economics, Washington, DC, 28–30 April tute, 2006), pp. 38–49; Robert Klitgaard, Ronald 1999. MacLean-Abaroa, and H. Lindsey Parris, Cor- rupt Cities: A Practical Guide to Cure and Pre- 12. For traditional views of environmentalists vention (Oakland, CA: Institute for Contemporary and development specialists, see Eugene P. Odum, Studies, 2000), p. 32. Fundamentals of Ecology, 3rd ed. (Philadelphia: Saunders, 1971), and Michael Lipton, Why Poor 8. Perlman, op. cit. note 6; T. Abed and Sanjeev People Stay Poor: Urban Bias in World Development Gupta, eds., Governance, Corruption, and Eco- (London: Temple Smith, 1977); Janice Perlman nomic Performance (Washington, DC: Interna- and Bruce Schearer, “Migration and Population tional Monetary Fund (IMF), 2002); Vito Tanzi Distribution Trends and Policies and the Urban and Hamid Davoodi, Corruption, Public Invest- Future,” International Conference on Population ment and Growth, Working Paper 97/139 (Wash- and the Urban Future, U.N. Fund for Population

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Activities, Barcelona, Spain, May 1986. the Poverty Reduction Strategy Papers Tell Us (Lon- don: International Institute for Environment and 13. Perlman and Schearer, op. cit. note 12. Development (IIED), 2004).

14. Ibid. 21. William Alonso, “The Economics of Urban Size,” Papers in Regional Science, December 1971, 15. United Nations Population Division, World pp. 66–83; Rémy Prud’homme, “Anti-Urban Population Policies 2005, at www.un.org/esa/popu Biases in the LDCs,” Megacities International lation/publications/WPP2005/Publication_index Conference, New York University, 1988; Rémy .htm. Prud’homme, “Managing Megacities,” Le courrier du CNRS, No. 82, 1996, pp. 174–76. 16. United Nations High Commissioner for Human Rights, “Statement by Mr. Miloon 22. Alfredo Sirkis, Director of Urbanism, Rio Kothari, Special Rapporteur on adequate housing de Janeiro, discussion with Janice Perlman, 25 as a component of the right to an adequate stan- August 2005. dard of living, to the World Urban Forum III,” Vancouver, 20 June 2006. 23. Satterthwaite, op. cit. note 19, p. 140.

17. Martin Ravallion, On the Urbanization of 24. Alan Altshuler and Marc Zegans, “Innovation Poverty, Development Research Group Working and Creativity: Comparisons between Public Man- Paper (Washington, DC: World Bank, 2001); agement and Private Enterprise,” Cities, February urban estimate comes from Michael Cohen, 1990, pp. 16–24. “Reframing Urban Assistance: Scale, Ambition, and Possibility,” Urban Update, Comparative 25. UN-HABITAT, Global Urban Observatory, Urban Studies Brief, Woodrow Wilson Interna- at hq/unhabitat.org/programmes/guo. tional Center for Scholars, No. 5, February 2004, p. 1; total assistance from OECD/DAC figures in 26. Information in this section on new federa- Worldwatch Institute, Worldwatch Global Trends, tions of the urban poor provided by David Sat- CD-ROM, July 2005; lack of urban housing pro- terthwaite of IIED, 9 September 2006. See also grams from Daniel S. Coleman and Michael F. David Satterthwaite, “Meeting the MDGs in Shea, “Assessment of Bilateral and Multilateral Urban Areas: The Forgotten Role of Local Orga- Development Assistance and Housing Assistance nizations,” Journal of International Affairs, March in Latin America, Asia, Africa and the Middle 2005, pp. 87–113; Sheela Patel, Sundar Burra, and East,” Interim Working Draft for the Interna- Celine D’Cruz, “Slum/Shack Dwellers Interna- tional Housing Coalition, 3 May 2006. tional (SDI)–Foundations to Treetops,” Envi- ronment and Urbanization, October 2001, pp. 18. Aid from OECD/DAC, and private capital 45–59; and www.sdinet.org. from UNCTAD, both in Worldwatch Institute, op. cit. note 17. 27. Sheela Patel, “Partnerships with the Urban Poor: The Indian Experience,” UN Chronicle, 19. David Satterthwaite, “Reducing Urban March-May 2001, pp. 47–49. Poverty: Constraints on the Effectiveness of Aid Agencies and Development Banks and Some Sug- 28. See Robert Neuwirth, “Bricks, Mortar and gestions for Change,” Environment and Urban- Mobilization,” Ford Foundation Report, spring- ization, April 2001, pp. 137–57. summer 2005, pp. 13–18.

20. Urban area expenditures from Frannie Léau- 29. Patel, Burra, and D’Cruz, op. cit. note 26. tier, World Bank Institute, e-mail to Molly Shee- han, July 2006; urban dimension missing from 30. Ibid. Diana Mitlin, Understanding Urban Poverty: What

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31. Solly Angel and Somsook Boonyabancha, 38. Yves Cabannes, University College London, “Land Sharing as an Alternative to Eviction,” e-mail to Molly Sheehan, 11 September 2006. Third World Planning Review, vol. 10, no. 2 (1988). 39. Chase Bank and Roper Starch, Global Lead- ers Survey (New York: 1997). 32. Teena Amrit Gill, “Slum Communities Claim a Stake in Their Community’s Future,” Ashoka 40. Mega-Cities Project, at www.megacitiespro Changemakers Journal, January 2002; Somsook ject.org. Boonyabancha, A Decade of Change: From the Urban Community Development Office (UCDO) 41. Rachel Leven, “The Pharaoh’s Garbage: to the Community Organizations Development Growth and Change in Egypt’s Waste Manage- Institute (CODI) in Thailand: Increasing Com- ment System,” Tufts University NIMEP Insights munity Options through a National Government Volume II, spring 2006; Wendy Walker, The Torah Development Programme, Working Paper 12 on Zabbaleen: From Tin Shacks to High Rises (Cairo: Poverty Reduction in Urban Areas (London: Association for the Protection of the Environ- IIED, 2003). ment, 2005).

33. Somsook Boonyabancha, “Baan Mankong: 42. Eugenio M. Gonzales, From Wastes to Assets: Going to Scale with Slum and Squatter Upgrad- The Scavengers of Payatas, International Conference ing,” Environment and Urbanization, April 2005; on Natural Assets Conference Paper Series No. 7, Satterthwaite, “Meeting the MDGs in Urban December 2003; Asian Development Bank, The Areas,” op. cit. note 26. Garbage Book: Solid Waste Management (Manila: 2004); Ronnie E. Calumpita, “Corruption Hin- 34. UN-HABITAT, op. cit. note 2. ders Waste Management,” Manila Times, 24 August 2004. 35. Yves Cabannes, “Participatory Budgeting: A Significant Contribution to Participatory 43. Wael Salah Fahmi, “The Impact of Privati- Democracy,” Environment and Urbanization, zation of Solid Waste Management on the Zab- April 2004, pp. 27–46. baleen Garbage Collectors of Cairo,” Environment and Urbanization, October 2005, pp. 155–70; 36. Celina Souza, “Participatory Budgeting in Jack Epstein, “From Cairo’s Trash, A Model of Brazilian Cities: Limits and Possibilities in Build- Recycling/Old Door-to-door Method Boasts 85 ing Democratic Institutions,” Environment and Percent Reuse Rate,” San Francisco Chronicle, 3 Urbanization, April 2001, pp. 159–84; see June 2006; Mona Serageldin, Harvard University, Rebecca Abers, Inventing Local Democracy: Grass- discussion with Molly Sheehan, July 2006. roots Politics in Brazil (Boulder, CO: Lynne Rien- ner Publishers, 2000) for a description of the 44. Marlene Fernandes, Reforestation in Rio’s “negotiated solidarity” that emerged from this Favelas, Environmental Justice, Mega-Cities Pro- process. Box 9–2 is based on Yves Cabannes, “Les ject, 1998. Budgets Participatifs en Amérique Latine. De Porto Alegre à l’Amérique Centrale, en Passant par 45. Inter-American Development Bank, The la Zone Andine: Tendances, Défis et Limites,” Socio-Economic Impact of Favela-Bairro: What do Mouvements, September-December 2006 (with the Data Say? Working Paper (Washington, DC: thanks to Alexandra Celestin for editing the Eng- 2005); Jorge Fiori, Liz Riley, and Ronald Ramirez, lish version). “Urban Poverty Alleviation Through Environ- mental Upgrading in Rio de Janeiro: Favela 37. Mona Serageldin et al., “Assessment of Par- Bairro,” draft research report, Development Plan- ticipatory Budgeting in Brazil,” prepared for the ning Unit, University College London, March InterAmerican Development Bank, 2002. 2005; Metropolis, Metropolis 2005 Standing Com- mission Report (Barcelona: 2005); numbers in

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2006 from John Fiori, director, housing and Development Assistance (Washington, DC: 2002); urbanism program, Architectural Association Grad- Paul Wolfowitz, President, World Bank Group, uate School, London, e-mail to Kenro Kawarazaki, Address to Board of Governors of the World Bank Worldwatch Institute, 6 August 2006. Group, Singapore, 19 September 2006.

46. Sonia Rocha, Workfare Programmes in Brazil: 53. Klitgaard, MacLean-Abaroa, and Parris, op. An Evaluation of Their Performance (Geneva: cit. note 7; Winthrop Carty, Ash Institute for International Labour Office, 2001); Krista Democratic Governance and Innovation, Kennedy Lillemets, Exploring Participation: Waste Man- School of Government, Harvard University, “Cit- agement Cases in Two Favelas of Rio de Janeiro, the- izen’s Charters: A Comparative Global Survey,” sis submitted in partial fulfillment of the translation from Spanish of Cartas Compromiso: requirements of the Degree of Master of Science Experiencias Internacionales, presented at the at Lund University, Lund, Sweden, November launch of the Mexican Citizen’s Charter Initiative, 2003. June 2004.

47. Hugh Schwartz, Urban Renewal, Municipal 54. Philip Amis, “Municipal Government, Urban Revitalization: The Case of Curitiba, Brazil (Falls Economic Growth, and Poverty Reduction—Iden- Church, VA: Higher Education Publications, Inc., tifying the Transmission Mechanisms Between 2006); Robert Cervero, The Transit Metropolis: A Growth and Poverty,” in Carole Rakodi with Tony Global Inquiry (Washington, DC: Island Press, Lloyd-Jones, eds., Urban Livelihoods: A People- 1998), pp. 265–96. Centered Approach to Reducing Poverty (London: Earthscan, 2002), pp. 97–111; Perlman, op. cit. 48. Michael Specter, “Environmental Rules, How note 10; Janice Perlman, “Violence as a Major They Dictate Region’s Agenda,” New York Times, Source of Vulnerability in Rio de Janeiro’s Fave- 25 November 1991. las,” Journal of Contingencies and Crisis Man- agement, winter 2005. 49. Dennis Hevesi, “Test Runs for Futuristic Bus-Tube System,” New York Times, 21 April 55. A. Zaidi, “Assessing the Impact of a Micro- 1992. finance Programme: Orangi Pilot Project, Karachi, Pakistan,” in S. Coupe, L. Stevens, and D. Mitlin, 50. For good evaluations, see Michael Eng, “A eds., Confronting the Crisis in Urban Poverty: Great New Ride,” Newsday, 10 June 1992; con- Making Integrated Approaches Work (Rugby, U.K.: straints from Molly Sheehan’s interviews with Al Intermediate Technology Publications Ltd., 2006), Appleton, former Commissioner of Environmen- pp. 171–88; Franck Daphnis and Bruce Fergus, tal Protection, New York City, with Gene Rus- eds., Housing Microfinance: A Guide to Practice sianoff, New York Public Interest Research Group, (Bloomfield, CT: Kumarian Press, Inc, 2004). and with Robert Newhouser, New York City Tran- sit, all in October 2006. 56. C. K. Prahalad, The Fortune at the Bottom of the Pyramid (Upper Saddle River, NJ: Pearson, 51. Thomas J. Lueck, “A Plan That Means to Put 2006); David L. Painter, TCG International, in More Rapid in the City’s Transit,” New York collaboration with Regina Campa Sole and Lau- Times, 8 June 2006; Robert Paaswell, Albert ren Moser, ShoreBank International, “Scaling Up Appleton, and Todd Goldman, Next Stop, Bus Slum Improvement: Engaging Slum Dwellers and Rapid Transit: Accelerating New York’s Bus System the Private Sector to Finance a Better Future,” into A New Century (New York: Institute for paper presented at the World Urban Forum, Van- Urban Systems, City University of New York, couver, June 2006. 2004). 57. UN Millennium Project Task Force on 52. World Bank, Assessing Aid (Washington, DC: Improving the Lives of Slum Dwellers, A Home in 1998); World Bank, The Role and Effectiveness of the City (London: Earthscan, 2005), pp. 55–56;

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STATE OF THE WORLD 2007 Notes, Chapter 9

Jane Tournée and Wilma van Esch, Community 65. Urban Sustainability Initiative, at bie.berke Contracts in Urban Infrastructure Works (Geneva: ley.edu/usi. International Labour Organization, 2001). 66. UN Millennium Project Task Force, op. cit. 58. Bénédicte de la Brière and Laura B. Rawlings, note 57, p. 101; Yves Cabannes, “Children and Examining Conditional Cash Transfer Programs: Young People Build Participatory Democracy in A Role for Increased Social Inclusion, Social Pro- Latin American Cities,” Environment and Urban- tection Discussion Paper No. 06083 (Washington, ization, April 2006, pp. 195–218; Sheridan DC: World Bank, 2006); SYDGM and World Bartlett, “Integrating Children’s Rights into Bank, the 3rd Internatioanl Conference on Con- Municipal Action: A Review of Progress and ditional Cash Transfer, Istanbul, June 2006, at Lessons Learned,” Children, Youth, and Envi- info.worldbank.org/etools/icct06/welcome.asp; ronments, vol. 15, no. 2 (2005), pp. 18–40. James Traub, “Pay for Good Behavior?” New York Times Magazine, 8 October 2006, pp. 15–16. 67. “YA! Youth Activism,” NACLA Report on the Americas, May/June 2004, p. 48. 59. Janice Perlman, “Megacities and Innovative Technologies,” Cities, May 1987, pp. 128–36; 68. Rose Molokoane, presentation at Future of William McDonough, “China as a Green Lab,” in the Cities panel, World Urban Forum, Vancouver, Howard Gardner et al., “The HBR List: Break- 23 June 2006. through Ideas for 2006,” Harvard Business Review, February 2006, p. 35; Mara Hvistendahl, 69. Watson quoted in Ernie Stringer, Action “Green Dawn: In China, Sustainable Cities Rise by Research (Thousand Oaks, CA: Sage Publications, Fiat,” Harpers, February 2006, pp. 52–54; Box 1999). 9–3 from Annie Sugrue, EcoCity Trust, Johan- nesburg, August 2006.

60. Box 9–4 from Jorge Wilheim, São Paulo, Brazil, September 2006.

61. Leonie Sandercock, Cosmopolis II : Mongrel Cities in the 21st Century (London: Continuum, 2003).

62. Small Arm Survey, at www.smallarmssur vey.org; International Action Network on Small Arms, Reviewing Action on Small Arms (London: 2006), pp. 17–22.

63. Satterthwaite, op. cit. note 19, pp. 146, 148; Göran Tannerfeldt and Per Ljung, SIDA, More Urban, Less Poor: An Introduction to Urban Devel- opment and Management (London: Earthscan, 2006); Esquel Foundation, at www.synergos.org/ latinamerica/ecuador.htm.

64. William Easterly, The White Man’s Burden: Why the West’s Efforts to Aid the Rest Have Done So Much Ill and So Little Good (New York: Penguin Press, 2006), p. 378.

239

Index

Accord 21 Building (China), 95 Argentina Accra (Ghana), 16, 48–49, 54, 124 Buenos Aires, 38, 136, 158 Affro-Reggae (Brazil), 190 co-ops, 158 Africa recycling, 57 circular technologies, 186 Rosario, 60–62 electrical needs, 93–96, 102 urban farming, 60–62 HIV/AIDS, 5 water needs, 38 infectious disease, 139, 142 Armed Forces Revolutionary Council (Sierra infrastructure collapse, 46–47 Leone), 64–65 pollution, 138 ASCOBIKE (Association of Bicycle Riders), 82 population growth, 4, 7–8 Asian Coalition for Housing Rights, 179 urban farming, 51, 64–65 Asian Development Bank, 20, 177 urban growth, 8–9, 16, 46 Atlanta (United States), 68–71, 84–85, 144 water needs, 16, 27, 39 Australia see also specific countries carbon emissions, 74, 88–89 Agarwal, Anil, 74 green transportation, 66–71, 83 Agni (India), 122 Melbourne, 20, 88–89, 103 agriculture, 48–63 Perth, 66–68, 84–85 aquaculture, 51, 55–56 renewable energy, 88, 100, 103 bourgou, 22–23 Sydney, 69, 83, 100 garden cities, 3, 59–63, 144 automobiles honey bees, 57–58 air pollution, 145, 184 livestock, 22–23, 56–59 Greenfleet, 89 see also urban farming land use, 69–77 air pollution, 74, 93, 124, 137–39, 144–45 traffic deaths, 139–40, 145 Akrawi, Aysar, 151 see also carbon emissions Alcantâra, Adilson, 82 Altshuler, Alan, 178 Badan Kredit Kecamatan (Indonesia), 160 Alvarado, Jorge Muños, 24 Bai, Xuemei, 108–09 Ambre, Malti, 132–33 Banda Aceh (Indonesia), 116, 118, 122 American Insurance Group, Inc., 119 Bangkok (Thailand), 50–51, 59, 68–70, 79, 179 American Public Transportation Bangladesh Association, 79 Dhaka, 117, 136 Amsterdam (Netherlands), 68, 95 floods, 117, 120 Angel, Shlomo, 11 Grameen Bank, 125, 159–61, 169 Annan, Kofi, 159 livestock production, 57 aquaculture, 51, 55–56 population growth, 9

241

STATE OF THE WORLD 2007 Index

Bangladesh (continued) Cambodia, 20, 55 sea level rise, 120 Canada social inequity, 136 credit unions, 161–62 Barcelona (Spain), 100–01 green development, 76, 78, 164 Beatley, Timothy, 19 local tax shifting, 165 bees, 57–58 Toronto, 53, 99 Beijing (China), 41, 48–49, 100, 103, 129, 145 urban farming, 48–49, 58 Bell, Beverly, 122–23 Vancouver, 48–49, 58, 78, 161–62, 164 Bellows, Anne, 53 Cape Town (South Africa), 102 Benjamin, Charles, 22–23 carbon emissions Berkshire Hathaway, 119 automobiles, 145, 184 Bhopal (India), 139 global sources, 92, 119, 134 Bhuj (India), 125–26 reduction methods, 88–89, 92, 110, 155–56 bicycles, 67–68, 78–82, 146, 174 taxes, 165 biofuel, 19, 97–98 Casey Trees Foundation (United States), 120 biomass, 40, 93, 98, 138 Castillo, Dr. José Bolívar, 24 Bloomberg, Michael, 184 Cebu (Philippines), 33 Bocoum, Aly, 22–23 CEMEX (Mexico), 186 Bogotá (Colombia), 80–81, 145 Ceneviva, Laura, 82 Boonyabancha, Somsook, 179 Center for Research on the Epidemiology of Boston (United States), 52, 92, 99, 120 Disasters, 113 Botswana, 136 Center for Transit-Oriented Development bourgou, 22–23 (United States), 83 Brazil Centre for Science and Environment (India), 74 Affro-Reggae, 190 Chicago Carbon Exchange, 89, 102 conditional cash transfer program, 186 Chicago (United States), 101, 105, 120, 140, 144 Curitiba, 80–81, 143, 183–84 China Favela Limpa, 183 Accord 21 Building, 95 green transportation, 80–81, 84, 183 automobile use, 71, 75, 145 participatory budgeting, 180–81 Beijing, 41, 48–49, 100, 103, 129, 145 reforestation project, 183 bicycles, 81 Rio de Janeiro, 140, 143, 175, 183 biofuel use, 186 São Paulo, 80, 82, 140, 184, 187 coal use, 93 urban development, 141, 143, 177, 187 Dongtan, 3–4, 99, 106 urban violence, 140, 143, 174–75 earthquake monitoring network, 117, 126 water management, 33, 43 economic development, 9, 20, 153–54 Britton, Eric, 72 eco-sanitation, 34 Brno (Czech Republic), 170–71 energy consumption, 91, 93–94, 103 Buenos Aires (Argentina), 38, 136, 158 environmental instability, 153–54 Burwell, David, 76 flood control, 123 Business Alliance for Local Living Economies, green architecture, 3–4, 95–96 164 Huashui, 153–54 bus rapid transit, 76, 78–81, 184 Kunming, 34 Buy Local Philly campaign, 164 pollution, 9, 12, 93, 138, 153 Buy Local, Support Yourself (Vancouver), 164 population growth, 5 Rizhao, 108–09 Cabannes, Yves, 180 Shanghai, 68–69, 93, 126 Cairo (Egypt), 52, 182–83 solar power, 97, 108–09 Calatrava, Santiago, 110 State Environmental Protection Agency, 109 Calthorpe, Peter, 85 sustainable development, 3–4, 34, 106

242

STATE OF THE WORLD 2007 Index

urban farming, 48–49 Delanoë, Bertrand, 79 urban growth, 9, 93 Delhi (India), 74, 116 circular urban metabolism, 18–20, 98, 173, 186 Democratic Republic of Congo, 117, 126 Cities Alliance, 173 Demos Institute (United Kingdom), 77 Cities for Climate Protection Campaign, 88, 103 Denmark, 19, 68, 81–82, 103 Cities Transformed, 11 Denver (United States), 77–78 CITYNET, 122 Devi, Gayathri, 56 Clean Development Mechanism, 102 Dhaka (Bangladesh), 117, 136 climate change, 88–93, 100–06, 119–21, 140 Dilley, Maxx, 127 greenhouse gases, 98, 102–06 disasters, see natural disasters heat island effect, 94–95, 117, 140, 144 disease, see health heat waves, 101, 117, 119, 140 distributed generation, 96–100 sea level rise, 115, 119–20 Dominican Republic, 123–24 tropical storms, 55, 116, 119, 122–27, 164 Dongtan (China), 3–4, 99, 106 Clinton, Bill, 105 Drechsel, Pay, 54 Clinton Climate Initiative, 89, 120–21 coal, 92–93, 104, 138 Earth Institute (United States), 155 Cofie, Olufunke, 64–65 Earth Pledge, 62 Coker, Olumuyiwa, 47 earthquakes, 76, 112–18, 122–27 Colombia, 80–81, 123, 145, 181 Easterly, William, 188 ComEd (United States), 101 EcoCity (South Africa), 186 community economic development, 167–69 ecological footprint, 15, 90, 155 Community Organizations Development ecology Institute (Thailand), 180, 188 green architecture, 88–95, 101, 110–11, 189 composting, 20, 57–58 nature’s health effects, 6, 21, 24–25, 145, 158 compressed natural gas, 74 see also sustainable development Condé Nast, 19 economy, 152–69 Connecticut Food Policy Council, 62 community-based finance, 159–62 construction industry, 22, 86, 92 community economic development, 167–69 co-ops, 52, 157–59, 163–64 conditional cash transfer program, 186 Copenhagen (Denmark), 68, 81–82, 103 cooperatives, 158–59, 163 Corporate Network for Disaster Response credit unions, 160–61 (Philippines), 119 economic demand management, 167 corporate social responsibility, 89, 166 economic leakage, 156 corruption, 131, 168, 174, 185 economies of scale, 16, 32, 91, 173 Crauderueff, Rob, 24–26 fair trade movement, 162–64, 166 credit unions, 160–61 global economy, 154–57 crime, 140, 143–44, 174–75, 188 industrialization, 5–6, 90, 135 Cuba, 52, 55, 127, 176 insurance industry, 115, 119, 124–26 Cueva, Marlon, 25 jobs, 52–53, 100, 141–42, 185–86 Cuff, Dana, 86–87 local economies, 152–69 Curitiba (Brazil), 80–81, 143, 183–84 participatory budgeting, 180–81 Czech Republic, 170–71 socioeconomic impact, 125 Ecuador, 24–26, 188 Daegu (South Korea), 101–02 Egeland, Jan, 127 Daley, Richard, 120 Egypt, 52, 120, 182–83 Dana Nature Reserve (Jordan), 151 El Salvador, 55, 122, 124 Dar es Salaam (Tanzania), 51, 57, 61, 63 Emilia Romagna (Italy), 157, 169 Darrundono, Haryatiningsih, 183 energy, 90–107 D’Cunha, Gerson, 122 demand reduction, 93–96

243

STATE OF THE WORLD 2007 Index energy (continued) Goma (Democratic Republic of Congo), 117, 126 distributed generation, 96–100 Grameen Bank (Bangladesh), 125, 159–61, 169 environmental impact, 92 Green Alert, 184 fuel cells, 19, 94, 97 green architecture, 88–95, 101, 110–11, 189 green architecture, 88–95, 101, 110–11, 189 Greenfleet, 89 local production, 96–100, 106 greenhouse gases, 98, 102–06 needs, 91–93 GreenHouse People (South Africa), 186 pioneering cities, 100–03 green roofs, 62, 95–97, 101 policy change, 103–07 GreenSaver program (Australia), 88 see also fossil fuels; renewable energy Green Star rating, 88 England, 58, 75–76, 122, 141 Greger, Michael, 57 environmental injustice, 172–90 Guadalajara (Mexico), 185–86 E.ON Sweden, 110 European Housing Exhibition, 110 Hagen, Jonas, 82 Haiti, 122–23 Fairtrade Labelling Organizations Hammarby Sjöstad, 19 International, 163 Hanoi (Viet Nam), 51–52, 56, 60 fair trade movement, 162–64, 166 Harris, Jeremy, 20 Federation of the Urban Poor (South Africa), Hartford Food System, 62 179, 190 Hausker, Karl, 20 Firas, Dana, 150–51 Havana (Cuba), 52 fish farming, 51, 55–56 health, 134–47 flooding, 23, 116–23, 130–31, 183 data collection, 135 Food Policy Institute (United States), 53 HIV/AIDS, 5, 136, 161 Food Trust Supermarket Campaign, 61 holistic future, 146–47 fossil fuels improvements, 141–46 climate change effects, 93, 163 infectious disease, 137, 139, 141 coal, 92–93, 104, 138 nature’s effect, 144, 156 costs, 104, 157 obesity, 146 natural gas, 74, 94, 97–98, 107 traffic deaths, 139–40, 145 oil, 66–67, 72–74, 164 urban challenges, 135–41 use reduction, 14, 104, 164 heat island effect, 94–95, 117, 140, 144 France, 78–79 heat pumps, 88, 98, 110 Free Congress Foundation (United States), 83 heat waves, 101, 117, 119, 140 Freetown (Sierra Leone), 55, 64–65 Hewlett Foundation (United States), 94 Friends of the Railway (Australia), 66–67 HIV/AIDS, 5, 136, 161 fuel cells, 19, 94, 97 honey bees, 57–58 Hook, Walter, 80–81 Garden cities, 3, 59–63, 144 Houston (United States), 16, 93, 95, 119, Gehl, Jan, 77 126–27 geographic information systems, 11, 20, 61 Howard, Ebenezer, 59, 64 geothermal energy, 98 Huashui (China), 153–54 Germany, 55, 100, 103 Humane Society (United States), 57 Ghana, 16, 48–49, 54, 124, 139 hurricanes, 55, 116, 119, 122–27, 164 Ghelco Ice Cream Factory (Argentina), 158 Hyderabad (India), 56, 81 Girardet, Herbert, 18 Hyogo Framework, 128 Glendening, Parris, 81 Global Leaders Survey, 181 IBM, 19 Global Urban Observatory, 11, 178 ICLEI–Local Governments for Sustainability, global warming, see climate change 88, 103

244

STATE OF THE WORLD 2007 Index

Ignacio, Me’An, 182 International Demographic and Health Ilo (Peru), 142–44 Survey, 11 India International Development Association, 47 air pollution, 74 International Development Cooperation All India Disaster Mitigation Institute, 126 Agency, 188 Bhopal, 139 International Development Research Centre, 189 Bhuj, 125–26 Internationale Nederlanden Bank, 95 block toilets, 36–37 International Energy Agency, 79, 93, 97 Delhi, 74, 116 International Institute for Environment and democracy, 5 Development, 10, 176, 189 disease, 139, 141–42 International Labour Organization, 22, earthquakes, 117, 125–26 157–58, 168 energy use, 91 International Monetary Fund, 154 green transportation, 74 International Network of Resource Centers for Hyderabad, 56, 81 Urban Agriculture and Food Security, 65 infectious disease, 139, 141–42 International Solar Cities Initiative, 103 Kolkata, 56, 139, 142–43 International Strategy for Disaster Reduction, local policing programs, 132–33 128 microinsurance plans, 125–26 International Union of Public Transport, 67 Mumbai, 37, 44, 79, 121–22, 132–33, 145 International Water Management Institute, National Slum Dwellers’ Federation, 37, 54, 56 132–33, 178 Investa Property Group, 89 New Delhi, 92–93 Italy, 120, 157 panchayats, 132–33 population growth, 9 Jakarta (Indonesia), 38–41, 80–81, 130–31, 183 poverty, 139, 142, 172 Jamii Bora, 161 Pune, 37, 44, 132 Jaramillo, Wilson, 24 tropical storms, 116 jobs, 52–53, 100, 141–42, 185–86 urban farming, 55–56, 64 Jockin, A., 132–33, 178–79 urban growth, 36, 44, 56 Johannesburg (South Africa), 96, 186 Indonesia Jordan, 150–51 Badan Kredit Kecamatan, 160 Josaphat, Lovly, 122–23 Banda Aceh, 116, 118, 122 corruption, 174 Kalundborg (Denmark), 19 green transportation, 81 Kampala (Uganda), 40 Jakarta, 38–41, 80–81, 130–31, 183 Kampung Improvement Program (Indonesia), river management, 130–31 81, 131, 183 Surubaya, 81 Karachi (Pakistan), 18, 34–36 industrialization, 5–6, 90, 135 Kenya, 59, 148–49, 174 Institute for Simplified Hydroponics Khartoum (Sudan), 123 (Mexico), 62 Kibera (Kenya), 148–49 Institute of Sustainability and Technology Kildsgaard, Ivana, 110–11 Policy (Australia), 67 Kisumu (Kenya), 59 insurance industry, 115, 119, 124–26 Kolkata (India), 56, 139, 142–43 InterAmerican Development Bank, 180 Konaté, Aly Bacha, 22–23 Intergovernmental Panel on Climate Change, 5 Koolhaas, Rem, 46 International Awards for Livable Communities’ Koppel, Ted, 127 Nations in Blooms, 25 Kothari, Miloon, 176 International Charter on Space and Major Kumasi (Ghana), 54, 139 Disasters, 126 Kung, Stephanie, 92

245

STATE OF THE WORLD 2007 Index

Kunming (China), 34 urban farming, 62 Kuznets, Simon, 13 water scarcity, 41 Kyoto Protocol, 102, 121 Microcredit Summit (Washington, DC), 159 Kyungpook National University, 102 Midrand Eco Savings and Credit Cooperative (South Africa), 186 Lagos (Nigeria), 46–47 Millar, William, 79 Lagrotech Consultants (Kenya), 59 Millennium Ecosystem Assessment, 6 Large Cities Climate Leadership Group, 89 Millennium Villages Project, 155 Lawrence Berkeley Laboratory (United States), Modulo Sperimentale Elettromeccanico 119 (Italy), 120 Leadership in Energy and Environmental Mohite, Shalini Sadashiv, 44 Design (United States), 101 Molokoane, Rose, 190 Leggett, Jeremy, 74 Montesinos, Fernando, 25 Lerner, Jaime, xx-xxii, 80, 183 Moore Foundation (United States), 189 light-emitting diodes, 94, 96 Mumbai (India), 37, 44, 79, 121–22, 132–33, Lima (Peru), 56 145 livestock, 22–23, 56–59 Munich Re (Germany), 117 Livingstone, Ken, 75 Municipal Development Partnership Li Zhaoqian, 108–09 (Tanzania), 63 Local Exchange Trading Systems, 167 Loja (Ecuador), 24–26 Nagara, Biko, 130–31 London (England), 58, 75–76, 122, 141 Nairobi (Kenya), 140, 148–49, 177 Los Angeles (United States), 55, 86–87 Narain, Sunita, 74 National Housing Authority (Thailand), 179 MacLean-Abaroa, Ronald, 174 National Slum Dwellers’ Federation (India), 37, Maggie’s Organics (United States), 164 132–33, 178 Mahila Milan (India), 37, 132–33, 179 natural disasters, 112–29 Mali, 22–23, 57 action strategies, 126–29 Malmö (Sweden), 98–99, 110–11 climate change effects, 119–21 Manila (Philippines), 73, 182 definition, 114–15 Marchetti, Cesare, 71 earthquakes, 76, 112–18, 122–27 Masonganye, Clara, 186 government’s role, 121–22 Matovu, George, 63 heat waves, 101, 117, 119, 140 Mayors’ Asia-Pacific Environmental Summit, 20 prevention, 122–26 McDonough, William, 186 risk, 114–18 Medellin (Colombia), 123, 181 toll, 113–14 Mega-Cities Project, 181–84, 189 tropical storms, 55, 116, 119, 122–27, 164 Mehta, M. C., 74 tsunami, 118, 122 Melbourne (Australia), 20, 88–89, 103 urban hazards, 114–16 methane, 97–98 natural gas, 74, 94, 97–98, 107 Metro Cebu Water District (Philippines), 33 natural resources, see specific types Mexico nature, 6, 21, 24–25, 145, 158 air pollution, 74, 102, 145 Netherlands, 68, 95, 120 corruption, 177 New Delhi (India), 92–93 earthquakes, 115–17 New Orleans (United States), 55, 115–16, 120, Guadalajara, 185–86 125 Mexico City, 41, 74, 102, 145 New York (United States), 53, 58, 62, 94, 98, poverty, 11 120, 184 sustainable development, 12, 185–86 Nicaragua, 164 Tijuana, 13, 21 Nickels, Greg, 121

246

STATE OF THE WORLD 2007 Index

Nigeria, 46–47, 134 urban poverty, 9, 17, 43, 87 Nobel Peace Prize, 160 see also slums nonmotorized transport, 67–70, 78–85, 146, power, see energy 174 Proaire initiative (Mexico), 102 nuclear power, 100, 104 Programa de Agricultura Urbana (Argentina), 61 Nueva Vida (Nicaragua), 164 Project for Public Spaces (United States), 76–77, 170 Oakland (United States), 83, 127 Pruess, Jane, 121 Obwaya, Patrick, 148 public health, see health Olukoju, Ayodeji, 46–47 Pune (India), 37, 44, 132 Orangi Pilot Project (Pakistan), 18, 34–36, 43 organic waste, 17, 24, 56–58, 98–99 Quito (Ecuador), 80 Overseas Economic Cooperation Fund (Japan), 177 R alph’s Grocery Company (United States), 57 recycling Pakistan, 18, 34–36, 43 circular urban metabolism, 18–20, 98, 173, panchayats, 132–33 186 Paris (France), 78–79 composting, 20, 57–58 Peace Corps, 49–50, 53 ecological cities, 24–26 Pedini, Paul, 92 income production, 167, 182 Pelling, Mark, 115 organic waste, 17, 24, 56–58, 98–99 Peñalosa, Enrique, 80, 145 taxes, 25 Pennsylvania Fresh Food Financing Initiative, 61 wastewater, 54–55 Perlman Principles, 173 Rees, William, 15 Perth (Australia), 66–68, 84–85 renewable energy Peru, 56, 61, 142–44, 181 biofuel, 19, 97–98 Petra (Jordan), 150–51 biomass, 40, 93, 98, 138 Philadelphia (United States), 61, 164 fuel cells, 19, 94, 97 Philippines, 33, 119, 182 geothermal power, 98 pollution methane, 97–98 air, 74, 93, 124, 137–39, 144–45 solar power, 88, 97, 100–01, 108–09 organic waste, 17, 24, 56–58, 98–99 wind energy, 99 tax, 165 Renner, Michael, 118–19 water, 6, 43, 54 Resource Centers on Urban Agriculture and see also recycling; sanitation Food Security, 63 population growth, 4–8, 40, 70, 115, 176 Revolutionary United Front (Sierra Leone), 64 Port-au-Prince (Haiti), 122–23 Rio de Janeiro (Brazil), 140, 143, 175, 183 Portland, Oregon (United States), 59, 103, Rizhao (China), 108–09 164, 167 Roberto, Alex, 143 poverty, 172–90 Roberts, Wayne, 53 collaboration, 181–85 Roper, Tom, 88–89 equality barriers, 124, 146, 174–78 Roper Starch International, 181–82 future directions, 185–90 Rosario (Argentina), 60–62 health inequities, 135–37 Rousseau, Jean-Jacques, 187 microfinancing, 159–62 Roy, A. N., 132–33 reduction programs, 63, 124, 128, 154, Royal Institute of Technology (Sweden), 20 178–85 rural poverty, 8, 11 Sacramento (United States), 101 U.N. Millennium Development Goals, 11, Salinas, Ermel, 24 30, 154–55, 174 Samaniego, Lolita, 25

247

STATE OF THE WORLD 2007 Index

San Francisco (United States), 76, 99, 127, 164 Johannesburg, 96, 186 sanitation, 26–45 South Korea, 76, 81, 101–02 communal provision, 36–37 Spain, 100–01 costs, 35 Spiaggi, Eduardo, 57 deficiencies, 27–30, 42–45 Sri Lanka, 117–18, 121 ecological cities, 24–26 Stanˇková, Eva, 170–71 eco-sanitation, 34–35 Stockholm (Sweden), 19, 76 environmental impact, 17 Sudan, 123 management, 30–36, 48 Sugrue, Annie, 186 organic waste, 17, 24, 56–58, 98–99 Suharto, 38–39 private-sector participation, 37–40 Surface Transportation Policy Project (United wastewater recycling, 54–55 States), 82 see also pollution; water Surubaya (Indonesia), 81 Santa Domingo (Dominican Republic), 123–24 sustainable development San Salvador (El Salvador), 55, 124 community economic development, 167–69 Santa Tecla (El Salvador), 122 garden cities, 3, 59–63, 144 São Paulo (Brazil), 80, 82, 140, 184, 187 green architecture, 88–95, 101, 110–11, 189 Schumacher, E. F., 166 Perlman Principles, 173 sea level rise, 115, 119–20 urbanization, 5–6, 152–53, 187–88 Seattle (United States), 123 see also recycling; renewable energy; Seidler, Edward, 60–61 transportation; urban farming Seoul (South Korea), 76, 81 Sustainable Energy Communities and Urban Serageldin, Mona, 183 Areas in Europe, 110–11 Shanghai (China), 68–69, 93, 126 Sweden, 19, 76, 98–99, 110–11 Sharma, Kalpana, 132–33 Swiss Federal Office of Meteorology and Sheppard, Stephen, 11 Climatology, 119 Shorebank Pacific (United States), 162 Sydney (Australia), 69, 83, 100 Sierra Leone, 55, 64–65 Singapore, 21, 124, 185 Tacoli, Cecilia, 10 slums Tanzania, 51, 57, 61, 63 health risks, 10 Tapia, Humberto, 24 informal cities, 4, 18, 28, 172 taxes infrastructure needs, 11, 14, 28, 37 bicycles, 174 Kibera (Kenya), 148–49 congestion, 75–76 local policing, 132–33 development, 187 natural disaster risk, 115, 123–24 local tax shifting, 165 population growth, 4–5, 8, 115 recycling, 25 upgrade programs, 21, 31, 37, 42, 124 Terille, Raul, 61 see also poverty Texas Transportation Institute, 75 Slum/Shack Dwellers International, 179 Thailand Smit, Jac, 49 Bangkok, 50–51, 59, 68–70, 79, 179 So, John, 88–89 Community Organizations Development Society for Promotion of Area Resource Centers Institute, 180, 188 (India), 37, 179 land sharing, 179–80 socioeconomic impact, 125 mass transit, 79 Solarcentury, 74 Think Local First Campaign (Portland, solar power, 88, 97, 100–01, 108–09 Oregon), 164 South Africa Tibaijuka, Anna, xvii–xix Cape Town, 102 Tijuana (Mexico), 13, 21 Federation of the Urban Poor, 179, 190 Timbuktu (Mali), 22–23

248

STATE OF THE WORLD 2007 Index

Todd Whitman, Christine, 81 Environmental Protection Agency, 95, 120, Toronto (Canada), 53, 99 144 Toronto Food Policy Council, 53 Federal Emergency Management Agency, 123 tourism, 150–51 Federal Housing Administration, 86 Transit Alliance (United States), 78 Federal Transit Administration, 184 TransJakarta, 81 fuel efficiency, 74–75 TransMilenio (Colombia), 80–81 Geological Survey, 122 transportation, 66–85 Green Building Council, 101 bicycles, 67–68, 78–82, 146, 174 heat waves, 101, 117, 140 bus rapid transit, 76, 78–81, 184 Houston, 16, 93, 95, 119, 126–27 land use, 67–70 hurricanes, 55, 116, 119, 125–27 mass transit, 19, 73, 77–81 Intermodal Surface Transportation Efficiency policy change, 84–85 Act of 1991, 82 walking, 67–68, 71, 77–78, 84–85, 146 Los Angeles, 55, 86–87 see also automobiles mass transit, 77–78, 83–85, 184 Transportation Priorities Project (United Mayors’ Climate Protection Agreement, States), 84 102–03, 120 tropical storms, 55, 116, 119, 122–27, 164 military, 98 tsunami, 118, 122 mortality rates, 142 Turer, Ahmet, 125 NASA, 186 National Institute of Health, 61–62 Ubuhle Bemvelo (South Africa), 186 National Research Council, 7 Uganda, 40 National Science Foundation, 11 United Cities and Local Governments, 173 New Orleans, 55, 115–16, 120, 125 United Nations New York, 53, 58, 62, 94, 98, 120, 184 Capital Development Fund, 22 Oakland, 83, 127 Development Programme, 50, 100, 127, 136 obesity, 146 Disaster Reduction Unit, 127 Philadelphia, 61, 164 Environment Programme, 25, 89, 119, 177 Portland, Oregon, 59, 103, 164, 167 Food and Agriculture Organization, 50, 59, Sacramento, 101 60, 63, 65 San Francisco, 76, 99, 127, 164 Fund for Population Activities, 176 sea level rise, 120 HABITAT, 11, 149, 173, 177, 180 Seattle, 123 International Day of Cooperatives, 159 solar energy, 19 Millennium Development Goals, 11, 30, urban farming, 53, 55, 60–61, 144 154–55, 174, 180 urban sprawl, 68–71, 86–87 population projections, 70 Urban Sustainability Initiative, 189 Special Project for Food Security, 65 urban violence, 140, 144 World Heritage Sites, 150 Washington, DC, 120 United States Unitus (United States), 161 Agency for International Development, 20, Urban Agriculture Network, 49 181 Urban Community Development Office Atlanta, 68–71, 84, 144 (Thailand), 179–80 automobile use, 68, 74–75, 82–85 urban farming, 48–63 Boston, 52, 92, 99, 120 aquaculture, 51, 55–56 Chicago, 101, 105, 120, 140, 144 garden cities, 3, 59–63, 144 Clean Air Act, 184 historical perspective, 49–50 Denver, 77–78 infrastructure, 53–59 emergency preparedness, 127 local produce, 50–53, 157 energy consumption, 74, 93, 101 organic wastes, 57

249

STATE OF THE WORLD 2007 Index urban farming (continued) Wal-Mart, 155–56 wastewater use, 54 walking, 67–68, 71, 77–78, 84–85, 146 see also agriculture Wamsler, Christine, 124 urbanization, 3–21 Wang Shuguang, 108 anti-urban bias, 175–76 Warah, Rasna, 148–49 circular metabolism, 18–20, 98, 173, 186 Washington, DC (United States), 120 definition, 60 water, 26–45 economic development, 152–54 communal provision, 36–37 environmental challenges, 124 condominial supply, 33, 43 fear of change, 177–78 costs, 16, 30–31 global challenges, 4–6, 102 environmental impact, 17 green architecture, 88–95, 101, 110–11, 189 flooding, 23, 116–23, 130–31, 183 human well-being, 156 management, 30–33, 40–42 infrastructure, 46–47, 168, 186 pollution, 6, 43, 54 international assistance, 176–77 private-sector participation, 37–40 modernization, 4–5, 21, 94 pure water, 46 socioeconomic impact, 125 supply needs, 27–30, 42–45 suburban sprawl, 86–87 waste recycling, 54–55 sustainable development, 5–6, 152–53, wastewater use, 54 187–88 see also sanitation violence, 140, 143–44, 174–75, 188 WaterAid, 36 see also slums Watson, Lilla, 190 Wiley-Schwartz, Andy, 77 VanCity Savings Credit Union (Canada), Wilheim, Jorge, 187 161–62 wind energy, 99, 110 Vancouver (Canada), 48–49, 58, 78, 161–62, Winne, Mark, 62 164 Winnebah, Thomas R. A., 64–65 Vanˇkovka Civic Association (Czech Republic), Wolfowitz, Paul, 185 170–71 Women’s International Sewing Cooperative of van Veenhuizen, René, 63 Nueva Vida (Nicaragua), 164 Venice (Italy), 120 woodlots, 22–23 vermiculture, 58 World Bank Vétérinaires Sans Frontières, 23 economic development programs, 154, 177 Viet Nam, 51–52, 56, 60, 120 green power funding, 102 Villa María del Triunfo (Peru), 61 International Demographic and Health violence, 140, 143–44, 174–75, 188 Survey, 11, 174 Volvo, 184 poverty study, 113 Vons Companies Inc. (United States), 57 Structural Adjustment Program, 46 urban development programs, 142 Wackernagel, Mathis, 15 urban livestock report, 58 Wadi Musa (Jordan), 150–51 water privatization, 37–38 Wafula, Dieudonne, 126 World Conference on Disaster Reduction Waghmare, Chhaya, 44 (Kobe), 128

250