Urban Planning For City Leaders

Urban Planning
for City Leaders

URBAN PLANNING FOR CITY LEADERS
2nd Edition, Reprinted September 2014

All rights reserved ©2013
United Nations Human Settlements Programme (UN-Habitat)
P.O. Box 30030 00100 Nairobi GPO KENYA
Tel: +254-020-7623120 (Central Office)
www.unhabitat.org
HS Number: HS/090/12E
ISBN Number: 978-92-1-132505-8
DISCLAIMER
The designations employed and the presentation of the material in this report do not imply
the expression of any opinion whatsoever on the part of the Secretariat of the United Nations
concerning the legal status of any country, territory, city or area or of its authorities, or concerning
the delimitation of its frontiers or boundaries, or regarding its economic system or degree of
development. The analysis, conclusions and recommendations of this publication do not necessarily
reflect the views of the United Nations Human Settlements Programme or its Governing Council.
Reference in this publication of any specific commercial products, brand names, processes, or
services, or the use of any trade, firm, or corporation name does not constitute endorsement,
recommendation, or favouring by UN-Habitat or its officers, nor does such reference constitute an
endorsement of UN-Habitat.
This publication was made possible through the financial support of the Swedish International
Development Cooperation Agency (Sida) and Siemens AG, Germany.
Urban Planning
for City Leaders
In partnership with
ACKNOWLEDGEMENTS
Project supervisors: Laura Petrella, John Hogan

Principal author: Pablo Vaggione
Background papers: Elda Solloso, Gil Kelley, Mona Serageldin
Contributors: Akiko Kishiue, Andries Geerse, Ben O Odondi, Beryl Baybay,
Castro Sanfins Namuaca, Cecilia Martinez, Chris Williams,
D.T. Dayaratne Perera, Dinka Karakasic, Edgar F Ribeiro, Elijah Agevi,
Joris van Etten, Bernadia Irawati Tjandradewi, Jacqueline Leavitt,
Jose Chong, Mairura Omwenga, Marek Vogt, Michael Stevns,
Muthoni Orlale, Myriam Merchan, Nazira Cachalia, Pradeep Kapoor,
Pragya Rajoria, Raf Tuts, Rajni Abbi, Shan Zheng, Stefan Denig,
Tatiana Celliert, Ogliari, Tom Van Geest,
Tumukunde Hope Gasatura, Vinay D. Lall
Peer Reviewers: George McCarthy, Pablo Farías (Ford Foundation); Joan Busquets
(Harvard University); David Wilk, Gisela Campillo, Luis Manuel
Espinoza Colmenares (Inter-American Development Bank); Armando
Carbonell, Greg Ingram, Martin Smolka (Lincoln Institute of Land
Policy); Dinka Karakasic, Martin Powell, Michael Stevns, Stefan Denig
(Siemens AG); Arish Dastur, Chandan Deuskar, Dan Hoornweg, Hiroaki
Suzuki, Judy Baker, Mansha Chen, Pedro Ortiz, Victor Vergara (World
Bank); Robin Ried (World Economic Forum); Clayton Lane, Dario
Hidalgo, Robin King (World Resources Institute); Gayle Berens, Jess
Zimbabwe, John Mcilwain, Rick Rosan, Uwe Brandes (Urban Land
Institute)
Publication coordinator: Ndinda Mwongo

Graphic contributor: Thamara Fortes
Editor: Vicky Quinlan
Design and layout: María Belloso, Samuel Kinyanjui
Printer: UNON, Publishing Services Section, Nairobi

ISO 14001:2004-certified
Contents
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ii
From the Desk of a Mayor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
From the Desk of a CEO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Terms used in this book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Why urban planning? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Ten reasons for planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
How to plan to address key urban development challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Five obstacles to better urban planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Thinking implementation from the start . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
How to choose the urban pattern that can best serve your city . . . . . . . . . . . . . . . . . . . . . . . . 24
How to improve access and avoid congestion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
How to provide infrastructure and key services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
How to address informality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
How to build resilience and reduce climate risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
How to make a city safer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
How can urban planning generate financial resources? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
How to allocate investment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
How to create partnerships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
How to know if you are making an impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
End Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168
i
Foreword
Dr. Joan Clos
Among the greatest challenges of the twenty-first century is the rapid growth of cities. Over the
last century, our world is rapidly becoming predominantly urban. As such, cities embody some of
society’s most pressing challenges, as diverse as unemployment, climate change, and environmental
degradation. But cities also hold the key to unlocking national urban development. They present real
opportunities for unleashing enormous economic potential, increasing energy efficiency, reducing
inequities, and creating sustainable livelihoods for all. History has shown that urbanization leads
to development. It is also clear that urbanization is a source rather than simply a by-product of
development. While Africa and Asia are among the least urbanized continents, they also have the
fastest rates of urbanization in the world. Urbanization can therefore be used as a powerful lever for
transforming lives and livelihoods.
Growing cities and towns face additional challenges, which include: high percentages of people
living in slums; expansion and dominance of the informal sector; inadequate urban basic services,
especially water, sanitation and energy; unplanned peri-urban expansion; social and political conflict
over land resources; high levels of vulnerability to natural disasters; and poor mobility systems. If
cities are to play their role as drivers of economic and social development, these challenges have to
be addressed through effective planning and governance.
Tapping the opportunity presented by urbanization to advance sustainable human development

is one of the defining challenges facing many of the countries in which UN-Habitat works.
Unfortunately, many developing countries lack strategies for urban planning and design. Urban
planning, where it happens, tends to be inadequate for addressing the many challenges which
are endemic to rapid expansion. Evidence of this includes ineffective and unsustainable urban
policies, excessive zoning and inadequate enforcement, developments far from the city core, poor
connectivity resulting from insufficient allocation of land to streets and transportation systems, and
the lack of appropriate urban design that allows for optimum density. The result of inefficient or
non-existent planning limits economic potential and impinges on the health, opportunities, and
well-being of city residents.
Appropriate urban planning for developing economies can be simple, enforceable, flexible, and
responsive to shifting local needs. City governments must have sufficient capacity to facilitate
agreement among residents on the path forward, build social trust, and arbitrate conflicts of interest
where they occur, including in land disputes.
With sufficient capacity and more appropriate urban planning, countries can tap the opportunity
for development which urbanization represents. Cities can generate economies of scale, enhance
productivity, facilitate the exchange of ideas, and spur innovation.
ii
This Guide has been designed to fill the gap between the technical and the policy dimensions of
urban planning and to help local leaders to better communicate with their planning departments
and ask the right questions. All too often planning has been disconnected from the day to day
realities and needs of citizens. This guide offers practical advice and insight into how leaders around
the world can succeed in leveraging capacities and know-how from communities, professionals and
the private sector in tackling pressing urban development needs.
A new approach is needed to urban planning in which local leaders are principally engaged in
shaping the future growth of our cities. I believe that this guide will not only raise awareness and
build capacities in this regard, but will also offer directions for upcoming initiatives in this regard. As
part of the World Urban Campaign, UN-Habitat has launched the “I’m a City Changer” campaign
with the aim of promoting sustainable urban development and creating awareness among citizens
for a better urban future. This publication will undoubtedly serve as a vital plank in this platform for
change, enabling and empowering communities, partners and their leaders around the world.
Dr. Joan Clos

Under-Secretary-General, United Nations
Executive Director, UN-Habitat
iii
From the Desk of a Mayor
Good Planning will Transform your City Aníbal Gaviria Correa
Urban planning is a key tool for local leaders in supporting the realization of a city’s vision. A guide
that offers lessons and ideas on urban planning is important for mayors and other local leaders. In
our experience in Medellin, Colombia, we have learned the importance of urban planning for good
development. We have instruments for urban planning that are approved by the Council with the
involvement of residents and it is mandatory for local leaders to produce plans. Although they are
often regarded as a bureaucratic requirement, urban plans - even those with a short validity of four
years - can have an impact on a city for the next 20 years and more if they are properly conceived and
systematically executed.
Indeed, a good plan is key to development. If it is created with the involvement of residents and
clearly identifies the pillars of future development it can play a crucial role in the growth of the city. Its
impact is dependent on several factors: it needs to reflect the social contract of the specific territory
and it should not be subject to abrupt change and modification with each change in government.
In Medellin, we have achieved an important transformation of the city because we successfully
maintained a continuity of ideas and approach to urban development over the past 10 years. This
has been possible because successive governments over the period have been synchronized – each
building on the good planning ideas of its predecessor until the planning goals were achieved.
Urban plans and the extension of services and infrastructure that they support have been critical in
Medellin to demonstrate the presence of the public authorities and of the state, particularly in areas of
the city where informal and chaotic development was the norm. Bringing public actors to such areas
has had a powerful transformative effect. In Medellin, we addressed problems created by the difficult
landscape by planning mass transport systems. Dealing with geography and with transport needs in an
innovative way, with the use of economic and ecologic advantages, has resulted in improved mobility.
This, combined with investment in other infrastructure, public services and equipment, has changed
areas that were previously entirely degraded and marginalized.
This guide offers insights from real experiences on what it takes to have an impact and to transform
an urban reality through urban planning. It is particularly inspiring because it clearly links planning and
financing, which is important for effective execution. Urban planning can only achieve as much as
the support it has from public investment and realistic investments projections. Support from private
investors, compliance by residents and developers are also important. Public participation and dialogue
with the community is paramount, particularly during the execution of any intervention. Urban
Planning for City Leaders presents many successful practices that emphasize strategies to address real
issues. It shares ideas and provides inspiration around key principles of good urban planning that can
result in real urban transformation.
Aníbal Gaviria Correa

Mayor of the City of Medellin, 2012-2015
iv
From the Desk of a CEO
World Class Cities need Good Planning Dr. Roland Busch
Today, cities are the main growth centres of economies, as well as being the growth centres of
populations and of the use of resources. At Siemens, we believe that cities are also the protagonists
driving the change towards a more sustainable future and enhanced quality of life. More than one
billion people still do not have access to electricity, sanitation or clean drinking water. The number of
urban dwellers in developing countries is expected to double - from two billion to four billion people
- between 2000 and 2030. The challenges and opportunities for cities in developing countries must
be understood in this context – one where, currently, there is a gap between the provision of basic
services and the rapid growth in the urban population.
Enormous amounts of infrastructure will need to be built in urban areas in the coming decades.
Globally, cities will invest, on average, two trillion Euro a year, creating an urgency and an opportunity
to build “right”, to use the resources efficiently and to address the vital services needed to create
well functioning cities. The future needs are clear. Cities need to become more energy efficient and
strike a balance between three fundamental goals: quality of life, economic competitiveness and
environmental protection.
Cities come in all sizes and shapes. Some will be created from scratch and many existing cities will
continue to expand and grow. Good urban planning can provide the framework for making decisions
that are resource effective and sustainable for all cities. All experience shows that well managed and
thoughtfully designed cities provide increased well-being for their citizens. The decisions on density,
land-use and spatial patterns that local leaders take have a major impact on energy consumption, CO2
production and cost of construction.
Integrating knowledge from infrastructure and technology providers in the early stages of spatial
planning is essential for getting the infrastructure “right”. Partnerships between local governments
and business can also be an effective way of delivering complex infrastructure projects, and an active
private sector is essential for meeting urbanization challenges. Infrastructure investments are long-term
decisions and the choices we make today will “lock” us into patterns dictating the carbon, land and
water intensity of our future development. The Urban Planning for City Leaders guide is a UN-Habitat
initiative that Siemens is proud to support, because we believe that sustainable urban planning is one
of the prerequisites for greening the urban infrastructure.
Let us make all cities world class.
Dr. Roland Busch

Member of the Managing Board of Siemens AG
CEO Infrastructure & Cities Sector
v
vi
Nairobi CBD, Kenya © UN-Habitat/Julius Mwelu
1
Urban planning for city leaders
Terms used in this book
Accessibility: A general term used to describe and the directness of links. A well-connected
the degree to which a product, device, service street network has many short links, numerous
or environment is available to as many people intersections, and minimal cul-de-sacs.
as possible. The physical access to a space or As connectivity increases, travel distances
service is one of its components and the one decrease and route options and travel modes
used in this document. increase, allowing more direct travel between
destinations, creating a more accessible and
Carbon credit: “Certified Emission Reduction” resilient system.
credits (CER), generically called “carbon credits”
under the Clean Development Mechanism Floor Area Ratio: Floor area ratio (FAR), floor
(CDMs) programme by the International space ratio (FSR), floor space index (FSI), site
Framework Convention on Climate Change ratio and plot ratio are all terms for the ratio of
(IFCCC). A carbon credit is a permit that allows a building’s total floor area to the size of the
a country or organization to produce a certain parcel of land upon which it is built. The terms
amount of carbon emissions that can be can also refer to limits imposed on such a ratio.
traded if the full allowance is not used. Oxford
Dictionary. As a formula: Floor area ratio = (Total covered
area on all floors of all buildings on a certain
Carbon sequestration is the process of plot)/(Area of the plot). Thus, FAR of 2.0 would
increasing the uptake of carbon dioxide by indicate that the total floor area of a building is
reservoirs of forests, soils and other ecosystems. two times the gross area of the plot on which it
is constructed, as would be found in a multiple-
Commons and Common goods: The commons story building. The floor area ratio can be used
were traditionally defined as the elements of in zoning to limit the amount of construction
the environment - forests, atmosphere, rivers, in a certain area. For example, if the relevant
fisheries or grazing land - that were shared, zoning ordinance permits construction on a
used and enjoyed by all. Today, the commons parcel, and if construction must adhere to a
are also understood within a cultural sphere. 0.10 FAR, then the total area of all floors in
These commons include literature, music, all buildings constructed on the parcel must
arts, design, film, video, television, radio, be no more than one-tenth the area of the
information, software and sites of heritage. The parcel itself. FAR as a planning standard should
commons can also include public goods, such as be used in conjunction with other traditional
public space, public education, health and the design standards (height, lot coverage and
infrastructure that allows our society to function setbacks or build-to lines) to ensure quality of
(such as electricity or water delivery systems). the outcome. FAR alone is just a quantity of
buildable space.
Connectivity: Street connectivity refers to the
density of connections in a street network
2
Illustration 0.1 Density configurations on one hectare
Density: 75 dwellings / ha
High building height
Low plot coverage
Low building height
High plot coverage
Medium building height
Medium plot coverage
Residential
Office and commercial
Public facilities
Source: Javier Mozas, Aurora Fernández Per (2006), Density: New Collective Housing
3
Greenhouse gas GHG: According to the and basic infrastructure, with precarious shacks
Intergovernmental Panel on Climate Change, erected on unsanctioned subdivisions of land
greenhouse gases are those gaseous or without the consent of the land owner. An
constituents of the atmosphere, both natural informal settlement may be referred to as a
and anthropogenic (produced by human shanty or squatter settlement. 2
activities), that absorb and emit radiation at
specific wavelengths within the spectrum of Infrastructure costs:
infrared radiation emitted by the Earth’s surface, • Capital costs are the initial total costs
the atmosphere and clouds. This property associated with installing an infrastructure
causes the greenhouse effect. Water vapour asset.
(H2O), carbon dioxide (CO2), nitrous oxide (N2O), • Operating costs are associated with
methane (CH4) and ozone (O3) are the primary maintaining and repairing an asset.
greenhouse gases in the Earth’s atmosphere. • Replacement costs are the costs of entirely
Since the beginning of the Industrial Revolution, replacing an asset at the end of its useful life.
the burning of fossil fuels has contributed to the
increase in carbon dioxide. Modernist urban planning: A planning
approach prevalent in the decades after the
Informal settlements and slums: The terms Second World War and characterized by
are frequently interchangeable. A slum is a single-use zoning and low density suburban
settlement made up of households that lack development that relied on inexpensive
one or more of the following five conditions: fossil energy, cars and public investment in
access to potable water, access to hygienic infrastructure.
sanitation facilities, sufficient living area per
person (not more than three people sharing the Resilience is the capacity to adapt when
same room), structural quality and durability exposed to a hazard or systemic change in order
of dwellings and security of tenure. The term to maintain an acceptable level of functional
“slum” originates from affordable housing organization.
schemes that were planned and built to specific
standards but which, over time, have become Smart grid is an electrical grid that uses
physically deteriorated, overcrowded and computers and other technology to gather and
inhabited by lowest income groups only.1 act on information, such as information about
the behavior of suppliers and consumers, in an
There is no single definition of the term automated fashion to improve the efficiency,
“informal settlement”. It generally refers to reliability, economics and sustainability of the
unplanned squatter areas that lack street grids production and distribution of electricity.
4
Subsidy and cross-subsidy: A benefit given by

the government to groups or individuals, usually
in the form of a cash payment or tax reduction.
The subsidy is usually given to remove some
type of burden, promote certain behaviour or
for equity reasons. Cross-subsidies imply that
tariffs or other prices for services and goods are
set in a way that distributes costs differently
among different categories of customers. One
main objective is to reduce the price barriers for
access to certain services for certain customer
groups.
Value capture is the harnessing, through many

different mechanisms, for example taxation,
of the increase in land and building value
brought about by planning, public investments,
development of new services etc.
5
Introduction
Urban Planning for City Leaders is a UN-Habitat

initiative to provide local leaders and decision makers
with the tools to support urban planning good practice.
It aims to inform leaders about the value that urban
planning could bring to their cities and to facilitate a
collaborative dialogue between leaders, policy makers
and planners on urban development.
6
Introduction
Porto Alegre, Brazil © Flickr/Ander Vaz
7
This guide is a resource that is substantial Intermediate cities - those with a population of
without being an encyclopaedia and it gives between 20,000 and 2,000,0003 - will have to
leaders a practical snapshot of urban planning make room for a population growth of up to 5
that can help to improve their communication per cent annually, and they will have to provide
with planners. Although its contents are urban services with scarce financial resources
relevant for large cities, the guide primarily and a significant backlog in planning. Because
targets leaders of rapidly growing intermediate intermediate cities are likely to experience acute
cities in developing and emerging countries. stresses, it is with them that a big impact can be
This is where a significant portion of the world’s made on a global scale. Cities cannot develop
urban population lives today and where the effectively when confronted by rapid population
largest share of the nearly two billion new growth that far outstrips their capacity to
urban residents expected in the next 20 years provide services. They need to be better
will need to be accommodated. prepared to make the most of this growth, and
to channel and manage it in a proactive way.
Chart 0.1 Urban population by city size and region (2010)
Source: GRHS 20114
8
Introduction
How can cities prepare for urban growth? Why planning? This question frames the first
Short-term thinking and a reactive approach is section of the guide, which discusses why local
not enough to prepare cities for urban growth. leaders should think of urban planning as a
It is also verifiable that cities that prepare way to achieve their goals. There is no shortage
for urbanization challenges are more able to of information on cities and some cities have
address them. On the contrary, leaders who more than enough plans, although many of
do not act could also miss a rare opportunity these are unlikely to be carried out. There is
to make cites economically, socially and an urgent need to embrace an approach to
environmentally robust. urban planning that can deliver collectively held,
desired scenarios that efficiently use resources,
Prepared cities need proactive city leaders. and that go beyond regulatory restrictions to
Cities need forward-looking leaders who create collaborative, flexible and responsive
anticipate problems and take pre-emptive frameworks that are linked with execution.
action. This guide advocates urban planning to
help leaders to: How to plan to address key urban
• Look at the whole system and promote development challenges? The second section
an integrated, cross-sector approach that of the guide is built around ten “how to”
capitalizes on synergies towards efficiency. topics that answer questions which leaders are
• Plan at a sufficient scale so as to deal with frequently faced with and features a number
common issues such as slums, sprawl and of sample approaches of what leaders could
inadequate services. do. There are also examples of precedents or
• Make an impact by implementing success stories that include leaders’ views.
demand-led plans in which citizens and all
stakeholders are involved.
Table 0.1 Distribution of urban population by size of agglomeration
Number of urban agglomerations Distribution of urban population by Population estimates and projections
Estimates and projections size of agglomerations (%) ‘000
2000 2010 2020 2000 2010 2020 2000 2010 2020
WORLD
10 million or more 16 21 28 8.2 9.3 10.4 231,624 324,190 436,308
5 to 10 million 28 33 43 6.9 6.7 7.0 195,644 233,827 290,456
1 to 5 million 305 388 467 20.6 22.1 22.0 584,050 772,084 917,985
500,000 to 1 million 402 516 608 9.6 10.2 10.2 273,483 355,619 425,329
Fewer than 500,000 ... ... ... 54.7 51.6 50.4 1,552,631 1,800,607 2,106,156
Source: GRHS 20115
9
Why urban planning?
Projections of urban population growth around the world tell us

that between 2000 and 2050 the amount of urban space will
need to be doubled in developed countries and expanded by
326 per cent in developing countries to accommodate people.6
This is equivalent to building a city the size of Greater London
every month for the next 40 years. Local governments will
have to manage this growth and the severe strain it will put on
municipal finances. They will also have to address the resulting
social inequality and make plans to reduce environmental
degradation and deal with the effects of climate change.
The fact that this population growth will occur largely in

intermediate cities, with little human resource capacity and
limited budgets, will compound the problem.
10
Introduction
The day-to-day affairs of local government Often, local leaders view urban planning as
leave city leaders with little time to contemplate simply developing drawings and images of
any long-term strategies that may, in any the city in the future, without discerning how
case, take longer than the terms of office of this process and the decisions it requires can
elected and appointed leaders to carry out. become the backbone of urban transformation.
Government departments often lack the
resources to take the initiative on long-term
change and on complex problems that require Urban planning is not
interdepartmental responses. Leadership and
direction are essential to make ends meet. about images but is a way
While there are no instant and universal to make a difference; it is
formulas for success, there are many proven
a framework that helps
approaches that can empower local leaders to
seize the future by planning their cities. leaders transform a vision
into reality using space
Urban planning is an important tool for city
as a key resource for
leaders to achieve sustainable development.
It helps to formulate medium- and long-term development and engaging
objectives that reconcile a collective vision stakeholders along the way.
with the rational organization of the resources
to achieve it. Planning makes the most of
municipal budgets by informing infrastructure Because this guide focuses principally on
and services investments, and balancing spatially-related planning issues, the terms
demands for growth with the need to protect “urban planning”, “spatial planning” and
the environment. It also distributes economic “planning” are interchangeable.
development within a given area to reach
social objectives, and creates a framework for
collaboration between local governments, the
private sector and the public at large.
11
Ten reasons Thriving cities have a

for planning framework for growth
The following points depict a
contemporary approach to planning
that can help city leaders to drive
constructive change
Anticipating benefits the

present
Planning helps leaders to

make an impact, step by
step
Urban form makes a

difference
Having a direction has a

positive impact on the
urban economy
12
Introduction
Major efforts to enhance quality of life, prosperity and equity have been made in a number of cities.
Such transformational impact is not achieved by being spontaneous. Thriving cities have a vision
and follow it through with a framework to develop in an orderly way. A framework is not about
centralized command and control but is a tool to anticipate needs, to coordinate efforts and to find
a path to a goal that everyone can follow.
Anticipating the future means being better prepared today. By staying ahead of challenges, city
leaders are ready to see opportunities and manage risks from a particular vantage point. With
reliable information on the current situation, they will be able to make connections between the
long-term vision and short-term actions. On the other hand, cities that do not actively plan for their
future are likely to be left behind.
Local leaders are elected and appointed to improve cities. Given the magnitude of the challenges
that cities face, it is unlikely that all the desired improvements will happen immediately. Successful
cities build a momentum by tackling priority projects that are aligned with an overall vision. Planning
identifies pressing issues and available resources, and ensures that initiatives are not redundant or
going in different directions.
Housing, employment, accessibility and safety are key concerns for urban dwellers and are
strongly correlated to urban form. The correct policies on density, land use, public space and the
layout of infrastructure and services can make a difference to the delivery of good quality of life
at the right price. Designing a spatial pattern that addresses citizens’ concerns is a means for
delivering a better city.
Making sure there are plenty of jobs in the city is a primary concern for local leaders. Cities compete
to attract investment to generate economic activity. Planning coordinates the spatial location and
distribution of economic activity, and facilitates value capture from public investments and the
transformation of rural to urban land.
13
A collectively held plan

builds lasting synergies
A broader territorial
perspective helps cities
attain economies of scale
Continuity generates
credibility
Anticipating is more cost

effective than reacting to
problems
A framework gives
consistency to messages
14
Introduction
City leaders who see opportunities in urbanization need to rally all possible contributions toward
developing them. A collectively held framework gives local leaders a road map to reach out to
citizens, to energize departments, to mobilize partners so that they engage in realizing the vision,
and to leverage synergies between stakeholders.
Cities do not exist in vacuums but are connected to a surrounding region with which they share
resources and opportunities. Rather than just looking within municipal boundaries, city leaders
who plan together can create a competitive advantage out of cross-municipal coordination. In
addition to spatial efficiencies, this would allow them to draw on economies of scale to boost their
negotiation power.
Successful cities have ensured continuity of plans through political cycles, realizing that a stable
road map makes the plans more credible. Investment is a long-term endeavour that benefits from
predictable conditions. Spatial planning reduces uncertainties and its continuity helps to create
transparent opportunities for an engaged society.
Local leaders can drive constructive change if they are active rather than passive leaders; leaders
who anticipate rather than react get to the root of problems. Unplanned spatial patterns are
inefficient and require more resources to maintain, and the high cost of bad or no decisions is likely
to be irreversible.
Communication is a key asset for cities, but the opportunity to connect and convey a city’s
advantages can be undermined by empty or contradictory messages. Momentum and support
are increased when local leaders demonstrate substantive, even if incremental, progress that is
consistent with the collective vision and framework.
15
How to plan to
address key urban
development
challenges
16
Introduction
A city leader’s main responsibility is to embody The guide shows how urban planning plays
and promote public interest on the path to a key role in setting the foundation for urban
development. In doing so, he or she has to development and shaping the future of a city.
make lasting decisions that enhance the quality It provides advice on how to make spatial
of life within the city, and that do not create choices that nurture better cities. It links
negative impacts outside of it. space, processes and resources to show how
urban planning works together with finance,
This guide is about making urban planning legislation and management.
work in the interest of the city as a whole – it
puts at the centre of attention the creation, “Cities are made of stones,
protection and enhancement of commons (such
as natural resources, the climate, public health, rules and people,”
safety) and the development of adequate urban Joan Clos, Executive
assets (public space, infrastructure, the right mix
Director, UN-Habitat.
of activities and people, adequate housing etc),
both of which are needed for people to develop
and businesses to thrive.
17
Five obstacles Inability to identify the

to better core issues
urban
planning
Inappropriate or outdated
planning approaches and
tools
Weak capacity to develop

and implement plans
Legal frameworks that

do not provide sufficient
traction for plans
Plans that do not have

sufficient time
18
Introduction
Myopic vision will result in a poor plan, and planning without values is futile. Also, plans may not
feature the steps necessary to implement them. A collective vision championed by leaders is the
basis of impact planning and success stories show clearly that a vision has to drive the plan to reap
real benefits for the city.
Plans conceived exclusively by technical experts, in isolation; plans using imported approaches that
are not adapted to local conditions; and plans based on mechanical and detached assessments
may be irrelevant in a specific context. Modernist planning has generally been ineffective in many
contexts; leaders have to consider the relevance of plans and their practical application. Successful
experiences show that innovative, relevant approaches can be created in cities of the developing
world.
Often cities have insufficient human resources to develop plans and implement them. Developing
such capacities within local planning departments, by using other agencies and by engaging the
community and interest groups, is a key strategy to address this and produce better plans.
A sound legal framework is indispensable for the implementation of plans as it creates the
conditions for all actors to work in certainty. Many cities that have had major successes in
planning also have progressive legislation that ensures that plans are legally binding documents
and include sanctions for non-compliance by residents and developers.
Implementation of plans requires monitoring capacity, credible institutions and low levels of
corruption and impunity. Lack of continuity because of political cycles, and uncommitted leaders
who fail to assess the long-term negative consequences of overruling plans can be major hurdles to
success. Methods of implementing plans adapted to the local context need to be built in from the
start.
19
Thinking Make planning simpler

implementation
from the start
Be strategic
Identify responsibilities and

set performance indicators
Build inter-departmental
teams
Deal with the legal

dimension early
20
Introduction
The planning system can be complex, time consuming and expensive, and may feature duplications
and gaps.7 The attempt to create comprehensive plans may take decades and plans could be
outdated before they are executed. On the other hand, plans that overlook institutional, technical,
and financial constraints may eventually have to be abandoned. Adopting a demand-driven
approach towards pragmatic and modular frameworks can lead to implementation that has an
impact.
Responding to real needs in a way that offers long term perspective and is at the same time
concrete and well phased will help to ensure that plans will live to be implemented. Plans that lack a
vision and do not have a response to real problems are easily sidelined and forgotten when political
agendas change. Choosing which are the key issues to address and assets to develop to support the
city development amidst constraints and challenges is not easy and requires insight and capacity to
ask the right questions.
There cannot be accountability without concrete roles and targets and the resources needed to
realize them. Not setting these from the beginning creates confusion and lack of accountability that
makes goals unreachable.
Transformative projects require holistic thinking to overcome governance bottlenecks and

fragmented operations. Cities that promote a policy of integration and teamwork ensure that
urban development frameworks and sector policies are mutually supportive and that implementers
understand that. Designating a specific group with responsibilities for strategic thinking and
coordination, and institutionalizing inter-departmental cooperation and day-to-day work alignment
might require system and behaviour changes but will be more efficient.
A plan that is approved by a city council is a binding document. Determining whether the local
government has the ability to implement a plan or whether it will rely on agreements with other
levels of government or private partners is part of the necessary legal groundwork.
21
Calculate the plan capital

and running costs and
its impact on municipal
revenue
Obtain early support to

increase the likelihood of a
positive impact
Phase implementation
in terms of space and
resources
22
Introduction
A clear picture of the lifecycle costs should be a critical part of planning. However, long-term
costs associated with policy decisions are often overlooked, especially operation and maintenance
(O&M) costs which, in some cities, can be heavy financial burdens. Planning decisions and their
implementation will also impact on the revenue base, and sound management practices will need to
be introduced to be able to recover resources.
Cities that have reached out to stakeholders benefit from setting priorities that reflect real needs
and therefore increase the impact of investment. If stakeholders are on board from the beginning it
is less likely that proposals will be opposed later on. Broad support aligns a local agenda with that of
other levels of government and also enlists the private sector.
Taxpayers’ money should be managed carefully and used wisely. The same principle should apply to
plan implementation. How financially possible a plan is will dictate how the programme components
are phased and which of them will need to be funded by an external source. Evaluating results and
making necessary policy adjustments would enable effective scaling up.
23
How to choose the

urban pattern that can
best serve your city
The size of urban population growth in the next four decades,
especially in developing countries, will be massive. If a city leader
opts for not making decisions on urban development matters,
his or her city will lose a unique chance to grow sustainably.
Proactive responses from city leaders will have a positive impact
on a city’s livability and competitiveness over the long term.
Decision-makers that prepare for growth plan in advance and
at sufficient scale to create the conditions for a compact spatial
structure that is aligned with the city’s characteristics, creates
net benefits to the public at large and minimizes negative
externalities. Promoting a sensible use of land through density
policies would make these goals durable.
24
How to choose the urban pattern that can best serve your city
Amman, Jordan © UN-Habitat/Thomas Stellmach
25
Capture the advantages of

mixed-use, compact patterns
Key tasks in linking vision and

Shape a collective vision
spatial structure A strategic vision shapes a preferred future
for the city. Many of the issues affecting cities
1. Lead and facilitate the strategic vision
partially stem from the lack of comprehensive
process
strategic planning before making spatial
2. Engage all stakeholders decisions. Spatial planning is enriched if it is
3. Provide data on spatial assets linked with a vision for the future that is holistic
(environment, topography, and is legitimized if this vision is collectively
infrastructure, etc.) for the vision held. A successful vision has a spatial dimension
exercise that reflects a city’s unique cultural and physical
4. Document the preferred strategic traits; it provides direction for the activities of
vision all stakeholders, encourages them to work
5. Agree on the strategic goals to be cohesively and ensures everyone is working
achieved each year towards the same goal.
6. Develop an urban development
framework and budget to realize the
vision Make informed decisions
7. Allocate resources through the local on preferred urban spatial
government annual budget
8. Seek the commitment of stakeholders
structure
to develop their own plans to achieve
Intensification, extension, multiplication:
the vision
three policy options to accommodate growth.
9. Set indicators by which performance
To accommodate urban population growth,
is to be measured
cities can either increase their current carrying
10. Report back to the community. capacity, expand their boundaries, create a
spatial system with many new town centres,
or use a combination of all these approaches.
At constant population, if The choice is unique to each context and
Mexico City increased its will be informed by population growth
projections, land availability, topographic
density by 8 per cent from
characteristics, cultural aspects, and the city’s
its current average, it would ability to implement, including investment and
release an amount of land enforcement capacity.
twice as large as Central
Park in New York City.
26
Intensify the density of existing built-up

areas through infill development and setting
growth limits, which would need to be moved
outwards at regular intervals to prevent
land shortages. Intensifying density implies
regenerating brownfields and replacing existing
buildings with new ones that accommodate
more people. Consolidating built-up areas
needs regulations to preserve no-development
zones and to control a trend towards the
decline of density (of both people and
buildings).8 This approach may be adequate for
cities with strong enforcement capabilities and
where population growth is relatively stable. A
successful example is Portland’s Urban Growth
Boundary in the United States.
Extend the city at the fringes of the built-up

area. Cities growing faster than 1-2 per cent
per year need to ensure there is enough land to
accommodate people and this could be at least
twice the size of the existing land area.9 A city
extension would border the existing footprint,
and its infrastructure and transport systems
would be fully integrated with it. The extended
area may include urban services whose capacity
has been calculated to also serve residents living
in deprived districts in the existing city. Planning
an extension requires vision and commitment.
New York’s Manhattan Commissioners’ Plan
of 1811 in the United States is one far-sighted
extension plan.
Multiply nodes by building satellite towns

that might be associated with existing urban
masses. Although they would be physically
separated and at least partially independent
administratively, economically and socially,
satellite towns would be coordinated with
the central city to capitalize on synergies and
economies of scale. Satellite towns differ from
suburbs in that they have their own sources of
employment and services, which would also
prevent them from becoming dormitories. This
option is suitable for fast-growing, large cities.
The Comprehensive Plan of Shanghai 1999–
2020 in China features nine satellites towns that
absorb people who migrate from rural areas.
27
Promote mixed land use area by increasing the number of people on

the street.
Single-use of land can induce social • Economic benefits, increasing the business
fragmentation. Separating incompatible land potential of transactions and trade as co-
uses, such as polluting industries and housing, location of activities attracts more potential
is a rational decision. However, in the early customers during more hours of the day.
twentieth century, modern planning promoted This is reflected in increased income from
mono-functional use separating housing business taxes. Commercial uses in close
from workplaces and commercial and social proximity to residential areas are often
uses. Residential areas were also designed for reflected in higher property values, helping
homogeneous income groups. The negative raise local tax revenue.11
side of this policy is that it hinders the access to • Infrastructure benefits, reducing the overall
urban amenities of lower income groups and demand for commuter travel, shortening
different ethnic backgrounds, thus reducing average trip lengths and reducing car use
opportunities for civic interaction and social altogether. In addition to minimizing road
integration. This type of design has economic infrastructure requirements and reducing
opportunity costs because it precludes synergies the amount of land allocated for parking,
and mutual stimulation among productive mixed land use also provides a greater base
activities. Single-use, together with low- for using public transport and walking and
densities, encourages the use of individual biking.
mobility and erodes the viability of public
transport networks, further reinforcing the
exclusion of the less privileged. To support a mixed-use
city, at least 40 per cent of
Allowing compatible uses to co-exist brings
the floor area should be
several benefits. Mixed-use is not a new
approach. It is the raison d’être for urban allocated for economic uses.
agglomerations and was the norm in cities
before the car, prior to the advent of modern
Monofunctional zoning
planning practices. The term mixed-use
generally implies the co-existence of three or should be reduced to no
more significant revenue-producing uses.10 more than 10-15 per cent of
Removing zoning barriers to mixing compatible
uses could produce the following benefits :
the overall land.
• Social benefits, improving accessibility to
services and urban amenities for a broader
segment of the population, and increasing
housing options for diverse household
types. It enhances the perceived safety of an
28
Plan for compact patterns of land per capita and generates larger
per capita infrastructure installation and
Spatial patterns may be defined by density maintenance costs. This is because water
and land use policy. The combination of these and sewerage pipes and electricity lines
attributes can define three spatial patterns need to be extended over longer distances
with a number of others being largely a result to reach relatively fewer people. Services
of the combination of these two. A disperse such as waste collection, police and fire
pattern is generally low-density with single land protection require greater expenditures.
use; a fragmented pattern is made of patches Public transport may be unviable; dispersed
of single-use built up areas with large unused patterns depend on individual transport,
areas in between; a compact pattern is denser which requires public investment in
and land use is mixed. Spatial pattern choices roads that can be 30 per cent higher
determine the amount of land supply that the than compact patterns.12 Congestion
city would need to accommodate growth, has productivity costs stemming from
which is larger in dispersed patterns than in longer commuting times. Extensive land
land-intensive, compact ones. consumption often breaks up natural
• Dispersed patterns. Single-use, low-density habitats and may damage sensitive
patterns are commonly identified as urban ecosystems. Single-use policies may lead
sprawl. Sprawl was the prevalent choice to social fragmentation that are evident in
in developed, land-rich countries in the slums and gated communities co-existing
years following the Second World War; side by side.
it tends to consume significant amounts
Single-use, low density pattern in the suburbs of Brasilia, Brazil High density needs to be planned to prevent diseconomies of
© Pablo Vaggione overcrowding, Dhaka, Bangladesh © UN Photo/Kibae Park
29
• Fragmented patterns: a fragmented –– Lower infrastructure cost and

pattern is characterized by high density more efficient use of urban services,
areas which are single use and result in which means less expense for local
patches of mono functional, dense built up governments, residents and developers.
areas. Typically they are characterized by The cost of installation and maintenance
low cost residential estates in the outskirt for roads, water mains and sewerage
of cities, built separately from shopping lines per unit are lower, since there
and commercial centres, business and are more taxpayers in the area to pay
directional centres, industrial or recreational for them.13 It also reduces the cost of
areas. Gated communities add to the maintenance, particularly for transport
fragmentation. Large highways are the and waste collection.14 A compact
only viable connectivity between such areas pattern would increase the viability of
and result in high mobility costs. Interstitial local energy generation and distribution
spaces in higher income countries can be technologies, including smart grids and
maintained as parks and green areas, but district heating.
in developing countries they are focus –– Preserves land resources for
of informal residential developments by agriculture, green lands and water and
residents who cannot afford commuting energy provision as less land would
costs. The result is a segregated city, which need to be built up. Compact patterns
restricts different income groups from allow for a reduction in the amount
accessing its various areas. of land dedicated to conventional
• Compact patterns. A compact pattern parking.15
is land-intensive, with medium-high –– Lower cost of economic
densities, mixed-use land policies transactions, as proximity reduces
forming a continuous footprint where the cost of taking part in economic
growth is adjacent to consolidated areas. transactions. For example, when
Compact patterns are thought to improve a market is close to its customers,
accessibility, induce a more cost-effective transport costs are reduced.
use of infrastructure and urban services, –– Social integration leads to awareness
reduce erosion of natural resources, lower of different cultural and social groups
business costs and improve social equality. and thus has a social cohesion function.
Benefits of compact patterns include: In diverse areas, children benefit from
–– Better accessibility, reduces the need multicultural education, which may lead
to travel and trip distances, and thus to an increased capacity for learning
congestion and pollution; optimizes cost languages and different perspectives, all
of transporting goods and improves of which are key traits for employment
access to services. in a globalized world.
30
Make density a key variable
Anticipate urban land Land needs depend on density trends and

choices. Estimating the land needs is done
needs by using the average density combined with
population and housing trends (larger dwelling
Estimate realistic land requirements over and smaller families is a common trend). In the
a 30-year period. Depending on expected example presented (next page), Kisumu has a
population increase and population densities population density of 45 people per hectare
that want to be achieved, it is possible (similar to Los Angeles, although given that
to estimate the land that is needed to people live in much smaller dwellings, this is
accommodate growth. Land requirements achieved with much less floor space). Taking
comprise both built-up areas and un-built, into account the population growth rate, the
open space and are estimated for periods of size of the average family, the average desired
20 to 30 years in advance. For example, the size of the dwelling, it is possible to calculate
population in Bamako, Mali, is growing at 4.45 the amount of residential floor area needed.
per cent annually, which means that its current Adding to this the floor area needed for other
1.8 million people will grow to 6.3 million by activities (economic and services, which can
2030. At current density, the Bamako area will represent 40 per cent of the total floor area)
increase 3.5 times in the next 30 years. Un-built results in the total floor area needed.
areas generally account for 50 to 40 per cent of
the built-up area needs.16
Graph 1.1 Population growth curves for different annual growth rates
10
9
7,5
8
7
Annual growth rate (%)
7
Population (0’000)
6
6
5
4 5
3 4
3
2 2
1 1
0
0 5 10 15 20 25 30
Years
Source: UN-Habitat
31
Illustration 1.1 Estimating urban land needs in a model city
Floor Area = FAR

Population 1,000,000 Plot Area
Floor Area
Family size 5
Dwellings 200,000
Dwellings size 60m²
Residential Floor Area 12,000,000m²
Other Floor Area 10,000,000m²
Total Floor Area 22,000,000m² Plot Area Public Area
Scenario 1 Scenario 2
FAR 3.0 FAR 1.5

Plot Area 733 ha Plot Area 1,467 ha
Public Area 733 ha Public Area 1,467 ha
Total Area 1,467 ha Total Area 2,933 ha
Population Density 681,82 people/ha Population Density 340,91 people/ha
Residential Density 136 dwellings/ha Residential Density 68 dwellings/ha
8.35
Scenario 3
3.05
2.15
FAR 0.2
Plot Area 11,000 ha
14.6 km²
Public Area 11,000 ha
Total Area 22,000 ha 29.0 km²
Population Density 45,45 people/ha
220.0 km²
Residential Density 9 dwellings/ha
Source: UN-Habitat/Laura Petrella, Thomas Stellmach
32
Extending the urban limit is a key step in Once cities reach a certain population and
guiding future urban growth. Preparing for spatial size, agglomeration benefits may
growth means also identifying areas to direct decrease. The association between income and
urban growth towards and ensuring it steers city size becomes negative once a threshold
away from fragile areas and natural heritage population of around seven million people is
sites. Extension areas should be close to existing reached.17 This is because diseconomies of scale,
developed areas and infrastructure. Establishing such as excessive extension and congestion,
the limits of the new urban area and its key may outweigh agglomeration advantages.
features (street grid and basic infrastructure Studies show that a person’s tolerance level
location) will help to direct new developments for travelling is around one hour per day. This
as well as investments. Structuring such areas “travel-time” tolerance multiplied by the speed
by identifying the main grid is also crucial for of the mode of transport used determines an
efficient development. City limits need to be efficient spatial size.18 This may explain why
sufficiently flexible to be expanded if needed the size of cities remains one-hour wide, and
and the area sufficiently large to avoid land why cities may become dysfunctional beyond a
constraints. certain size. Cities with high density will be able
to grow larger in population but low-density
cities will reach their threshold sooner.
Low density expansion in Bamako, Mali Istanbul,Turkey is one of the world’s megacities
© Flickr/Johanne Veilleux © UN-Habitat/Thomas Stellmach
33
Density is city-specific. Cultural factors

and lifestyles have a significant influence on
Measuring density
acceptable density patterns. What is considered
Population density describes the number
to be high density in one culture might be low of people in a given area and is usually
for another. Spatial planning policies, such as expressed as the number of people
how much land is allocated to non-residential per hectare (p/ha) or dwelling units per
functions and open spaces, plot sizes, building hectare (du/ha). It can also be expressed in
types and the number of household members, other area units such as square kilometers
all determine density. Detailed data - on a or acres.
neighbourhood scale - will help set density Gross density measures the population or
parameters that can accommodate growth dwelling units in the entire urban area,
including non-residential uses such as
and are appropriate for the culture and cost-
roads, parks and airports.
effective.
Net density measures the population or
the number of dwelling units over the
area allocated for residential use only.
Density in a city is not constant and the
average might be different from the
density in a particular district or area. For
example, the average gross density of
New York City in the United States is 32
p/ha, but in Manhattan – a New York City
borough– it is around 215 p/ha.
Growth management, Germany Shanghai Anting New Town, China

© Flickr/La Citta Vita © Frank P. Palmer
34
URBAN PLANNING FOR CITY LEADERS
The per capita costs of most urban services in turn, creates distrust in the municipality’s
increase if the density is low.19 A higher capacity to service the city. And if services are
population density reduces both the capital and provided, they need to be heavily subsidized.
operating costs of solid waste collection and
disposal services, water supply, sanitation, and
police and fire services. The per capita, capital,
In Toronto, Canada,
operating and maintenance costs of shared 152 p/ha would mean
infrastructure in metropolitan areas fall as 40 per cent less total
density increases because distribution networks
are more compact and the costs are distributed
infrastructure costs than
over a larger number of users.20 This makes it areas where there is a
easier to recover costs and ensure maintenance. density pattern of 66 p/ha.21
Low density in poor countries often means
that no services can be provided at all and this,
Table 1.1 Population density in selected cities
Built up area Density

Rank City / Urban area Country Population
(in sqKm) (people per ha)
1 Dhaka Bangladesh 9,196,964 165.63 555.30
2 Hong Kong China 5,179,089 97.63 530.50
3 Mumbai India 16,161,758 370.90 435.70
4 Saidpur Bangladesh 233,478 7.59 307.40
5 Rajshahi Bangladesh 599,525 20.26 295.90
6 Milano Italy 3,708,980 635.17 273.80
7 Casablanca Morocco 3,004,505 114.31 262.80
8 Cairo Egypt 13,083,621 569.17 229.90
9 Baku Azerbaijan 2,067,017 90.15 229.30
10 Addis Ababa Ethiopia 2,510,904 118.65 211.60
11 Seoul Korea, Republic of 14,546,082 706.14 206.00
12 Ho Chi Minh City Vietnam 4,309,449 210.33 204.90
13 Singapore Singapore 4,3097,97 245.24 175.70
14 Mexico City Mexico 17,224,096 1058.53 162.70
15 Santiago Chile 5,337,512 438.51 121.70
16 Bangkok Thailand 9,761,697 1025.93 95.10
17 Kigali Rwanda 354,273 45.02 78.70
18 Beijing China 11,866,211 1576.38 75.30
19 Paris France 9,519,527 1482.08 64.20
20 Los Angeles United States 13,218,754 3850.89 34.30
Source: Lincoln Institute
35
Implications of low-density patterns Implications of high-density patterns
Some of the high costs associated with High-density helps to reach economies
low-density urban spatial structures are of scale both in trunk infrastructure
generated by traffic congestion, noise and in treatment plants such as those
pollution and traffic-related accidents. that treat sewage. The lower costs per
A larger extent of urbanized land also household can be passed on to residents
results in a loss of agricultural, recreational and the smaller debt load helps fiscal
and natural lands. As density decreases, stability. Higher density can enable a
per capita electricity demand tends to city to introduce district heating and
increase.22 For example, energy consumed cooling systems because they service
for transport needs in an urban area more customers.24 Also, as higher-density
with less than 25 p/ha may be an annual building development yields higher
average of 55,000 mega joules per taxes 25, such a pattern would enable
person, but in an area with 100 p/ha this service investment capacity. As property
figure would be about 300 per cent less.23 values are generally greatest in high-
density areas, their contributions to public
revenue through property taxes may
enable density to pay off the actual costs
that it generates. 26
Low density pattern in Nouakchott, Mauritania High density in Hunchun city in China
© UN-Habitat © UN-Habitat/Alessandro Scotti
36
Mexico City New York City Sao Paulo Paris Hong Kong Barcelona Los Angeles Atlanta
Average density
Source: Author, various sources
Source: Author, various sources

>200 p/ha: walking and biking
>90 p/ha: light rail viable
>30 p/ha: bus servicesbus service viable
<20 p/ha: car dependant pattern
600
500
400
300
200
100
p/ha
Illustration 1.2 Density and streetscapes
Density in selected city areas
Hong Kong Paris Barcelona New York City Sao Paulo Los Angeles Mexico City Atlanta
Wanchai Bastille Ensanche Manhattan Leste MidWilshire Cuauhtemoc North East
37
Urban densities are decreasing globally. The intensive use of infrastructure in

Urban densities tend to decrease with high densities may increase the cost of
population growth – ease of transport, the maintenance.28 Research in 247 large counties
low cost of fuel and the comparatively high in the United States of around 30 p/ha found
economic productivity of urban land uses have that public spending first declines as density
resulted in a fast transformation of agricultural increases but then can increase sharply, leading
or natural land into urban land. Low density to average costs of public service provision that
urban sprawl is associated with increasing exceed the minimum by as much as 43 per cent
pressure on resources, degradation of farmland, in very dense counties.29
lack of services and high commuting needs.
Increased fuel prices, as well as increased A study in the United
interest in agriculture production following
recent food price hikes, may impact on this States shows that water
trend. As cities will have to accommodate and sewerage systems
growing population in the future, maintaining
in extreme density areas
an optimal density will be a key challenge which
will require deliberate policies. would increase the nominal
installation costs by 20 per
In areas with extremely high densities, the
cent when compared to low
high cost of land may increase the cost of
infrastructure installation. This may suggest density areas.30
that beyond a given threshold, the benefits
of higher density become less significant and
disadvantages of overcrowding may emerge.
Urban services may be less economical
when density rises beyond the infrastructure
capacity.27 In addition to health problems,
extreme density might lead to congestion
and pollution, and, without planning, a loss
of green space and vegetation. If urban
growth is not planned in advance, it can be
extremely expensive to secure space for new
infrastructure. Plans that intensify the density
of existing areas need to foresee an increase
in infrastructure capacity and its associated
maintenance costs.
38
Cape Town Densification Strategy
In Cape Town, South Africa, densification is viewed as a necessary step to promote the long-
term sustainability of the city’s valuable natural, urban and rural environment. Integrated,
higher-density development is motivated for:
• Small businesses dependent on vibrant markets;
• Supporting a range of social services and facilities;
• Cheaper provision per building unit of bulk services such as water, sewerage and
electricity;
• Integrating public transport with other forms (walking, cycling); and
• Integrated land uses – ranging from directly mixed uses to reasonable spatial proximity of
different uses.
The Provincial Spatial Development Framework prepared in 2005 supports the increase of the
average gross density from 10 – 13 dwelling units/ hectare to 25 du/ha. Considering Cape
Town’s average of 3.8 – 4 people per household, the target density would be about 100 p/
ha. The Cape Town Densification Strategy identifies the following generic ways to increase
density:
Original Subdivision Consolidation
3F
1F
Plot subdivision or consolidation Existing New built
The strategy indicates that density increase needs to be guided by:

Land use: areas with mixed-use (including different types of residential development) are
best suited as locations for higher densities. Higher-density residential development is not
particularly appropriate in predominantly industrial areas.
Built and heritage factors: higher-density needs to ensure scale, height and design fit with
the existing fabric, especially if the area is of a valuable built character.
Infrastructure: the capacity to accommodate larger flows of traffic with the provision of
upgraded public transport according to an impact assessment; the capacity of the existing
infrastructure and services to accommodate increased demands.
Socioeconomic factors: ensuring compatibility with the surrounding local community
preventing negative social and environmental impacts.
Natural environment: higher-density development in scenic and sensitive landscapes should
be adjusted so as to not negatively impact on the surrounding natural environment.
39
Define and enhance public space
Secure sufficient public Plan a system of public

space in advance spaces
Urban plans define the separation between Public space is a vital component of a
public and private space. This key action successful city. Well designed and managed
has a lasting impact and cannot be easily public spaces are a key asset for a city and have
changed. Creating public space in an already a positive impact on its economy. Investment
developed area requires complex expropriation in public space contributes to improved health
programmes which can be expensive. Planning and well-being; it reduces the impact of climate
for public space ahead of urban growth may change; encourages people to walk and cycle;
achieve at least similar results but at a fraction increases safety and reduces fear of crime. It can
of the cost. A clear delimitation of public and improve residential neighbourhoods, safeguard
private space can address encroachment issues property values, be more attractive to tourists
and occupation of street spaces. and increase retail activity. For example, business
turnover in a London high street location
Public space is important for the creation of increased by between 5 and 15 per cent
private value. It is the existence of public space following investment in a nearby public space;
that ensures accessibility to plots and buildings, a 1 per cent increase in green space can lead to
and supports mobility. It is in public space that an increase of between 0.3 and 0.5 per cent in
basic service networks can be located, including average house prices.31
drainage, sewerage, water supply pipes and
electricity poles. Without public space, it would
be impossible to introduce new infrastructure
such as communication cables, private property
would not function and insufficient public space
will stifle the possibility of private investment.
A ratio of 50% of public

space is common in
successful cities. Manhattan,
Barcelona and Brussels
have upto 35% of city area
allocated to street space and
an additional 15% for other
Good quality public space in dense urban setting in
public uses. Beirut, Lebanon © UN-Habitat/Thomas Stellmach
40
Reap the benefits of well- Streets are the most important type of public
space. The share of street space of the total
designed streets urban land is a key determinant of the success
and effectiveness of urban development.
Streets are the heart of a city. They mould Cities that do not have sufficient public space
the urban form and carry the public utilities are slower to transform and more difficult to
that a city needs to function; they are the modernize. Many of the successful restructuring
heart of the urban public area and are a key processes have mainly focused on delivering
factor in the quality of life of a city. They a new public space structure. Cities with high
enable people to move and communicate and densities are particularly in need of public
they are the setting for businesses and the and street space to provide sufficient space
exchange of services and goods. Well-planned for circulation, interaction and the laying of
streets can become the symbol of a city. The infrastructure.
Champs-Elysées in Paris (France), Las Ramblas in
Barcelona (Spain) and Nanjing Road in Shanghai
(China) are streets that are famous all over the
world.
Table 1.2 Street Density
Country Cities Source Land Area Street Street total Street density % of land
(km2) area (km2) length (km) (km/(km2)) allocated to
street
Kenya Nairobi a 696 48 4984 7.3 7
Philippines Manila a 38.5 4 491 12.8 10
India Mumbai a 468 47 1941 13.7 10
Senegal Dakar b 289 28 3623 12.5 10
Egypt Cairo a 453 50 4983 11.0 11
Belgium Brussels b 139 35 2802 20.2 25
Spain Barcelona b 98.58 30 33
United States of America Manhattan a 59 21 2057 34.9 36
Notes:
Street density is measured as the total length of linear kilometers of streets per one square kilometer of land.
% Land allocated to streets is the total land area covered by streets as a percentage of the total land area.
Source:
a) United Nations Human Settlements Programme (UN-Habitat), Global Urban Indicators Database 2012.
b) United Nations Human Settlements Programme (UN-Habitat), Global Urban Indicators Database 2013
forthcoming publication.
41
Improving the quality of streets brings

What makes a high-quality street? economic and environmental benefits.
• pavements wide enough to • Research in London shows that an
accommodate all users, with potential achievable improvement in street design can
obstructions placed out of the way add an average of 5.2 per cent to residential
• enough crossing points, in the right prices on high streets and an average of 4.9
places per cent to retail rents.34
• traffic levels that are not excessive • In environmental terms, a 10 per cent
• public spaces along the street improvement in a street’s walking quality
• good lighting could yield a reduction of 15 kg of CO2
• signage, landmarks and good per household per year as reliance on cars
sightlines would be reduced.35
• sense of security • “Improvements” are things like wider
• high standards of maintenance pavements, better street lighting, less
• smooth, clean, well-drained surfaces distance between lights, more planted areas
• no litter, graffiti or signs of anti-social and shade. Also, pedestrian-friendly block
behaviour
lengths, differences in use, and level ground
encourage walking.
Source: CABE (2007) Paved with gold: the
real value of good street design. Available:
http://webarchive.nationalarchives.gov.
uk/20110118095356/http:/www.cabe.org.uk/
files/paved-with-gold-summary.pdf Accessed 5
June 2012.
Street networks guide development. Because

25 to 35 per cent of a city’s developed land is
likely to be dedicated to road infrastructure,32
street grids should be an important part of
spatial planning. When planning extensions,
the arterial and street grids are highly effective
in guiding growth. A planned grid with arterial
roads spaced no more than one kilometre
apart gives access to public transport within a
10 minute walk,33 and a smaller grid of streets
ensures that block size is human-scale. Long
and continuous streets without breaks and
cul-de-sacs ease traffic and facilitate the flow of Planned green system in Berlin, Germany
public transport systems. © UN-Habitat/Alain Grimard
42
Plan green public spaces Greening schemes bring significant pay offs.
Increasing tree cover in some cities by 10 per
Green areas contribute to improved cent can reduce the energy used for heating
environmental conditions by increasing air and cooling by up to 10 per cent.36 Proximity
quality, reducing the heat island effect, and to green open space tends to increase property
sequestrating carbon. Air pollution is reduced values by 3 per cent.37 A study in New York City
when dust and smoke particles, especially from in the United States calculated the monetary
vehicle exhausts, are trapped by trees and value of the city’s five million trees based on
vegetation. Trees can influence the degree of estimations of the trees’ impact on property
solar radiation, air movement, humidity and values, the amount of carbon dioxide they
air temperature and they provide protection removed from the air and the amount of energy
from heavy rains. Vegetation in dense urban their shade conserved. It concluded that for
areas can reduce the urban heat island effect every dollar spent on trees the benefits for each
produced by the concentration of pavements resident could be quantified at USD 5.60.38
and concrete. Budgeting for greening schemes in other
sectors, such as water treatment, highway
construction, flood-plain protection and
business and industrial zones, can increase their
feasibility. Securing resources for green schemes
requires coordination across departments,
engaging private developers and stimulating
citizens and local businesses to participate in the
upkeep of the area.
Nine square metres is

the minimum amount of
green space per capita
recommended by the World
Health Organization, which
recommends all residents
live within a 15-minute walk
of a green space.
Green areas improve environmental conditions and property
values, Port-of-Spain, Trinidad © UN-Habitat/Alain Grimard
43
From motorway to public space

Cheonggyecheon, Seoul
River Cheonggyecheon, Seoul Korea © John Dolci
Cheonggyecheon is a river that runs for 5.8 kilometres through the heart
of Seoul in South Korea. In the 1950s, a significant flow of immigrants
resulted in the encroachment of informal settlements along the sides of the
river. Used as a sewer, it became seriously polluted and prone to flooding.
In 1958, the river was covered with concrete and, in the early 1970s, a
16 metre-wide elevated motorway was built over it. All makeshift houses
along Cheonggyecheon were demolished. At the time, this intervention
was considered to be an example of the successful industrialization
and modernization of South Korea. By the late 1980s, however, the
congested motorway came to be seen as the cause of poor air quality and
environmental degradation. Furthermore, Cheonggyecheon acted as an
urban fault line separating the dynamic area to the south of the motorway
from the lagging and less competitive north.
In 2003, led by Lee Myung-Bak, Seoul’s mayor at the time and now South
Korea’s president, the metropolitan government decided to remove the
motorway and restore the river. The Cheonggyecheon urban renewal
project was seen as an opportunity to address environmental, mobility,
public space and economic development issues at the same time.
44
Solution
The authorities believed that removing a source of congestion, pollution and environmental distress
in the heart of Seoul and providing space for economic activity with a node for business, finance
and other service industries would change the trend of declining land values in the Central Business
District.
Cleaning the water needed the construction of pumping stations to bring water from the Han River,
as the Cheonggyecheon was nearly dry. To address the lack of public space, the project created a
linear park that covers about 400 ha, almost three times the size of Hyde Park in London, England.
Pedestrian path networks were built to connect both sides of the river with nearby cultural facilities.
The Gwanggyo and Supyogyo historical bridges were restored and traditional cultural activities, such
as the lantern festival and bridge stepping on Supyogyo bridge, are being revived. The project began
in July 2003 and was completed in October 2005 at a cost of USD 367 million. Estimations are that
it will deliver USD 3,500 million worth of social benefits.
The Seoul Metropolitan Government established several organizations with clear missions and
defined accountability. These included the Cheonggyecheon Restoration Project Headquarters for
overall project management and coordination; Cheonggyecheon Restoration Research Corps for
the preparation of the urban renewal plan; and the Citizen’s Committee for Cheonggyecheon
Restoration Project for conflict resolution between the Seoul Metropolitan Government and
local business associations, which addresseds issues of displacement of small scale business and
gentrification. To address traffic issues during construction, the Cheonggyecheon Restoration Project
Headquarters established special traffic flow measures in affected areas and coordinated changes in
the traffic system based on recommendations by the office in charge of urban renewal.
Results
Today, Cheonggyecheon is a busy public recreation space, popular with both residents and tourists.
In the three years after completion it was visited by 70 million people. The number of businesses
and job opportunities in the area of the Cheonggyecheon corridor has increased and property prices
have also increased at double the rates found elsewhere in the city.
Mobility around Seoul has improved with about 170,000 less car trips each day; a 4.3 per cent and
a 1.4 per cent increase in subway and bus users respectively; and the creation of pedestrian routes.
Despite initial fears of traffic disruption, the overall vehicle speed in central Seoul measured in 2008
had slightly improved compared to 2002, the year before the motorway was demolished.
Air quality has improved as shown in the reduction of small particles in the air from 74 to 48
micrograms per cubic metre. Temperatures in the area have decreased by up to 5ºC due to reduced
traffic, the proximity of cool water, and there has been a 50 per cent increase in average wind
speeds following the removal of the motorway. This helps to maximize energy consumption. The
river contributes to Seoul’s improved resilience because the open river is better able to cope with
flooding than buried sewers. The improvement of environmental conditions has resulted in a
significant increase in the total number of species including vegetation, fish and birds, from under
100 to almost 800.
Cheonggyecheon is a catalyst for the broader revitalization of central Seoul, which has benefited
from the removal of the gap between areas south and north of the river. The acclaimed public space
has become a destination for recreational and cultural activities and the upliftment of the area has
created a desirable location for economic activities.
45
How to improve
access and avoid
congestion
People’s ability to move to and from their homes to their
workplace, shops, schools, and health centres is essential for
a city’s good performance. Accessibility - the ease of reaching
these places - affects household income and housing location
decisions; improving accessibility starts with acknowledging
that the goal is to facilitate the movement of people, not
cars. By combining spatial planning and transport policies,
local governments would reduce people’s need to travel;
improve travel conditions with affordable and efficient public
transport options; and manage supply and demand traffic to
curb congestion, which is a major barrier to productivity and a
headache for residents.
46
How to improve access and avoid congestion
Tetouan, Morocco © UN-Habitat/Alessandro Scotti
47
Reduce the need to travel through

proximity
Link land use and transport 35-40 p/ha; an intermediate bus service is viable
with a density of 50 p/ha;40 light rail transit
planning would be viable in areas with a density of 90-
120 p/ha.41 The distance from origin is a key
Spatial and transport planning are strongly determinant of travel demand with one study
linked. A city’s spatial pattern is enabled by in the United Kingdom estimating that with a
transport, and the development of transport density of 150 p/ha, more than 80 per cent of
networks shapes cities over the long term. people could walk or cycle to services.42
Investment in transport will have higher
impact if it is linked to spatial planning from Linking job location and transport needs
the start. For example, intermodal stations are increases land efficiency. Parking needs are
focal points for property development and high if economic activity is not clustered around
economic activity; they increase demand for nodes and development corridors;44 parking
public transport and reduce land consumption. space also prevents land in premium locations
Locating people near transport nodes is a being used for more economically productive
good planning decision and similarly it is good activities. In the United States, in central
to locate people near activities. Both have a Houston land used for parking is more than 50
positive impact on urban transport. A critical per cent of the land area,45 and in Atlanta, only
mass of users (for example, above 50 p/ha) is 1 per cent of the jobs created between 1990
vital to achieve economies of scale for public and 1998 were within 800 metres of a transport
transport services. Mixed-use land policies can node while 77 per cent of the jobs were outside
reduce the distance between residential and the transport network.46
employment areas which lessens dependency
on cars and travel demand altogether.
Spatial patterns influence travel demand.

Dispersed patterns induce one trip per task (for
example to the office or supermarket), whereas
with a compact spatial pattern several tasks are
possible in a single trip. Density and mixed-use
around public transport stops will increase use
and, hence, system viability. For example, in
China, central Hong Kong’s high density results
in 85 per cent of all trips being made on public
transport39 but in areas with density below 35
p/ha, trips on public transport are only 10 per
cent of the total. Different densities support
different service levels of public transport: a
In Central Hong Kong, 85 per cent of all trips are made on
basic bus service needs a density of around public transport, Hong Kong, China © Foter
48
Graph 2.1 Daily Trips vs Population Density (USA,1990)
3
Daily trips / Person
2 Car
0
Walk / bike
Public transport
0 38 77 115 154 193 231

Persons / Hectare
Source: Dunphy RT and Fisher K (1996)
Source: Dunphy RT and Fisher K (1996) 43
Parking lots in Atlanta, USA A mixed-use development with public space near a transport
© Daniel Goldin node in Walnut Creek, California © Sam Newberg
49
Use spatial planning to modal, high-speed freight corridor that brings

together nine industrial zones, three ports and
reduce need to travel six airports over six Indian states.51
A compact pattern adjacent to a public Illustration 2.1 Transit Oriented Development

transport node has many benefits. Nodes
bring together public space and health,
shopping and community facilities. Most
dwellings would be located within 800 metres
of the transport node; streets are designed
for walking and cycling, with traffic calming
features, bike lanes and carefully designed
pavements. Parking is minimized. Transit
Oriented Developments (TODs) have an average
density of about 60 p/ha and above, and
combine office, retail and housing uses. The
use mix varies with location. TODs increase
public transport use, improve access to jobs
and reduce commuter times per household
worker.47 A TOD can reduce car use per capita
by half and save households around 20 per cent
of their income since they would cut car-related
expenditures.48
Corridors extend development along the axes

Public transport node
between public transportation nodes. Higher
Commercial and high density residential
densities along corridors increase the feasibility
Office and retail core
of a public transport system. Rail in particular
High density residential
has a density-inducing effect around stations
Residential
that can be leveraged to connect dispersed
Public facilities
people. In Atlanta, BeltLine is a proposed 35
Green areas
km, rail-based development corridor that
would generate 5,600 units of affordable
housing and 526 ha of new parks.49 Regional Source: Calthorpe, 1993
urban corridors are experiencing fast urban
transformation.50 For example, India’s Delhi
Mumbai Industrial Corridor is a 150 km wide,
1,500 km long corridor served by a multi-
50
Plan a well-connected
street grid
A well connected grid supports public
transport and decreases congestion. In the
extension of urban areas, plans need to create a Assessing street connectivity
grid of streets with arterial and secondary roads
UN-Habitat’s Composite Street
that are well connected through intersections.
Connectivity Index (CSCI) allows one
Arteries are usually planned approximately to assess a street network in terms
one kilometre apart from each other and of mobility for all users, to anticipate
local streets provide links between them. An response to traffic congestion and to
arterial road every 1 to 1.5 km is considered improve conditions for walking and
viable, while local streets provide links between cycling. It has been tested in various cities
them. The grid should connect origins and both in the developed and developing
destinations with multiple alternative routes, world and represents an effective
measurement tool based on geo-spatial
avoiding dead-ends. Intersections every 100
information.
metres make a more minute grid that is friendly
Source: UN-HABITAT, Global Urban
to pedestrians as well. In built up areas, projects
Observatory, 2012. Street Connectivity,
that work to increase connectivity are able Promoting Street for all users, 2013
to reduce congestion and also increase the forthcoming publication
economic vibrancy of the area. This expansion
and rationalization of the urban public space
to support mobility, accessibility and the
development of vibrant streets is one of the key
interventions in new and existing urban areas.
Building wider roads is not the solution to

congestion. Actually, building wider roads may
create more congestion.52 When road space
for cars is reduced, traffic shrinks because
drivers change their routines, as a study in over
100 locations in Canada, Australia and Japan
showed. These locations had a 14-25 per cent
traffic decrease following road space reduction
and, where accompanying schemes made public
transport more attractive, people were more
likely to use it.53 Building wider roads may create more congestion.
Traffic jam in San Francisco © Young man Blog
51
Good intersections rather than width make that give priority to pedestrians and cyclists, and
the road grid efficient. In the extension are safe and friendly, help to create a unified
of urban areas, plans need to create a grid neighbourhood.
of roads with arterial and secondary roads
well connected through intersections. Most Traffic calming is a cost-effective way
congestion on arteries is caused by limited to upgrade a streetscape. Streets can be
traffic flow at intersections rather than the redesigned to slow traffic flow with the
dimensions of the local street sections.54 Good use of roundabouts, speed humps, curb
connectivity is ensured when there are frequent extensions, raised intersections and narrowing.
intersections and multiple routes to get from The streetscape is improved by installing
point A to point B. Cul-de-sacs, T-junctions street furniture, widening pavements and
and the privatization of public roads (often for planting trees. Benefits include an increased
security reasons) all contribute to congestion attractiveness of neighbourhoods, easier
and to reduced mobility. social interaction, increased safety, less noise
and pollution, and reduced heat island effect.
Street design improves neighbourhood’s Traffic calming measures can be used on streets
social qualities. A human-friendly scale is not a and also arteries, for example by reducing the
traffic flow impediment, but an excessive road number of lanes. In New York City, the redesign
width can create a barrier. For example, local of Broadway has reclaimed space from the car,
streets wider than two lanes tend to discourage enlarged pavements and introduced cycle lanes.
people from crossing and one study found that The celebrated new public space has more
residents of streets with light traffic had, on human traffic and fewer cyclist and pedestrian
average, twice as many acquaintances as the injuries, while traffic conditions have slightly
people on streets with heavy traffic.55 Streets improved.
Street redesign at Tyson’s corner, Fair County, Virginia

© Gerrit Knapp
52
Car-free zones are dynamic and attractive

urban areas if public transport is accessible and
there is an adequate land use mix and density.
Car-free zones can also operate on a temporary
basis, providing a good setting for markets. Examples of successful pedestrian
Initiatives to limit car access are often received areas
negatively by commerce and other businesses,
however, they have been proved to increase When most of Nuremberg’s (Germany)
commercial revenue and property values. city centre was pedestrianized in the
late 1980s, traffic not only decreased
markedly in that area but it also
According to Braess’ decreased by approximately 5 per cent
Paradox, adding extra city-wide.57 The 3rd Street Promenade
in Santa Monica in Los Angeles in
capacity to a network where the United States is a successful
the moving entities selfishly pedestrian area in a car-centric city.
With a population of 156,000, Old Fes
choose their route can, in (Morocco) may be the world’s most
some cases, reduce overall populated completely car-free zone,
showing that pedestrian zones can be
performance.56 fully functional urban districts.
Old Fes is a densely populated and economically vibrant Times Square in New York City, USA, has been recently
car-free zone © Manfred Schweda pedestrianized © Silke Schilling
53
Prioritize public transport modes
Understand the and other pollutants, as well as from the

sedentary lifestyles they create. A city with more
implications of transport cars is prone to more accidents, which generate
options economic and human costs. Cars can also
induce loss of street life and community.
In many countries, car ownership is only
affordable for a few. In Nairobi (Kenya), there
are two million inhabitants but only 300,000
The cost of congestion
cars are registered (1 for every 7 inhabitants).
Congestion accounts for significant
Without an effective and affordable public percentages of the gross domestic
transport system, most of the population cannot product in many major cities (for example,
easily commute or has to spend a large portion Buenos Aires in Argentina 3.4; Mexico
of income on transport. Favouring private car City in Mexico 2.6). About 90 per cent
owners in transport planning decisions, such as of the cost comes from the value of the
imposing limitations on collective transport or time lost by drivers, 7 per cent from the
fuel consumed and 3 per cent from gas
not providing adequate commuter stations etc,
emissions.58 In addition to stress and
increases inequalities and poverty. physical and mental fatigue, congestion
causes significant numbers of early deaths
Trends in private car ownership are likely from respiratory illnesses; it also degrades
to put additional strain on a city transport green areas which, in turn, diminishes
system. In many countries, private car their carbon sequestration properties.
ownership is growing exponentially due to
population growth and improved economic
conditions. Without adequate public transport
systems in place, and good planning choices
that increase connectivity and proximity,
congestion, pollution and energy consumption
will also increase exponentially.
Relying on cars as the main form of transport

has several negative side effects. Cars offer
the convenience of individual choice but this
advantage is traded for much more land being
used for road space and parking. Cars’ land
consumption and infrastructure costs can be a
significant part of a city’s budget and this cost
is heavily subsidized by both drivers and non-
drivers. Car-centric cities have higher congestion Congestion is a serious threat to air quality
and public health costs from emissions, smog in Mexico City © Fidel Gonzalez
54
Public transport can get large numbers of capacity. Light rails and metro systems require
people to their destinations efficiently. It is higher infrastructure investment but are very
space efficient in terms of area per traveller, reliable and have a high capacity. Rail transport
which can free significant amounts of land induces more intensive land development
in prime locations that would otherwise be around nodes and is emissions free if running
allocated for parking. Buses are adaptive to the on electricity. After the pioneering experiences
spatial structure and require low investment of Curitiba (Brazil) and Bogota (Colombia), BRT
in infrastructure; however they are generally systems have been implemented in hundreds
slower than cars. This can be addressed by of cities around the world and adapted to local
Bus Rapid Transit (BRT) that runs on semi- circumstances on all continents.
exclusive lanes and has a higher passenger
Graph 2.2 BRT Peak Loads (2009)
TransMilenio 43,000
Bogota
Transantiago 22,000
Santiago, Chile
São Paulo 20,000 (2006)
RIT 13,000
Curitiba
Metrobus-Q, 12,000 (2006)
Quito
Metrobus 9,000
Mexico City
BRT 1 8,000
Beijing
Metrovía 6,500
Guayaquil
TransJakarta 3,600
Jakarta
Janmarg 1,780
Ahmedabad
0 10,000 20,000 30,000 40,000 50,000

Passengers per hour per direction
Source:EMBARQ/World
Source: EMBARQ / WorldResources
ResourcesInstitute
Institute
55
Walking and cycling supplement public can benefit from specially designated lanes or
transport networks. Walking is extremely cost- widened pavements that are safe for them, and
effective and, providing that pollution levels are from parking bays that prevent theft. Bicycle
acceptable, has positive effects on health. A sharing schemes have been successful in many
comfortable distance from home for everyday cities; in Paris (France), for example, the Velib
trips is about 800 metres;59 for services, such system is used by up to 150,000 people daily
as banks and shops, a maximum distance of 2 with the range for bicycle trips up to 25 km.
km is the ideal in good urban design.60 Cyclists
Table 2.1 Public transport modes

Investment Capacity Speed Travel time Environmental
requirements reliability impact
Bus Low Medium Low Low High
BRT Medium High High High Medium
Light rail High High High High Very low
Metro Very high Very high Very high Very high Very low
Source: Author
The Velib bike sharing scheme in Paris, France, is highly Bus Rapid Transit in Bogota, Colombia
successful © PPS © Flickr/EMBARQ Brasil
56
Prioritize public transport the type of transport which will get them to
their destination the quickest at a reasonable
by spatial planning price. Travel time depends on the type of right-
of way (RoW) that public transport runs on. (A
Spatial planning determines public transport RoW is a strip of land that is reserved in spatial
speed. Speed, reliability and convenient plans for transport.) The higher the standard,
operating hours are key success factors for the better the performance and the greater the
public transport systems. Travellers will choose associated costs.
Table 2.2 Capacity and infrastructure costs of different transport systems.
Transport infrastructure Capacity (pers/h/d) Capital costs (USD/km) Capital costs / capacity
Dual-lane highway 2,000 10m - 20m 5,000 - 10,000
Urban street (car use only) 800 2m - 5m 2,500 - 7,000
Bike path (2m) 3,500 100,000 30
Pedestrian walkway/pavement (2m) 4,500 100,000 20
Commuter Rail 20,000 - 40,000 40m - 80m 2,000
Metro Rail 20,000 - 70,000 40m - 350m 2,000 - 5,000
Light Rail 10,000 - 30,000 10m - 25m 800 - 1,000
Bus Rapid Transit 5,000 - 40,000 1m - 10m 200 - 250
Bus Lane 10,000 1m - 5m 300 - 500
Source: Rode and Gipp (2001), VTPI (2009), Wright (2002), Brillon (1994), UNEP 61
A privately run bus in Dakar, Senegal An elevated train running on an exclusive right of way in
© UN-Habitat/Laura Petrella Seoul, Korea © UN-Photo/Kibae Park
57
Table 2.3 Vehicular Rights of Way
RoW Category Separation from Crossings Cost Speed Example

other modes
Exclusive Fully separated Fully separated High High Metro, elevated rail
Semi-exclusive Partially separated At grade Medium Medium BRT, light rail
Street running Mixed with general At grade Low Slower than private Bus
traffic cars
Source: Vuchic 62, Walker
Proximity and convenient transfers are intermodal stations and the station building
essential. A convenient distance from origin itself are prime sites for mixed-use commercial,
to transport station would be less than 800 office and residential developments that can
metres. Seamless continuity between modes can make the station’s construction cost viable.
be achieved by intermodal stations that connect Intermodal stations can also be focal points for
various types of transport and main routes with both formal and informal businesses and, to
feeder services. Transport intersections generate prevent road bottlenecks and service delays,
areas of economic activity and high property stations need to have space for informal trade.
development potential. The surroundings of
Urban cog railway being loaded with bicycles in Pedestrian, bicycle and metro interchange, Barcelona, Spain
Stuttgart, Germany © City of Stuttgart © UN-Habitat
58
Promote affordability and Integrating informal transport operators can

benefit the formal system. Informal operators
the integration of informal provide an important service that is often
networks well adapted to local conditions. They deliver
affordable services in instances where scarce
Public transport is frequently subsidized to municipal resources have led to a deteriorating
make it affordable. Public transport prices service and higher fares. Informal fleets reach
are variable: as price increases, the demand outlying residences in sprawling areas. Efforts
decreases. To keep demand high and allow the should be made to interlink them as well as
poor to use public transport, various forms of possible with the formal systems; for example,
subsidies can be used. Subsidizing the operating informal networks can work as feeder systems
costs or the fares are the two most common for BRT or metro lines if they are integrated
approaches. Direct transfers to the users are into overall transport plans. Because transfer
even more effective as a pro poor policy. In nodes create places for informal trade markets,
Chile, rather than getting subsidized fares, station areas need to be designed with suitable,
40 per cent of the population benefited from demarcated space for loading and unloading to
compensation paid to them directly after the reduce traffic bottlenecks. Rather than banning
2004 oil price increase. In Los Angeles in the informal operators, local governments can set
United States, subsidies cover between 50 per incentives and regulations that capture the
cent and 80 per cent of average operating costs benefits they may bring while mitigating negative
for buses and rail respectively.63 factors, such as road safety and pollution.
Subsidized bus line in Chile Regulated moto-taxi in Kigali, Rwanda

© La Tejuela © UN-Habitat/Thomas Stellmach
59
Direct demand to efficient transport

options
Manage car demand Optimize the efficiency

Road pricing, parking management and
of existing infrastructure
circulation policies reduce car demand. Road through management
pricing policies have been implemented in
Singapore, London (England) and Stockholm Traffic operations can improve the supply
(Sweden) where drivers pay to enter the side. For example, reversible commuter lanes
city centre or use special lanes. Parking and movable median barriers that add capacity
management has the potential to modify during peak periods make an existing road
demand on an area-wide basis yet, despite system more efficient. Managing intersections
being relatively easy to implement, is often with a police presence or with traffic lights can
under used. Rationing policies, which restrict eliminate bottlenecks and increase mobility and
cars with licence plate numbers ending in safety. Facilitating or restricting traffic turns
specific numbers during rush hour, have been at key intersections and increasing the radius
implemented in Bogotá (Colombia), La Paz of corners can ease the movement of larger
(Bolivia), Santiago de Chile (Chile), São Paulo vehicles. One-way streets and improved lighting
(Brazil) and Quito (Ecuador). and signage are other measures that may help.
In comparison with projects that increase road
capacity, most of these improvements can be
implemented relatively quickly and at a low
cost.
Road pricing in Singapore was first introduced in 1975 Traffic management depends on time of day along Copacabana
© Wikipediamailer_diablo seafront, Rio de Janeiro, Brazil © Flickr/Brian Snelson
60
Table 2.4 Supply and Demand Management Measures
Type of measure Approaches Measures
Demand-side Spatial planning Rights-of-way and road grids planning

Mixed land-use
Intermodal nodes
Park and ride facilities
ICT-based substitutes Teleworking
Information services for travellers Pre-trip information
Pricing Congestion pricing

Parking pricing
Public transport allowances and incentives
Administrative Parking management

Circulation regulation (“placa y pico”)
Vehicle registration
Supply-side Road traffic operation Traffic management systems

Signal improvements
Incident management
Preferential treatment Bus and high occupancy lanes

Bicycle and pedestrian infrastructure
Public transport operation Ease of transfer between modes

Schedule optimization
Fare coordination
Freight coordination Loading and unloading regulation
Source: Adapted from OECD 64
Traffic policeman in Istanbul, Turkey Mama Ngina Street, a one way street in Nairobi CBD, Kenya
© Flickr/Scott James Remnant © UN-Habitat/Cecilia Andersson
61
Land use as driving force for

transport planning
Curitiba, Brazil
Curitiba, Brazil © Flickr/Thomas Locke Hobbs
Curitiba’s well-known Bus Rapid Transit is the result of the

far-sighted integration of spatial and transport planning to
address urban growth pressures. The outcome of the integrated
approach is an efficient transport system which is a structuring
component of the city and is the preferred mode of travel for
most people.
Curitiba’s BRT system did not develop overnight, nor was it

isolated from other aspects of urban planning. The 1966 master
plan, which integrated land use and public transport plans, was
consistently followed over several different local government
administrations with the oversight of the Institute of Urban
Research and Planning of Curitiba (IPPUC).
62
Solution
The most salient proposal of the 1966 plan was to arrange growth from the city core outward in a
radial, linear pattern through structural axes that concentrate economic activity. To guide growth
along these axes, the local government established detailed land use and zoning plans. There were
also clear rules on the transfer of development rights from land in places the local government
desired to preserve to land in locations the city wished to develop. Higher-density commercial and
residential development along structural axes was encouraged to provide the economic density
and user base that would make the transport system financially sustainable. The municipality
initially acquired land and reserved rights-of-way along the strategic axes. These comprised of three
parallel routes, a block apart. The outer lanes are for local access and parking, and the middle lane
accommodates buses exclusively.
Curitiba’s BRT times are two-thirds less than a conventional bus system, due to the dedicated lane,
off-board payment, bi-articulated buses with large capacity, and stations that expedite bus entry and
exit. The stations were designed as cylindrical, clear-walled platforms which facilitate the efficient
and simultaneous loading and unloading of passengers, including those using wheelchairs.
The system is managed by Urbanização de Curitiba (URBS), a local government agency, but is served
by 10 private companies. These are paid by the distances they travel rather than by the passengers
they carry, allowing for a balanced distribution of bus routes and eliminating the previously
destructive competition that clogged the main roads and left other parts of the city underserved. All
10 bus companies get an operating profit. The fleet’s average age is a little more than five years.
Passengers pay a flat fare for travel throughout the system, with unlimited transfers. The
construction cost of Curitiba’s BRT system was USD 3 million per kilometre , which was more
affordable than a light rail system at a cost of between USD 8 million and USD 12 million per
kilometre) or a subway (USD 50 million to USD 100 million per kilometre).
Results
Although today Curitiba is not immune to pressures stemming from increasing private vehicle fleets
such as pollution and sprawl, which are common to growing cities, the close integration of land use
and transport planning and policy continuity have had positive effects on the city’s structure.
Because housing, service facilities and job centres have been incrementally developed along the axes
and linked to the transport system, the distances between homes, jobs, and schools have shortened.
The service reaches almost 90 per cent of the city area and stations are located less than 500 metres
from most people.
The system transports about two million people per day. Around 70 per cent of Curitiba’s
commuters use public transport daily to travel to work. Bus capacity and the reduced travel times
have resulted in 50 per cent less energy consumption compared with non-articulated conventional
bus services. Buses use a special fuel made up of diesel, alcohol and soybean additive which is less
polluting and cuts particle emissions by up to 43 per cent.
As a result, Curitiba, which grew from around 361,000 people in 1960 to 1.8 million in 2007
managed to minimize congestion in the central area and sprawling development in the periphery.
63
How to provide
infrastructure
and key services
Cities need infrastructure to make them work. Infrastructure
improves quality of life and induces economic growth but
inadequate and underperforming infrastructure reduces
economic output and badly affects living conditions. The
provision of a basic infrastructure for water, energy and waste
management is fundamental to a thriving city and is urgently
needed in rapidly developing cities. It requires substantial
long-term investment to meet capital and maintenance costs,
which cannot be met by municipalities alone. Urban planning
is central in the deployment of infrastructure and infrastructure
investment is a foremost influencer of urban form. Integrating
infrastructure in urban planning is key for optimizing investment
and asset performance.
64
How to provide infrastructure and key services
Medellin, Colombia © UN-Habitat
65
Enable urbanization through

an integrated approach to
infrastructure
Build a city’s foundations contexts, the full cost of area infrastructure is
charged to the owners. Such charges can even
through infrastructure cover the construction of the mains and other
public investments. However, affordability and
Infrastructure determines a city’s welfare the need to make land available also to lower
and economic activity. Although some areas income groups, are important considerations
of infrastructure provision are outside the and, in some cities, cross subsidies have worked
scope of a local government, the infrastructure well to recover investments across areas with
that affects most people’s lives is delivered by different revenues. Phasing the construction and
municipalities or its partners. In developing improvement of infrastructure and choosing
countries, urbanization has been a principal appropriate standard and technologies is also
driver of national economic growth. Continued key to making investment affordable.
growth requires finding innovative and
complementary ways to finance infrastructure Operational costs must be affordable for end
and increase its effectiveness, which has users and viable for suppliers. Not charging
positive effects on private investment and living enough may have negative consequences for
standards. households - which would have to contend
with inadequate services and access difficulties
Infrastructure is a key step of urbanization. - and for supplying entities, which would be
Once an expansion area has been identified, unable to invest in service maintenance. Paying
and public and street space has been defined, tariffs is a socially and politically sensitive matter
infrastructure prepares land for urban functions, but making the benefits of paying outweigh
guides development and creates a virtuous cycle
of investment. Providing infrastructure is the
single most important public investment action
and needs to be planned carefully in terms of:
• Service standards and technological choices,
including affordability, cost recovery and the
possibility to upgrade and expand;
• Investment phasing, determining where and
how much to invest.
Capital cost must be affordable and cost

recovery needs to be considered. When
infrastructure is built, the investment directly
benefits private landowners, whose land
increases in value and economic potential.
Infrastructure is fundamental to private and
Road under construction, Cape Town, South Africa
collective wealth creation and therefore in many © Flickr/Warrenski
66
those of not paying tangibly improves people’s Improve infrastructure

response. Affordability may also be a function
of how charges are calculated. Tariffs that
efficiency using spatial
are per use only, without including minimum planning
consumption and network installation costs,
are more likely to be accepted. Community- Spatial planning helps define infrastructure
based tariffs can be effective, but they require investment by clearly identifying which areas
genuinely equitable community management can be serviced, through which technology
and ownership. options, and when. Not all locations and layouts
can support all technology options and not
all investment can be delivered at the same
time. Plans that integrate infrastructure spatial
What is affordable? reserves, cost of technology and recovery
options would be better able and quicker to
The World Health Organization (WHO)
says that a water bill of more than 5 per bridge the gap with execution. In general,
cent of the monthly household income it is thought that technology can overcome
or expenditure is considered unaffordable almost any physical constraint. However, costs
and that the affordability threshold for may escalate when the spatial layout is not
water, electricity and gas together would favourable, or if the sequencing is wrong, and
be at 15 per cent of household monthly may result in a significant toll on municipal
income.
resources. Liaising with technology providers in
the early stages might provide a valuable reality
check on infrastructure plans.
Infrastructure is a significant enabler of urban growth, Roadways for new housing, Uberlandia, Brazil
Budapest, Hungary © Akil Sokoli © UN-Habitat/Alessandro Scotti
67
A planned infrastructure delivery How infrastructure capital costs

sequence are related to spatial planning
1. Demarcating the public space, The capital cost of trunk infrastructure

including the road grid reserves, which can be separated into two components:
occupy about 30 per cent of the total • The distribution network (the system
land of water distribution mains and trunk
sewers)
2. Building basic drainage within the
• The central facility to which the
road reserve system is linked (a water treatment
3. Water supply network within the road plant, water source, a sewage
reserve treatment plant).
The cost of the distribution network is
4. Sanitation network and waste
related to three factors: the demand
collection mode
that determines the required system
5. Power grid within the road reserve capacity; the extent of the urban area to
6. Street paving and improving be served; and the distance to the central
facility. While flow volumes are directly
7. L aying out cable for information
dependent upon the overall population
communication technology (ICT) to be served, the latter two factors are
directly linked to spatial planning. The
lower the densities are, the greater the
Source: UN-Habitat
area a sewer or water system must service
and traverse. Higher densities reduce
the extent of the network and the total
length of pipe required. The location
of central facilities may be tied to fixed
factors, such as the location of a water
body, which may be outside the urban
area. Longer distances to the central
facility yield higher costs. An upstream
relative location for water supply and a
downstream location for water treatment
result in more effective service provision.
Drainage infrastructure greatly improves the conditions of

sloping areas in Medellin, Colombia © UN-Habitat/Laura Petrella
68
Distributed infrastructure can enable access produce acceptable results in their own field,
for remote areas. Centralized, supply-driven a transformative impact requires cross-sector
systems with large production facilities and interaction. Because it provides a spatial
distribution systems across long distances reference shared by sectors, spatial planning
can take years to plan and install and require can be a lever for improved integration. For
significant capital investments. Small-scale example, investment in water efficiency can
systems at the neighbourhood or even result in energy savings and investment in waste
individual level enable services to be provided management can generate energy and reduce
to off-grid areas and reduce the dependence health costs.
and burden on major infrastructure systems
which are already near capacity if urbanization Multi-sector projects can be cost-effective,
overtakes the speed by which a centralized save time and minimize disruption to
approach can deliver. Distributed infrastructure residents. For example, cities may consider the
requires technological innovation and integrated advantages of bundling the construction of
planning approaches. road, water, sewerage, and storm infrastructure.
The co-location of underground infrastructure
Spatial planning can contribute to sector and road construction in a service corridor is a
coordination. A key challenge for a city is typical practice in many cities and may reduce
to build practical synergies between sectors overall costs by taking advantage of economies
such as water, waste, transportation, energy of scale in construction and machinery rental,
and telecommunications, which often operate and ease maintenance. In bundled projects,
in isolation. Although each sector might issues of land control and enforcement of land
reserves at the flanks of the corridor may be
negotiated only once, which saves time and
money.
Bhushan educating women on composting,

Siddhipur, India © UN-Habitat
69
Address water challenges
Understand the Urban access to water supply is limited.

In 2010, about 884 million people did not
dimensions of the water have access to a piped water supply or to
challenge a safe water source. This is an issue that
hinders the growth of cities such as Maputo
Water is scarce and sources are far from in Mozambique, where almost 20 per cent of
cities. Water plays a vital role in public its 1.3 million people had no access to potable
health, economic growth and environmental water in 2003, and megacities such as Jakarta,
sustainability but only about 0.01 per cent where about half of its 10 million inhabitants
of the Earth’s water is usable.65 The principal had no access in 2007.67
sources of water for human use, lakes, rivers,
soil moisture and relatively shallow groundwater
basins, are unevenly distributed and, in general,
The World Health
are far from urban areas. About 36 per cent of Organization estimates that
the world’s population, or 2.4 billion people, live good health and cleanliness
in water-scarce regions66 and 52 per cent will
experience severe water scarcity by 2050.
requires a daily supply of
about 30 litres of water per
person.
Illutration 3.1 Water availability by sub-region in 2000 (1,000m3 per capita/year)
< 1.0 catastrophically low

1.0 to 2.0 very low
2.0 to 5.0 low
5.0 to 10.0 medium
10.0 to 20.0 high
> 0.0 very high
Source: Compiled from UNDP, UNEP, World Bank and WRI 2000 and United Nations Population Division 2001
70
Demand is growing and overconsumption Integrate water

is the norm. By 2020, water use is expected
to increase by 40 per cent68 and is already
management and spatial
excessive is some cities. For example, Addis planning
Ababa (Ethiopia) consumes double the WHO
daily recommendation, Lagos (Nigeria) triples Spatial planning should incorporate the
the amount and Kolkata (India) consumes water cycle and current and future supply
four times more. Bangkok (Thailand), Nanjing and demand as a key driver. Water sensitive
(China), Porto Alegre (Brazil), Montevideo planning should induce water consumption
(Uruguay), Johannesburg (South Africa) and reduction, facilitate the safe reuse of water,
Tunis (Tunisia) all consume ten times the leverage as many water supply options as
recommendation, while Los Angeles and possible, and enable the combination of
Phoenix in the United States over 20 times.69 centralized and decentralized systems. Urban
water plans would keep development away
Leakages and customer abuse are significant from key water catchment and storage areas,
problems. These problems can be conservatively minimizing impervious surfaces to favour
estimated to cost USD 141 billion per year water retention and aquifer recharge. Water
worldwide with a third of them occurring in plans should also enable coordination between
developing countries, where about 45 million jurisdictions to boost investment impact.
cubic metres are lost daily from the distribution
networks.70 The amount of water leaked
could serve nearly 200 million people. In Rio
de Janeiro (Brazil), Buenos Aires (Argentina),
Bucharest (Romania), Sofia (Bulgaria) and
Nairobi (Kenya), about half the water in the
system is leaked.71 Every day, about 30 million
cubic metres are not invoiced because of theft,
poor metering and corruption.
Greywater sampling in a peri urban area, Nakuru,Kenya

© Flickr/Laura Kraft/Sustainable sanitation
71
Water supply systems require a significant Water distribution systems influence spatial
amount of space. Water is drawn from its structure and vice versa. The construction of
source, purified and pumped to reservoirs distribution systems, which require large fixed
before being distributed through networks to investments, influences spatial development.
consumers. The geographical distribution of Dispersed patterns atomize demand for water
water sources might result in water systems and need a larger distribution and collection
that extend over thousands of kilometres. system, while compact patterns help to
Once water is used, wastewater is typically minimize the costs of capital and operations.
discharged into a sewerage system and treated Costs related to distribution networks typically
in a wastewater treatment plant before being account for 70 per cent of the overall system
discharged into a river, lake or the sea, or costs.
reused.
Table 3.1 How water supply distribution and treatment is linked to spatial structure
Connect To: How
SOURCE
Land-use Protecting green open spaces prevents the contamination of river and underground water;
Reducing impervious surfaces can increase infiltration and aquifer recharge;
Water reservoir tanks consume land
Density Concentration of population reduces impervious cover and allows larger green areas to be protected
Buildings Harvesting
DISTRIBUTION
Land-use Different uses have a different demand; locating activities on upstream slopes increases distribution costs
Density Concentration of people reduces network length
Street/public Availability of space to lay pipes reduces costs

space
Buildings Tall buildings may require additional pressure
TREATMENT
Land use Location of treatment plants need to be compatible with other uses;
Underground treatment plants save land
Density Onsite treatment such as septic tanks can be a solution for dispersed patterns
Buildings Water recycling can begin at building level
Source: Adapted from H. Srinivas
72
Reduce water consumption Cities increasingly use alternative water

sources. Water harvesting at household
and relieve stress on fresh and building level can significantly reduce
water sources the demand for piped water and reusing
wastewater after treatment can also produce
Significant savings can be achieved through significant savings. Greywater can be used for
better demand management. Incentives and watering plants or recycled for flushing toilets.
regulating the use of efficient appliances can Wastewater treatment plants are facilities
have a significant impact; for example, a toilet of significant size and cost, and, in the past,
that continues to run after flushing can waste in produced pungent odours. Singapore, however,
one hour the amount of water recommended by has five treatment plants, and the NEWater
the WHO to be consumed per person per day.72 reclaimed water scheme now meets 30 per cent
In pilot schemes in Canada, the introduction of of the water demand.73
efficient appliances reduced water consumption
by 52 per cent. Using meters is also an incentive The roof at Frankfurt
to save water. Controlling the use of water for
Airport, built in 1993,
irrigation through efficient systems, such as
subsurface irrigation, has also been extremely captures 16,000 cubic
effective because usually each sprinkler head metres of rainfall which is
used to irrigate lawns consumes in three minutes
the equivalent of the WHO standard per person
used for cleaning, gardening
per day. and flushing toilets.
Informal water distribution in Dakar, Senegal In Singapore, the NEWater reclaimed water scheme meets
© UN-Habitat/Laura Petrella 30% of water demand © PUB
73
Systems can be incrementally designed, Treatment wetlands offer opportunities to

implemented and upgraded as people’s regain some of the natural functions of
ability to pay increases. Centralized systems wetlands and offset some of the significant
result in large distribution networks with losses in wetland areas, while reducing the land
treatment plants far from people’s houses. requirements and energy inputs associated with
These systems require significant upfront capital conventional treatment plants.
investment, are not able to change and are
frequently engineered with limited opportunities
for the reuse of treated water. Developing well
A wastewater plant under a public
fields close to demand centres would lead to a space
simpler network and lower energy and capital
The plant in Sant Adrià de Besòs treats
costs. Providing both water and sanitation in an more than 70 per cent of the Spanish city
integrated manner, and facilitating reuse and of Barcelona’s wastewater by removing
energy recovery are additional traits of demand- both particulate and gaseous pollutants
centric systems. to eliminate odours. The plant occupies
90,000 square metres and has been built
Natural or constructed wetlands for water underground, beneath Barcelona Forum’s
premium accommodations, convention
treatment can have multiple benefits.
centre and public space.
Treatment wetlands use natural processes
involving wetland vegetation, soils and their
associated microbial assemblages to assist in
treating an effluent or other water source.
Water treatment plant in Chicago, USA Constructed wetland in Olympic Forest Park, Beijing, China
© Flickr/Neal Jennings/Sweet one © Flickr/Sustainable sanitation
74
Consider subsidies Subsidies do not always fulfil their objective.

Utilities must provide acceptable levels of service
carefully in a commercially viable system. This goal has
significant political and economic implications,
Water tariffs are increasing but cost recovery and may lead to subsidized prices that have
is a challenge. Over the past five years, average an adverse impact on poor consumers.77
water tariffs have increased significantly in both Cross-subsidies between residential users do
developed and some developing countries. not always fulfil their objective and must be
For example, prices in Australia have increased carefully formulated. Because service providers
by 85 per cent and in South Africa by 70 per often provide water and other services, such as
cent.74 Water tariffs range from USD 0.10 in energy and telecommunications, consolidating
least developed countries to over USD 1 per these services may yield certain benefits, such
cubic metre in developed nations.75 While as common billing and the option to cross-
tariffs are increasing, only 30 per cent of subsidize water services with revenues from
utilities globally, and 50 per cent in developed electricity sales, if permitted by law.
countries, generate sufficient revenue to cover
operation and capital costs.76
Engaging the community in water management Aqueducts transport water in Saint Louis, Senegal
in Myanmar © UN-Habitat/Veronica Wijaya © UN-Habitat/Marie Dariel-Scognamillo
75
Collect and dispose of waste

efficiently
Understand the dynamics Cities produce more and more solid waste.
Economic growth and changes in consumption
of municipal waste patterns tend to generate higher rates of
management waste per capita. In 2007, the average waste
generated per capita in Organisation for
Effective waste management is essential Economic Cooperation and Development
for healthy and competitive cities, but many (OECD) countries was 556 kg.79 The amount of
municipalities struggle to keep cities clean waste generated in cites in developing countries
because the cost of solid waste management is rapidly increasing and many are at or above
in medium-size cities can be as much as 50 per OECD levels. For example, Bangkok (Thailand)
cent of the total municipal budget.78 Waste and São Paulo (Brazil) generate 534 and 550 kg
management has important public health per capita respectively. Kuala Lumpur (Malaysia)
implications because it is one of the two main generates more than the OECD average, at 815
carriers and propagators of infectious diseases kg per capita per year. 80
(the other carrier being water). Waste that is
burned or disposed of at uncontrolled sites
can pollute air, land and water. Ineffective solid
waste management practices make a poor
impression on foreign investors and tourists,
and may result in loss of reputation and
investment.
Uncontrolled sites can pollute air, land and water, Waste in Julio Mesquita, Monumental Font, Sao Paulo, Brazil
Onitsha, Nigeria © UN-Habitat/Alessandro Scotti © Flickr/Douglas R. Nascimento, Blog do Milton Jung
76
“Reduce, reuse, recycle and recover” is the Integrate waste

cornerstone of most waste minimisation
strategies. The waste hierarchy classifies waste
management and spatial
management strategies in order to extract planning
maximum practical benefits from products
whilst generating the minimum amount of The size and location of disposal sites
waste. Reduction (that is, prevention and determines costs and externalities. The
minimization) includes practices such as the cost advantage of constructing and operating
manufacture of products with longer lives. large-scale landfills over small-scale landfills
Although a city can encourage responsible has resulted in a trend of regional facilities.
consumption, legally enforcing production Larger landfills can be more cost effective per
patterns would generally be outside the tonne but may have greater transport costs and
policy scope of a local government. Reusing adverse effects on property values than smaller
promotes products that may be used more than landfills; they are also usually disliked by the
once; recycling processes used materials into community. Site location can minimize factors
new products; and energy recovery includes such as increased traffic, noise, unpleasant
technologies, such as methane capture, that odours, environmental degradation and limited
harness waste or by-products to generate land utility, and buffer areas determine where
usable energy. sites should not be located. Measures such as
providing spaces for sorting and recycling close
Graph 3.1 Waste hierarchy to areas where waste is produced can help to
reduce the size of a disposal site.
Preferred option
Prevention The United Kingdom will
Minimisation run out of landfill space by
Reuse
2018 with current waste
generation rates.
Recycling / composting
Energy from waste
Landfill
Least preferred option
Source: Eco2city Source: Eco2city
77
Lack of cadastral information induces

Criteria for a landfill location low cost recovery. In nine out of ten cities
where there is a rubbish collection fee, it is
1. Located outside densely populated
collected with the property’s tax bill, usually
areas
as a separate item,82 but this system needs an
2. Within 10 km of an urban area
updated cadastre. An alternative practice is to
3. Located between 0,2 and 10 km of a collect rubbish fees with another utility bill, for
major road example, electricity. In Colombia, some cities
4. Not located within 1 km of surface have a single utility bill that covers many services
water such as water, sewerage, telephone, electricity
5. Avoid areas of groundwater and solid waste. Cities in Ecuador attach a
vulnerability surcharge of 10-12 per cent to electricity bills to
6. Not located within 500 m of a railway cover waste management costs.
line
7. Avoid areas of ecological value
8. Not located within 500 m of sites of
historic importance
9. Avoid taking up fertile agricultural
land
10. Be acceptable to the public
Source: Baban, S.M.J. and Flannagan, J.81
Dumping of urban waste in Peru Young waste pickers at Ghazipur, India

© Foter/Alex E. Proimos © Flickr/Mackenzienicole
78
Table 3.2 How waste management is linked to spatial structure
Connect To: How
Land-use • Preventing open dump sites

• Selection of landfills sites taking into account buffer areas to protect land values and natural resources near them
• Land management information and cadastres for cost recovery
• Provision of space for composting and other recycling activities
• Location of incineration plant
Density • Higher density, compact patterns yield lower collection costs
Infrastructure • Providing roads, energy and water to waste disposal and recycling facilities
• Accessibility for waste collection
Buildings • Amount of waste generated in construction and future operation
Services to Buildings • Facilitating recycling services
Composting is an inexpensive process that Limited is a private enterprise operating under a

can deal with half of urban waste making 25-year agreement with the local government
it a suitable option, especially for cities of Lahore in Pakistan’s Punjab province. It has
in developing countries. If it is part of an a concession to process 1,000 tons per day of
integrated waste management programme, solid waste from residential areas as well as fruit
composting favours recycling and helps reduce and vegetable markets. The composting process
greenhouse gas (GHG).83 Lahore Compost normally takes around 60 days to complete.84
Compost ready for curing at Pimpri Chinchwad composting facility, Refuse hideaway landfill, Middleton, USA
Maharashtra, India © Columbia University Earth Engineering Center © Flickr/Wisconsin Department of Natural Resources
79
Use the informal sector for Waste pickers organize themselves where
local governments support the formation of
waste collection organized groups. This support helps create
microenterprises which serve neighbourhoods
Employing informal waste pickers creates without waste collection services and provides
jobs, saves municipalities money and protects income opportunities for entrepreneurial
the environment. Waste collection in areas people. In Brazil’s Belo Horizonte municipality,
with narrow streets may be improved by about 380 waste pickers have formed the
involving local residents, which will also reduce group ASMARE, which recycles 500 tonnes of
health hazards and prevent soil and water material a month. In São Paulo, also in Brazil,
contamination. In 2007, an estimated six million COOPAMARE brings together 80 members and
people in China, about a million in India and about 200 independent waste pickers who earn
half a million in Brazil were engaged in waste about USD 300 a month - twice the minimum
picking.85 A creative way to incorporate waste wage - collecting and selling about 100 tonnes
pickers is the Green Exchange, implemented in of recyclables a month.
Curitiba in Brazil since 1991, in which people
can exchange four kilograms of recyclable waste
for one kilogram of food.
Ciudad Saludable
In Peru, the non-profit organization

Ciudad Saludable (Healthy City) has
formalized over 6,500 waste pickers who
collect approximately 292,637 tonnes of
recyclable material per year with a market
value of USD 18.5 million. Over 200 cities
have increased their recycling rates from
40 per cent to 80 per cent by integrating
waste pickers, making a direct impact
on nine million people and saving two
million trees per year. In addition, waste
pickers’ monthly incomes have doubled
up to between USD 180 and USD 260 per
month.
Waste pickers in Cajamarca, Peru

© Ciudad Saludable
80
Improve energy efficiency
Understand key energy

Leapfrogging
trends
One of the more obvious opportunities
for cities in developing countries is that
Local initiatives can take national energy
of “leapfrogging” – skipping inferior,
plans forward at a practical level. Most less efficient, more expensive or more
energy is produced outside cities and energy polluting technologies and industries
plans are generally made at the national level. and move directly to more advanced
These are relevant to cities as they regulate ones. This means they do not repeat the
supply sources, consumption reduction and mistakes of highly industrialized societies
incentives for getting the best performance. in creating an energy infrastructure
based on fossil fuels, but “jump” directly
However, cities are taking a practical approach
to renewable energy sources and more
and are increasingly starting initiatives which,
efficient distribution approaches.
sometimes, have even more ambitious targets.
Source: UN-Habitat and ICLEI87
These initiatives may include advanced policies
in land use, building standards that require
energy efficiency measures, energy generation
and storage initiatives, and demand-side
management.
Dundalk Sustainable Energy Zone
The Sustainable Energy Zone in Dundalk,

Ireland, is a four square kilometre area
with mixed uses. Its aim is to stimulate a
national move towards sustainable energy
practice by demonstrating the benefits in
an exemplary community. Specific targets
are:
• 20 per cent electricity from renewable
sources
• 20 per cent heat from renewable
sources
• 40 per cent improvement in the
energy performance of selected
buildings
Source: SEAI86
Solar water heating in Hunchun, China
© UN-Habitat/Alessandro Scotti
81
There is a shift to a demand-led approach in

Local energy planning in energy planning. Significant benefits can be
Barcelona gained by planning according to the conditions
needed by users and considering that these
The Barcelona Energy Agency in Spain
conditions need not only be met through
was established in 2002 and brings
together various relevant municipal systems that require energy. For instance, the
departments, energy agencies and local need for home heating in winter or cooling
universities. Its aim is to promote local in summer can be met by insulation or by an
renewable energy sources and energy energy-efficient design; the need for hot water
efficiency, support the public sector in can be met by installing solar water heaters;
its initiatives and provide information and the energy input required by an industry
and advice to business and citizens.
may be supplied by the waste energy and waste
Through energy audits, forecasts and
scenario planning, the Barcelona Energy products produced by that same industry.
Improvement Plan establishes local
measures, such as the Solar Ordinance,
which regulates the installation of thermal
solar panels in buildings, producing an
estimated energy saving of 24,840 MWh/
year.88
Table 3.3 Supply and demand-led approaches
Deficiencies of a supply-led approach Benefits of a demand-led approach
Focus on the needs of the supply industry Consumer needs lead the way so supply is planned to fit needs
Focus on the sale of energy sources that does not motivate energy Energy efficiency and appropriate means to meet energy service needs
efficiency (cooking, warm house etc.) become all important.
Potential for inaccurate future demand projections Tracked energy demand used for projections
A supply side focus would miss household generation opportunities A wider range of users can satisfy their energy service needs
Little attention is given to behaviour change Demand-side management is considered prior to supply side solutions.
The majority of users have no input Constant interaction with users who are empowered to make choices
Users have little control over their energy expenditure. Users have much greater control over their energy expenditure.
Vulnerability to energy scarcity The system gains in flexibility and robustness
Source: Author
82
Link to urban planning study in Dublin, Ireland, showed that residents

of areas with densities of 40 p/ha use 50 per
Energy is a central factor in spatial planning cent less energy in their commute to work than
decisions. In the era of cheap fossil fuel, the average for the region, which has lower
energy was not a significant factor in spatial density.91
planning. In an era where oil use has passed
its peak, spatial planning is one way to reduce Standards in urban design and architecture
energy consumption and GHG emissions. For can reduce consumption. Design criteria include
example, energy needs for heating increase north-south orientation, cross-ventilation,
three-fold in a sprawl pattern compared to a green areas and roof gardens, water recycling,
compact pattern.89 One study has shown that rainwater harvesting and choosing local and
when the population density doubles, energy recyclable construction materials amongst
efficiency in service industry areas can increase others. Multi-unit developments can increase
by approximately 12 per cent.90 their energy efficiency by using natural lighting
in corridors, stairwells and car parks; using
Transport policies have an impact on energy low-wattage lighting appliances; and providing
consumption. An effective urban form brings well-lit and comfortable alternatives to lifts.
jobs and housing closer together, and so Energy efficiency standards may relate to heat
reducing the amount of travel. Other ways to and cold generation systems, types of insulation,
reduce energy consumption are to link centres individual consumption metering, periodic
of employment and services by an efficient reviews of systems and energy certifications
public transport; control private vehicle use by of buildings, amongst others. Street lighting
promoting walking and cycling; and provide systems that have been retrofitted with energy-
incentives for the use of efficient vehicles. efficient lamps have resulted in savings of
Cities with low density tend to consume much around 45 per cent in Alcorcón, Spain, with
more energy in private vehicle transport; one costs recovered in six years.92
Table 3.4 How energy demand and supply is linked to spatial structure
Connect To: How
Land-use • Land information in cadastres enables targeted energy audits because different activities have different
demands; it also facilitates demand forecast
• Mobility and energy consumption are positively correlated
• Multi-polar patterns are best suited for decentralized energy production
Public space and green areas • Green areas reduce the heat island effect, energy demand for air conditioning, and heating
Density • Lower connection costs are achievable in denser settlements
Infrastructure • Over ground transmission lines (particularly high voltage) demand large amounts of land
• Below grade lines are safer and improve the streetscape
• Water supply and treatment can be highly energy intensive if pumping is required
• Loop closing opportunities in biogas, waste to energy
Buildings • Orientation and design can substantially increase passive energy gains; facilitate active energy devices (for
example roof orientation to the sun, etc.)
• Retrofitting as part of urban renewal
• Energy profile of building to be included in costing and incentives for development

83
Local policies can induce the use of renewable lead by example and implement retrofitting
energy in the building stock. Municipalities programmes in administrative offices, health
can set renewable energy targets for buildings, centres, schools, universities and other facilities.
both newly built or those applying for a change Public purchasing, which accounts for around
of use licence, leaving it up to consumers to 12-20 per cent of government budgets in
choose specific technologies to achieve them. developing nations, can be a great way to
In Rizhao, China, 99 per cent of households in support the establishment of local specialized
the central district use solar water heaters, and firms and technology development in energy
most traffic signals, street and park lights are efficiency and renewable energy. Retrofitting
powered by photovoltaic solar cells.93 privately owned buildings for energy efficiency
can be triggered by economic incentives and
Retrofitting contributes to optimizing legislation. In Mumbai, India, the cost of
consumption in buildings, which consume retrofitting Inorbit Mall, the country’s largest
between 30 per cent and 40 per cent of all mall, is expected to be recovered in less than
energy worldwide. Local governments can five years with ongoing cost savings thereafter.94
Chicago City Hall Green Roof, USA Inorbit Mall, Mumbai, India
© Flickr/TouringCyclist © Flickr/Zadeus
84
Improve distribution grid could independently regulate its electricity

requirement at any point in the day, store its
efficiency energy surplus and, if necessary, feed it back
into the city distribution network. Smart grids
Decentralized energy production systems can increase the efficiency of renewable sources
may suit rapidly expanding cities and less in the energy mix. At the grid level, smart
dense settlements. The traditional engineering sensors can continuously check the functional
approach to power supply has been through capability and initiate speedy repairs to avoid
large, centralized production facilities and energy loss in the case of malfunction.97 While
extensive distribution systems which require smart grids and smart metering may seem far
significant investment and long project cycles.95 off in cities where a consistent electricity supply
Decentralized systems can reach off-grid is still not guaranteed, leapfrogging would allow
locations, save energy and are more resilient a more efficient energy supply and demand
against natural and human-made disasters. model.
Technologies available today allow an effective
integration of these systems with the grid as Electric vehicles could be help to mainstream
demand and supply fluctuates. renewable energies because they can act as
storage for electricity generated by renewable
Smart grids are considered to be the future of sources. Cities such as London (England) have
energy management. Intelligent electric meters a network of recharging stations that would
enable the integration of decentralized power make electric cars more acceptable. Developing
generators, matching supply and demand, and partnerships to install these stations may mean
allow flexible billing.96 A building on a smart little or no cost for the city.
A smart grid at work in Wildpoldsried, Allgäu, Germany Electric vehicles being charged at an autolib-station
© Siemens in Paris, France © Flickr/Stephen Rees
85
The transformation of Soweto

Johannesburg, South Africa
Soweto infrastructure and public space © Johannesburg Development Planning and Facilitation
Soweto is a large township that forms part of the greater Johannesburg

area. A separate municipality until it was incorporated into the
Johannesburg Metropolitan Municipality in 2002, today it has a population
of about one million people.
The area was the scene of violent clashes between police and civilians
during South Africa’s apartheid era and is still characterized by extensive
areas of poverty that are deprived of basic services. In 2001, the
municipality embarked on a substantial planning and investment effort to
improve infrastructure, accessibility and safety, and to provide better public
spaces.
Vilakazi Street has been upgraded into a high street with shops,
restaurants, bars and tourist accommodation, and now brings in visitors
and creates economic opportunities for local residents and businesses.
86
Solution
Three plans - the Soweto Economic Transformation and Development Plan, the Integrated Spatial
Framework and the Johannesburg City Safety Strategy - have laid out the basis for change.
“The transformation of Soweto creates new opportunities for its residents and the city
– for it is not only about construction, but about jobs and new investment opportunities
for the private sector” Executive Mayor Amos Masondo (2001-2011). The plans aligned
economic revitalisation, spatial development and crime reduction. Spatial growth was guided to
six nodes associated with major public transport intermodal facilities. These feature community
facilities and public spaces in pedestrian-friendly areas, with buildings that are inviting. Nodes
bring about investment opportunities in office and residential developments, including social
housing. The intermodal, mixed-use facilities incorporate spaces for informal traders, while the
Soweto Empowerment Zone provides premises and services for small businesses and emerging
entrepreneurs.
The framework calls for higher density residential areas within 500 metres of a train station and
within 300 metres of the Rea Vaya BRT (Bus Rapid Transit) route, which provides access to central
Johannesburg. A safety strategy focuses on the rejuvenation of parks and open spaces, streetscapes,
and on managing problematic and abandoned properties.
Results
“Soweto has become a vibrant place, a dynamic, crucial part of the City of Johannesburg,” says
Masondo. That safety has improved is supported by statistics from the Moroka Police Station.
These show a consistent reduction in violent incidents, from 7 to 10 per cent, in the last five years.
The municipality has spent nearly USD 60 million to pave 314 kilometres of roads over a two-year
period. Accessibility was further reinforced by cycle paths and vehicular and pedestrian bridges. By
2008, 95 per cent of targeted areas had new public lights. About 5,000 jobs were created in the
construction phase. Community-based cleaning services were started in 2008 and are provided
on an output-based agreement, reaching 185,738 households. All houses valued at less than
USD 18,000 get free waste disposal services. Community awareness programmes, and by-law
enforcement to prevent illegal dumping have resulted in huge improvements in public health.
An investment of USD 108 million improved the water supply by installing and upgrading water and
sanitation pipelines, fixing leaking in-house plumbing fixtures, and installing 162,000 household-
based prepayment water meters. Households are billed only if they consume more than 6,000 litres
a month, which is only about 45 per cent of all households in Soweto. Between 2003 and the end
of 2008, 64,139 million litres of water had been saved and the project created 11,500 jobs between
2004 and 2007. The Moroka Dam and Thokoza Park were rehabilitated with an investment of
USD 2.5 million, becoming a place where up to 15,000 people can come together to relax over
weekends. The Greening Soweto Programme focuses on the development of green open spaces
that are maintained with the involvement of the local community. Over 200,000 trees have been
planted.
Bara Central is a busy public transport facility that serves 60,000 people per day, combining
long- and short-distance taxi and bus ranks, various formal and informal retail spaces and offices.
Activities around the facility are estimated to yield USD 122 million a year. The Maponya Mall
and Jabulani Mall are the result of private investment, something that was previously unthinkable.
Property prices in some parts of Soweto have increased by an average of 16 per cent a year since
2000, outperforming the national average.
The Soweto Theatre opened in 2012, instantly becoming a catalyst for local cultural activity, and the
Soweto Tourism Centre has developed 147 tourism products. In 2002, less than 250,000 tourists
visited Soweto. Six years later, that number had increased to around one million, creating about
1,500 jobs.
87
How to address
informality
The informal economy is estimated to be worth USD 10

trillion globally98 and helps to make many cities competitive
by providing cheap and flexible labour. It creates opportunities
for poorer households that the formal economy cannot offer
them. Informal settlements provide employment to up to 90 per
cent of their inhabitants through thousands of businesses, and,
although there are no legal title deeds, these settlements are
“home” for millions of families who cannot afford anything on
the formal housing market. Local governments in developing
countries, where the informal economy can account for close
to 50 per cent of the GDP, would benefit from addressing the
issues created by informality without stifling the opportunities
it brings. Supporting inclusion rather than exclusion, urban
planning can contribute to integrate lower income groups and
informal areas as part of the city, upgrade existing slums and
prevent the formation of new ones.
88
How to address informality
Sorsogon, Philippines © UN-Habitat/Bernhard Barth
89
Make informal settlements

part of the city
Revise planning to market distortions and prevent large

segments of lower income households from
approaches that ignore the legally secure land and housing. For example,
informal sector plans with large plot sizes that are unaffordable
for lower income households push these
Improving informal settlements requires people out of formal land and housing markets.
shifting the approach from seeing them This also fuels the demand for precarious
as a liability to seeing them as an asset. dwellings on underserviced subdivisions that
Rapid urbanization has overwhelmed many are developed outside planning zones, often in
municipalities’ ability to provide serviced land hazardous areas.
to accommodate the influx of newcomers, but
ignoring this problem will not make it go away. In Mumbai, India, about
Because informal settlements house a large half of the population live
pool of labour and microbusinesses, citywide
in slums. The economic
strategies that incorporate informal settlements
into the formal city could reap important output of Dharavi, one of
benefits for social cohesion, service delivery and the world’s largest slums,
employment creation.
is estimated at around
Unrealistic regulations lead to informality. USD 800 million and its
Zoning and building standards brought with manufacturing businesses
minimal contextualisation from cities with
different socio-economic conditions contribute
export goods worldwide.99
Informal development next to planned areas, Santo Domingo, Dharavi, Mumbai, India
Dominican Republic © UN Photo/M. Guthrie © Flickr/Mark Hillary
90
Coordinating the release of land with Create opportunities for

housing programmes and infrastructure
provision can make space for lower income
the informal sector
groups. To make a beneficial impact on
these groups, policies need to be based on Good practice in land management
a deep understanding of socio-economic contributes to greater housing affordability.
conditions. The timely release of land can be This means avoiding the following: complex
encouraged, for instance, by making developer’s or lengthy planning assessment processes;
infrastructure contributions payable over an bottlenecks or surges in residential land
extended period of time or providing incentives availability; location imbalance with too much
for more efficient infrastructure delivery. land available in one district; gaps in land
Charges to discourage withholding of land supply sequences (long-term as opposed to
could include the imposition of urban rates for short-term); and excessive or uncertain fees and
development sites that have not been released charges associated with planning approval.
and developed within a time period specified by
the development plan. Charges for the release
of land out of sequence would offset the
additional costs of providing infrastructure.
Street market, Dire Dawa, Ethiopia Kejetia, a large open air market in Kumasi, Ghana
© Flickr/A. Davey © Flickr/Adam Jones
91
Facilitating access to employment areas and a catalyst for economic development and, as
allowing a mix of commercial and residential traders improve their working conditions and
uses helps the integration of the informal are able to grow their businesses, become an
sector. This includes planning for accessible incentive for regularization.
settlements with affordable land serviced by
public transport, and planning for livelihoods In Belo Horizonte, over
rather than just housing schemes that combine
spaces for shops and other economic activities 2,000 street vendors were
in the ground floor of residential buildings registered between 1998
or in close proximity to them. Transport hubs
and 2002. They were then
are important civic destinations and taking
advantage of their accessibility can bring provided with commercial
together formal and informal commercial space, space in “popular shopping
community facilities and public space.
centres.”
Economic activity can be enhanced by
upgrading informal markets. Street vendors
and informal market stalls generally converge
around transportation nodes in an unorganized
manner that may disrupt pedestrian and
vehicular traffic and undermine the value of
the area. Improving these activity nuclei can be
Market day in Belo Horizonte, Brazil An informal market in Dakar, Senegal

© Flickr/Bruno Girin © UN-Habitat/Laura Petrella
92
Mobile phone applications can provide access Link formal and informal
to banking for the informal sector. In some
African countries, more people have access to
service delivery
a mobile phone than to clean water, a bank
account or even electricity.100 Applications such Partnerships between municipalities and the
as M-Pesa, operated by Safaricom in Kenya, informal sector can improve water supply and
have opened up formal financial services to waste collection, and generate employment.
lower income groups and its 17 million users Access to potable water can be enhanced by
can make money transfers and pay bills through policies that organize informal providers to
their mobile phones. This scheme has resulted ensure distribution to poor settlements. The
in a fourfold growth of bank accounts since municipality of Cotonou in Benin joined forces
2007;101 it saves households the monetary and with informal vendors to operate 24 newly-built
opportunity costs of travelling to the nearest public drinking fountains to deliver affordable
bank branch or paying through intermediaries, water, resulting in improved service quality.
and improves revenue collection. In Kiamumbi, Solid waste management can benefit from
just outside Nairobi, 59 per cent of households merging the informal sector workforce with
were reported to have used M-Pesa for paying public-financed facilities. Partnerships where
water bills after four months of the service the municipality provides infrastructure and
being in place.102 equipment and waste pickers’ provide labour
are common in Colombian cities.103
An M-Pesa agent’s shop in Kenya Informal water supply in a settlement in Myanmar

© Mukami Mwongo © UN-Habitat/Veronica Wijaya
93
Informal transport solves mobility needs

and creates jobs. Informal fleets can be a
lifeline to making a living where poor municipal
public transport resources have led to limited In Dhaka, Bangladesh,
or no service to outlying residential areas and informal transport accounts
high fares. In Mexico City (Mexico), informal
for 30 per cent of total
minibuses provide services connecting barrios
on the outer edges of the city to metro stations. employment but auto
Prohibiting informal transport is not a viable rickshaws emit 30 times
solution as it destroys jobs and blocks access
more pollutants than a car.
to employment. A combination of valuing the
service and regulating them can be effective
in managing related issues, such as traffic
congestion, accidents and pollution.
Different modes of transport in Yucatan, Mexico Auto Rickshaws in Dhaka, Bangladesh

© Flickr/Gafas © Wikipedia/Volunteer Marek
94
Upgrade existing informal

settlements
Put informal settlements map with GPS information, images, video, and
audio. Data collection and mapping is primarily
on the map conducted by youth groups using open source
and mobile phone applications.105
Mapping enables integration with wider
city plans. Often informal settlements are not Informal settlements house a large
featured on official maps. However, mapping is proportion of the population in cities of the
essential for upgrading of informal settlements developing world. Rapid urbanization has
because interventions need thorough overwhelmed the capacity of municipalities
information about the settlement’s physical to provide serviced land to accommodate the
conditions and service access, and because influx of newcomers. Lower income families and
durable improvements need to be integrated segments of the middle class are progressively
into the broader city development plan. pushed out of formal land and the housing
Mapping makes information simultaneously market and this fuels demand for lower-priced
available to relevant departments; this dwellings in underserviced plot subdivisions
helps prioritize focus areas and coordinates outside planning codes, often in hazardous
intervention. Databases can be used for services areas. In Mumbai (India) and Nairobi (Kenya), 50
delivery, taxation and a cadastre,104 all of which per cent of the population live in slums, notably
contribute to including informal areas into in Dharavi and Kibera, two of the world’s
the formal economy. In Nairobi, Map Kibera, largest. The favelas in Rio de Janeiro and Sao
launched in 2009, is an information project Paulo, both in Brazil, house about one fourth of
which has developed a free and open digital the total population, and 35 per cent of Bogotá
in Colombia lives in informal settlements.
Effective upgrading of informal settlements

requires involving the community in
assessment and prioritization. Classifying
settlements with community input according
to the settlements’ vulnerability to natural
and human-made hazards, legal status and
land ownership and physical and socio-
economic conditions is an essential first step
for upgrading. Following this with a framework
to balance priorities with tangible projects
would mean added impact from the upgrading
strategy.
Mapping Kibera, Nairobi

© Map Kibera
95
Resettling slum residents far from their

homes and existing income opportunities
What is a slum?
may create disruption costs that are too
A slum is a settlement made up of
high. In situ upgrading is the priority, except in households that have one or more of
places where dwellings are located in hazardous the following five criteria: no access to
areas and in places strategic to the city’s urban potable water, no access to hygienic
plan. In middle-income countries, broader sanitation facilities, insufficient living
urban renewal schemes could be considered if area per person (more than three people
society as a whole can benefit, and providing sharing the same room), poor structural
quality and no durability of dwellings and
livelihoods are not jeopardized.
no security of tenure.
Graph 4.1 Proportion of urban population living in slum areas
80%
70%
60%
50%
40%
30%
20%
10%
0%
Developing Northern Sub-Saharan Latin America Eastern Southern South-eastern Western
Regions Africa Africa Caribbean Asia Asia Asia Asia
1990 1995 2000 2005 2007 2010

Source:
Source: UN-Habitat,
UN-Habitat, Global
Global ReportReport on Human
on Human Settlements
Settlements
96
Table 4.1 Conditions, assessment and sample interventions in informal settlements

Category Conditions Assessment Sample intervention
Hazards Floodplains, steep slopes, seismic fault Assign intervention urgency Relocate
line, wetlands, riverbeds, sea proximity level
Tenure Status of the occupants (illegal occupant, Determine regularization Provide occupancy rights
unregistered title, occupancy docu- strategy to provide security of
ment, sales document); land ownership tenure
(national government, provincial or local
authorities, private)
Physical Physical gaps (natural or human made), Identify the system of public Establish street and public
condi- ground water level, soils, density, con- spaces spaces
tions nections to water and electricity (legal, Determine housing improve- Road upgrading; microloans
illegal, metered) building materials ment strategy, infrastructure/ for housing; improvement;
(permanent, impermanent) services needs connections to water supply
mains and electric grid
Socio- Mix of economic activities, level of pov- Determine need for social Launch vocational training and
economic erty, ethnicity, presence of undesirable or programmes and economic other education programmes;
character- illegal activities (crime, drugs, prostitu- development initiatives promote community activities;
istics tion), youth gangs and other socially establish a neighbourhood
undesirable manifestations crime watch; preserve local
social fabric preventing exces-
sive turnover
City inte- Relative location within the city; acces- Determine key access issues; Provide accessibility through
gration sibility; public facilities (schools, health identify potential for integrat- public transport or organized
centres); local employment; public space; ing with city-wide functions informal fleets; create public
planning regulations and amenities; assess key spaces; reform regulations that
regulatory hurdles limit effective integration
Source: Adapted from Serageldin
Resettlements must take into account accessibility to One of Cairo’s poorest slums overlooking Egypt’s Foreign
employment areas, Jinja, Uganda 2005 © Suzi Mutter Ministry tower © Flickrt/Hossam el-Hamalawy
97
Take a holistic approach to In La Paz, Bolivia, the

upgrading installation of sanitary
units inside dwellings,
A multi-sector approach to infrastructure is the construction of roads
a key component in upgrading. A priority is and stairways and the
to expand transport systems so that they reach
informal settlements and enable residents to get
improvement of rainwater
to work. Access to potable water supply and drainage systems have
sanitation would address a critical public health improved asset value in
issue; managing solid waste can dramatically
reduce health hazards and create income
informal settlements.106
opportunities such as waste picking. Integrating
these sectors in all-around interventions In Bangladesh, boats that
improves land value, and, once tenure is
secured, asking for residents’ to contribute to serve as floating schools,
construction and/or maintenance would not be libraries and health centres
unreasonable. are fitted with waterproof
roofs and solar panels,
computers, high-speed
internet and portable solar
lamps.107
Neighbourhood in La Paz, Bolivia

© Flickr/i_gallagher
98
Public space and community facilities are Security of tenure can be attained step by
catalysts for self-upgrading. Public space helps step. Full titling and registration is obviously
create viable communities. Public street spaces the most secure form of tenure for a
increase accessibility and support economic household. However, titling can be expensive,
activities, they create economic value in the requires legal and administrative capacity that
proximity and facilitate the laying of other many developing countries lack, may cause
infrastructure. Public space also results in a property price increases and displacement
shared identity which induces care for the of poorer renters, and may exclude women
physical surroundings. It also enhances social and children.108 Owners of newly-regularized
interaction and builds trust and relations. plots might be tempted or pressured to sell to
Improved streets, plazas and parks give developers who foresee the increasing value of
residents a sense of permanence, instil pride in the land.109 Renters are particularly vulnerable
their living environment and act as a catalyst when owners gain formal titles as rent may
to invest in housing, which will contribute to increase sharply. Focusing on security of
increase property value and reduce physical occupancy instead has expanded the capacity of
marginalization. Community centres in easily local authorities in regularization.
accessible venues help engage the community
in practical activities, including vocational
training, job advisories and social development
programmes. Community facilities, which also
include health posts, nurseries and schools, can Steps towards tenure security
be movable to distribute impact.
• Facilitate access to areas with jobs and
improve health conditions;
• Instil a sense of permanence through
public space and community facilities;
• Issue a certification that the
settlement will not be removed or its
residents displaced for a stated period
(usually at least 10 years), but without
granting of formal titles;
• Provide temporary and renewable
occupancy permits;
• Initiate temporary leases that cannot
be transferred and long-term leases
(i.e. 75-90 years) that may or may not
be transferred;
• Assign a number and an address to
houses.
Floating school and libraries in Bangladesh reach remote

locations © Abir Abdullah-Shidhulai Swanirvar Sangstha
99
Prevent the formation

of informal settlements
Make affordable, serviced Affordable residential areas need

accessibility to basic services. Preparing land
land available for future urban use requires anticipating
infrastructure needs. Reserving land for trunk
An undersupply of land for housing can and social infrastructure and public transport
increase housing prices. Lack of affordable gives managers a lot of flexibility to meet
land forces the poor to live in informal future demands; for example, expanding roads
settlements close to jobs and transport, even if onto reserves, which would cost much less
this means they are exposed to tenure insecurity than building an arterial road from scratch.111
and other hazards. Policies that anticipate Municipalities experiencing high growth may
population growth should ensure that there is not have the financial and administrative
sufficient land zoned for affordable housing; by resources to deliver in advance the infrastructure
purchasing land where growth is anticipated, that paves the way for urban development.
local governments can help to stabilize land Specific strategies to overcome this include
markets, and discourage monopolistic or ensuring a sequential land release so that
“price inflationary” behaviour. The time it infrastructure can be provided efficiently, and
takes to convert land to housing means that it partnering with developers who can contribute
is essential to predict housing demand well in to infrastructure provision. Clear contribution
advance, for example a period of 20-30 years.110 requirements must be made known to them
Ensuring land is released efficiently when when the land is purchased.
demand shifts and continuously monitoring the
market would deter land speculation.
Informal settlements close to jobs and transport in Drainage infrastructure in Jardim Iporanga, Sao Paulo, Brazil
Mumbai, India © UN Photo/J.P. Lafonte © Affordable Housing Institute
100
Successful new schemes are demand-led. Provide access to areas of

Until the mid-1990s, many upgrading schemes
were developed in locations far from jobs to
opportunity
reduce land costs and so overlooking settlers’
priorities. Cost recovery calculations that ignore Accessibility is essential for anticipatory
the economic reality of low-income groups schemes. Laying out a grid of major arterial
may lead to infrastructure standards which roads and well-designed streets that are
are too expensive.112 In such cases, intended continuous and connected to the existing
beneficiaries may be inclined to sell or rent and city network creates economic opportunity,
return to informal settlements. Effective site and is central in the integration of informal
and services schemes would benefit from skilled settlements in the city’s urban fabric. Spacing
municipal personnel to run demand-led designs major arteries one kilometre from each other
in close partnership with affected communities. will ensure that future public transit is within
a 10-minute walk radius of any single city
location. Arteries’ widths of between 20 and 30
metres can accommodate car traffic, dedicated
bus lanes, bike lanes and pedestrian paths.113
Mixed land use policies shorten the distance

to jobs. Transport to employment centres,
either formal or informal, may be costly and
can impose a heavy toll on households getting
minimum wages. Adopting mixed-used zoning
standards will tend to bring together jobs and
services and thus reduce the need to commute.
Industrial policy in Delhi in India allows 73
different types of household industries, which
need permits to operate. Businesses benefit
from the availability of labour in informal areas
and residents benefit from local jobs.114
New housing scheme in Uberlandia, Brazil

© UN-Habitat/Alessandro Scotti
101
Informal settlement upgrading in

Manaus, Brazil
Manaus PROSAMIM Informal Settlement Upgrade © Skyscraper City
Manaus is the industrial centre of Brazil’s Amazon region. Rapid

growth, which saw the population increase 500 per cent from
300,000 people to over 1.5 million between 1970 and 2003,
was not supported by land control mechanisms or investments
in infrastructure. Combined with a lack of affordable housing,
unmanaged growth led to illegal settlements developing on the
tributaries of the Rio Negro, called Igarapés. These settlements
were constantly at risk of flooding. They had no electricity,
potable water or sanitation and, since solid and liquid waste
was dumped directly into streams, the settlements’ sanitary
conditions were poor.
A vicious cycle of poverty and pollution began to develop in
these areas. Houses built on stilts obstructed the river’s drainage
creating an acute environmental problem, and the proliferation
of mosquitoes and rats was a health hazard. The lack of
urban public space and foul smelling streams degraded the
surrounding neighbourhoods.
102
Solution
In 2003, the Government of Amazonas initiated a three-phase upgrading programme, known
as Iguarape Manaus Social and Environmental Programme (PROSAMIM), which was coordinated
with the municipal government and had support from the Inter-American Development Bank.
The integrated approach to upgrading was highlighted by Governor Omar Aziz, who stressed:
“The work of upgrading is not just physical – it’s also about providing opportunities.”
The programme foresaw the establishment of a road grid to connect the area with the city, the
rehabilitation of the bridge, the creation of public spaces on the waterfront of the recuperated
areas, and the provision of sewer and storm water drainage systems. New housing units were built
for the people that had to be relocated. The capacity of municipal and state agencies responsible for
urban planning was developed. This facilitated links with the Integrated Local Development Plan and
a recently prepared Urban and Environment Master Plan to increase the supply of affordable land.
The first stage was started in 2003 and was ready for execution in three years. Areas of intervention
were prioritized based on a socio-environmental cost-benefit analysis which took into account
population density and the severity of social and environmental problems. The Igarapé Educandos,
a priority area, had a density of 115 p/ha and a population of 31,973 people living under the flood
line which was 30 metres above sea level. Housing units were designed using locally available
materials and followed area specifications in the Master Plan, which specified a minimum of 54 m2
for a two-bedroom unit. The scheme included commercial space, which was offered to residents
who had previously owned a shop in the informal settlement. New housing units’ owners were not
allowed to make alterations or additions to the dwellings to prevent informal occupation of public
areas. New streets were designed to improve accessibility to the area and to connect it to the city’s
economic opportunities. In addition to improving the conditions in the area and to add value to the
housing units, parks on the banks of the Igarapés helped to prevent re-occupation and facilitate
maintenance of hydraulic structures. The infrastructure included water and sanitation services and a
sewerage system with collectors, interceptors and pumping stations.
The designation of Special Areas of Social Interest aimed to increase the supply of affordable land
for residential schemes, allowing low-income families access to properly urbanized areas. Close
collaboration with the community was facilitated by the creation of 32 associations to convey
residents’ interests and concerns. Involving households in decisions concerning resettlement options
greatly empowered the community.
Results
In its first two phases, an investment of USD 400 million was mobilized. By February 2012, the
programme had benefited over 60,000 people in Manaus through the construction of over 7 km of
roads and bridges that have improved citywide traffic flow; and 130 km of sewerage pipes that have
prevented the direct dumping on Igarapés of about 3 million litres of liquid waste and 3,000 kg of
household waste per day. Over 2,000 housing units connected to water, sanitation and electricity
networks had been built.
The seven parks built, with a total area of 218,802 m2, have contributed to developing civic pride
and optimism. The Senator Jefferson Peres Park is now one of the city’s most valued assets. The
integrated intervention has helped to reduce crime by more than 50 per cent.
The third phase is expected to further improve the access to surrounding neighbourhoods with new
roads and bicycle paths. In addition, five parks, social facilities and a 50 km sewer network will be
built.
103
How to build
resilience and reduce
climate risks
Building resilience enhances the reliability of a city’s performance
over time, making it better able to endure shocks. Climate
change is the most determinant change factor of our time
and cities must play a central part in addressing it. They are
compelled to do so because the effects of climate change,
which include rising sea levels, an increased frequency and
severity of storms, heavy rains, floods, droughts, hurricanes,
heat waves and other extreme weather events, will be felt
mostly by people living in urban areas and because cities
produce 75 per cent of greenhouse gas emissions globally.115
Creating cities that can cope with climate change requires
building resilience into urban planning, taking advantage of
mitigation opportunities and adapting to reduce vulnerability.
104
How to build resilience and reduce climate risks
Gonaives, Haiti © UN Photo/Marco Dormino
105
Embed resilience in urban planning
Integrate resilience in people to be forced out of their homes and

others to migrate. Bangkok in Thailand has
urban planning put in place climate change assessments that
collect historic weather events information in
Resilience depends on the capacity to risk maps in the Action Plan for Global Warming
anticipate and plan for the future. A plan that Mitigation 2007-2012. This aims to reduce
anticipates the effects of future shocks can help emissions by 15 per cent of the business-as-
a city to withstand them and rebuild itself when usual emission levels projected for 2012.
necessary. Hence, resilience is greatly influenced
by the quality of local management, its capacity
to anticipate events and enforce plans, the
Qualifying and quantifying risk
availability of information, and the quality of the
The Urban Risk Assessment, developed
infrastructure and services that the city provides. by the World Bank, the United Nations
Environment Programme (UNEP) and
Assessments identify sectorial vulnerabilities UN-Habitat with the support of Cities
and provide the basis for prioritizing Alliance, is a standardized tool to
assess urban risk and identify areas and
spatial adaptation. Vulnerable groups are
populations that are most vulnerable,
less able to adapt and have fewer resources. which are typically those living in informal
Their livelihoods tend to be precarious and settlements. The Urban Risk Assessment
fragile, and a lack of entitlement means no provides a framework for both qualitative
compensation for any loss. In addition to and quantitative assessments to enhance
homelessness, extreme weather events cause a local governments’ capacity to identify
hazards arising from disaster and
climate change risks; assess exposure
and vulnerability of specific assets
and populations; analyze institutional
capacities and data availability, and
quantify city vulnerabilities through the
application of a baseline-benchmarking
approach to assess progress over time and
space.
http://www.kcccc.info
Resilience is not an add-on but an integral

part of a city’s plan. It can only be achieved if
all components of the complex urban system
are taken into consideration. Making a city
resilient involves guiding development away
from risk areas, addressing the expansion of
Flooding in Bangkok, Thailand
© Flickr/Sasamon Rattanalangkarn informal settlements, and addressing the lack
106
of infrastructure and the degradation of the urban areas with reliable system performance
environment. These developmental constraints over time. Rather than a risk reduction cost,
are the same that hinder resilience so, instead of resilience investments should aim to create a
seeing vulnerability as an additional concern to development premium for an urban area.116
be addressed separately, cities will benefit from
mainstreaming resilience into urban planning. Inaction is expensive. Cities that have not
been able to prepare themselves for the effects
of extreme weather have suffered severe
Integrate investment in disruption that will take decades to overcome.
No action means the expected costs to cities
resilience into broader will be high. The cost of Hurricane Katrina on
urban investment New Orleans and other affected areas in the
United States was estimated at USD 100 billion.
A resilient city is competitive and can sustain In Manila (Philippines), Bangkok (Thailand) and
its advantage over time. By proactively Ho Chi Minh City (Vietnam), costs to repair
increasing resilience, cities will be better damage from climate change-related flooding
positioned to absorb and respond to shocks. are likely to be substantial, ranging from 2 to 6
The primary purpose of urban investment is per cent of regional GDP; a 1-in-30 year flood in
to enhance the functioning and performance Manila could cost between USD 900 million and
of the relevant urban area. New investment USD 1.5 billion with the current flood control
for resilience will be more effective if, beyond infrastructure.117
mitigating risk, it intends to create competitive
Funds for resilience should be aligned
with urban fixed investments. Urban fixed
investments should work for resilience. Since
funds pledged for resilience in urban areas
are only a small portion of the investments
in fixed assets planned by cities, they can
therefore only achieve significant impact if the
overall investment in fixed asset is working
for resilience. In order to use them optimally,
they need to be aligned with the expected
investments over the next two decades rather
than being used for stand-alone risk reduction
projects. In this way these limited funds can
leverage much bigger benefits for a city as they
can be used to improve the contribution to
resilience of large investments.
Frequent floods in Manila, Philippines especially affect the
most vulnerable © New Security Beat
107
Adapt to reduce vulnerability
Mainstream adaptation in Planning standards mainstream risk reduction

into urban development.119 Vulnerable areas
land policies and building should be demarcated according to risk levels;
standards for instance areas exposed to annual flooding,
areas exposed to flooding once every 10 years
In addition to loss of life, extreme weather and so on. Land use and building standards
events cause major damage to property should be adjusted to each of those areas. For
and infrastructure, resulting in massive instance, areas exposed to regular flooding
economic and productivity losses, including should be left vacant or reserved for parks and
GDP shrinkage, investment retrenchments and sport facilities; trees and vegetation should
higher business costs. The estimates of sea level be protected to sponge up excess water and
rise for this century vary between 18 cm and prevent occupation. Building requirements in
two metres. Cities such as Kolkata and Mumbai areas exposed to periodic flooding can include
in India, Dhaka in Bangladesh, Guangzhou in construction over pillars or banning people from
China and Ho Chi Minh City in Vietnam will living on ground floors. Capacity building of
be among the most affected. A 1996 study planning staff and ongoing training for local
quantified the cost of a one metre sea-level builders and contractors, including informal
rise in Mumbai at USD 71 million.118 Much of ones, should be promoted.
Singapore’s city centre is built on reclaimed land
and would be affected by a rise in sea level Planning should guide development to non-
putting the financial district and other multi- vulnerable areas. Urban settlements often
million infrastructural investments at risk. develop in hazardous areas due to a lack of land
in safer locations. Unaffordable land leaves no
alternative to the poor but to settle next to jobs
and transport, irrespective of how dangerous
the site may be. A planned extension of at
least twice the existing built-up area would
avoid people speculating and thus would make
well-located, affordable land more available.120
Within this extended growth area, planning can
guide growth away from high-risk sites, such as
flood plains, areas affected by sea level rise and
drought areas, and encourage growth where it
is safe. The layout of trunk infrastructure and
rights-of-way, and public transport networks are
major tools for achieving this.
House on stilts in Hong Kong

© Flickr/Ken Yee
108
Adapt infrastructure to tide level.123 In Cape Town, South Africa,

buffer zones establish more stringent set-back
climate variability lines for developments and disincentives for
development close to the shore.124
Infrastructure location and construction
standards must be adapted to local risk Droughts and saltwater contamination create
factors so that roads, bridges, power lines and water supply shortages in cities affected by
pipes can cope with extreme weather events. dry weather and a rise in sea level. Common
Specific adaptations for flooding and sea level initial adaptation responses include economic
rise that focus on protective infrastructure could incentives to reduce consumption, daily supply
be one of the major gains that spatial planning limits, temporary water tariffs, leak reduction,
can bring. Adaptation cannot be separated water pressure management, promotion of
from fixing problems in the basic drainage, traditional practices for sustainable water use
water supply and sanitation infrastructure.121 and awareness campaigns.125 Supply can be
Heavy rains can be devastating in informal areas increased by desalination of sea water, reuse,
that do not have proper drainage or where the harvesting, expansion of rainwater storage, and
system is clogged and not properly maintained. removal of invasive vegetation from riparian
Shortages of drinking water can become more areas. In Windhoek, Namibia, direct potable
serious where there is a poor supply and can reuse already constitutes the city’s main drinking
contribute to the spread of diseases. water supply after education campaigns made
this acceptable for the public.126
Integrating infrastructure and spatial
planning significantly contributes to building
resilience. Most coastal zone-related measures
have centred on tackling floods through hard
infrastructure. Regulating land use according
to risk assessments is a proactive measure that
can complement and improve the efficiency
of such investments. Dhaka in Bangladesh has
reinforced river and canal embankments and
built protective walls, sluice gates and pumping
stations, but has also worked on addressing
encroachment on several city canals which
has reduced canal-filling and drain-clogging.
The programme proved effective in protecting
over half of the city from major floods in
1998 and 2004.122 Singapore’s buffer zone
development requires new land reclamations
Reinforced river embankment along the Brahmaputra River in
to be 2.25 metres above the highest recorded Dhaka, Bangladesh © Leila Mead/IISD
109
Take advantage of climate change

mitigation opportunities at the local
level
Mainstream mitigation Emission reduction should be embedded
in spatial and transport planning. Dispersed
in spatial and transport patterns are associated with lower densities
planning and larger home sizes which occupy more land,
resulting in loss of forest and vegetation. This
Efforts to reduce emissions start with reduces nature’s carbon dioxide (CO2) uptake
knowing how they are produced. An capacity. Compact city policies rationalize the
inventory allows quantifying how a city use of land, which creates opportunities for
generates emissions by disaggregating them by compatible growth and the retention of open
sector and by actor. It will provide policy makers areas. Mixed-use reduces the need to travel
with a baseline and identify opportunities and, if public transport could provide a time and
to reduce emissions. It is important to set a cost advantage over private cars, car ownership
clearly quantified GHG reduction target; most would be discouraged, hence reducing
cities have established these as a percentage emissions.
of improvement compared to the baseline
year.127 For example, the International Local
Government GHG Emissions Analysis Protocol
(IEAP) provides inventory categories for public- Cities take up 2 per cent of
sector facilities and vehicle fleets, privatively-
the Earth’s land mass and
owed residential, commercial and industrial
buildings, and transport. Disaggregated generate between 30 and
emissions prevents double-counting.128 40 per cent of the total
emissions.129
An inundated settlement near Canal del Dique, Colombia

© UN-Habitat
110
Graph 5.1 How far does one tonne of CO2 take a person?
Pedestrian/
Bicycle
Scooter
(gasoline)
Car (diesel)
Minibus
(diesel)
Bus (diesel)
Articulated
bus (diesel)
0 50 100 150 ∞
Kilometres (’000)
Source: GTZ
Chart 5.1 Emissions in New York City
City-wide CO2 eq by sector (2007)
Buildings 77%
Residential 32%
Commercial 24%
Industrial 12%
Institutional 9%
Transportation 22%
Transit 3%
On-road vehicles 19%
Other 1%
Methane 1% Total = 61.5 million metric tonnes
City-wide CO2 eq by source (2007)
Diesel 3%
Distillate fuel oil 9%
Electricity 38%
Gasoline 17%
Kerosene 1%
Methane 1%
Natural gas 24%
Residual fuel oil 4%
Steam 3%
Total = 61.5 million metric tonnes
GTZ Sourcebook Module “Transport and Climate Change” (2007). Based on Hook / Wright, 2002
111
Buildings consume about one third of energy Sequestrate carbon

worldwide throughout their lifecycle. Rapid
population growth is expected to lead to an
and capture the energy
increase in the building stock, which under the embedded in waste
“business as usual” model will entail a greater
energy demand. Building regulations at the local Urban greening can be used for carbon
level aimed at energy efficiency can contribute sequestration to improve air quality and to
to reduce consumption and GHG emissions. reduce the heat island effect. Examples of
The choice of less energy intensive building greening are tree-planting schemes on roads,
materials can also contribute significantly to vacant land and new development sites;
reducing emissions. restoration and preservation of urban forests
and other green areas, and green roofing. In
Industry can generate up to half of a city’s the United States, carbon sequestration in
total emissions. Although some industries have forests has been estimated at a range between
invested in energy efficiency and offsetting 1.5 and 6.5 metric tons of CO2 per hectare.
technology, it is still an energy intensive sector Carbon sequestration can extend between 90
and can be extremely polluting. and 120 or more years before these areas reach
their saturation point, beyond which additional
Transport is a high producer of emissions. sequestration is no longer possible. Even after
Passenger cars, trucks and buses that use fossil saturation, trees would need to be sustained to
fuel combustion engines are large contributors maintain the accumulated carbon and prevent
of emissions, especially passenger cars which its release back in the atmosphere.131
produce about on average 125 grams of CO2
per passenger-kilometre, which is only 5 grams Carbon credits can be a potential financing
less than planes.130 option. Waste-to-energy projects are eligible
for funding through ‘carbon credit’. Delhi, São
Waste can generate up to a quarter of Paulo, Mexico City and Cape Town have tapped
emissions, with the bulk of these stemming into this resource. By selling their credits, São
from burning of waste and disposal in Paulo’s Sao Joao and Christchurch landfills
uncontrolled sites. Waste generates 11 per cent will earn USD 5.7 million and USD 3.5 million
of total emissions in Mexico City (Mexico), 20 respectively at the end of their crediting periods.
per cent in Bangkok (Thailand) and about 25 While technical requirements and administrative
per cent in Sao Paulo (Brazil). procedures for eligibility can be time consuming
and unfamiliar to municipal staff, the fact that
several cities are benefiting from it shows the
potential of this option.
112
Captured methane in sanitary landfills can from São Paulo’s Bandeirantes plant in Brazil
be used as an energy source to produce heat generates 7 per cent of the city’s electricity
and hot water; as feed to power generators consumption, enough to supply a population of
to produce electricity; and it can be reused as 600,000 for 10 years.132 The Okhla composting
vehicle fuel. The city of Lille in France reuses project in Delhi (India) reduces around 1,600
methane extracted from its municipal landfill for tonnes of methane emissions per year, which is
fuelling a share of its public bus fleet. Methane equivalent to 34,000 tonnes of CO2.
Okhla composting project in Delhi, India A waste landfill in Sao Paulo, Brazil
© Flickr/The Advocacy Project © Flickr/Alex Steiner
113
Resilience as a guide for city
expansion
Sorsogon, Philippines
Sorsogon, Philippines © UN-Habitat/Bernhard Barth
Sorsogon City is a trade and commerce centre with a population of

152,000 people. It is in the southernmost part of Luzon province on a 10
kilometre-wide strip of land that is exposed to the Pacific Ocean on both
the east and west sides. An average of five tropical storms annually cause
damage to properties and impede regular economic activity. Flash floods,
prolonged dry spells, temperature increases and an accelerated sea level
rise are among the risks to the city created by the changing climate.
A Vulnerability and Adaptation Assessment, carried out under UN-

Habitat’s Cities and Climate Change Initiative (CCCI), showed that 34
out of Sorsogon’s 64 barangays (villages) in coastal areas are vulnerable
to a sea level rise, storm surges, strong winds and tropical storms. Eight
villages were identified as being highly vulnerable due to a combination of
exposure to multiple hazards, poverty, overcrowding and a low adaptive
capacity. The assessment estimated that the cost of damages in the event
of two tropical storms in a four-year period would be about USD 20 million
for transport, communication and energy infrastructure, and about USD
250 million for housing.
114
Solution
The assessment informed the formulation of land use strategies and development options.
According to Mayor Leovic Dioneda, “...calamities became the entry point to Sorsogon City’s
openness to climate change adaptation and mitigation, prompting a review of local plans to make
them risk sensitive”. Sorsogon City’s Comprehensive Land Use Plan (CLUP) and Comprehensive
Development Plan (CDP) aimed to direct urban expansion to safer and inland areas while restricting
the occupation of high-risk zones; and protecting existing built-up areas, prime agricultural land
and environmental assets through the application of disaster risk reduction and climate change
adaptation measures.
An important factor for success was the involvement of representatives from the local government,
national government agencies, civil society organizations and barangay officials in the process of
updating the plans. Stakeholders agreed on the need to raise the awareness of Sorsogon City’s
constituents on climate change mitigation and adaptation and to reduce greenhouse gas emission
by cutting down energy consumption and using cleaner technologies. To raise awareness, climate
change will be included in the curriculum for tertiary schools, while education and communication
campaigns have been conducted through local radio and television stations. The campaigns
motivated 100 city employees, 300 students from 5 schools, and 80 city scholars to provide input to
the climate change action plan.
Sorsogon City’s main mode of public transport is the tricycle (motorcycle with sidecar) and of the
more than 3,000 of them on the streets, around 40 per cent have 2-stroke engines. To reduce GHG
emissions, the City Council is finalizing an ordinance to replace 50 per cent of them with 4-stroke
engines within five years. In addition, about 100 conventional street lighting fixtures have been
replaced with energy efficient LED lamps.
Results
It is expected that about 22,000 families’ vulnerability to the impact of climate change will be
reduced over time as the land use comprehensive development plans are implemented. Adaptation
measures for housing will improve the resilience of about 30,000 dwellings that are vulnerable
to typhoon damage, thus saving about USD 3.3 million in housing reconstruction costs annually.
Settlements in high-risk coastal zones will be incrementally relocated inland, either through
local shelter relocation projects or through voluntary resettlement according to the city’s Local
Shelter Plan. To make urban expansion areas attractive to settlers and investors, safe, non-primary
agricultural sites will be reclassified as neighbourhood development nodes that will be supported by
infrastructure investments.
“Climate change and disaster sensitized local plans helped us create a guide for city
development” Mayor Leovic Dioneda
According to Dioneda, “Climate change and disaster sensitized local plans helped us to create a
guide for city development.” Leading by example, the Sorsogon City Hall, which was destroyed
by a tropical storm, was relocated to a low-risk urban expansion area. In the same area, the local
government has allotted one hectare of land for the relocation of about 500 informal settler
families, and there are plans to build residential units for 200 city employees in the vicinity of
the city hall. A coconut juice factory that creates employment for up to 700 workers has been
given planning consent within the area, creating opportunities for local economic development.
The Comprehensive Development Plan also foresees the construction of a transport terminal, a
convention centre and an education facility in the urban expansion area.
115
How to make
a city safer
Lack of safety can be harmful to a city in many ways. Crime has

significant socio-economic costs because it puts off investors
and tourists, it inhibits local entrepreneurial spirit and damages
social cohesion. Although violence in a city is a multidimensional
phenomenon, there is evidence that poor urban design
decisions result in a poor physical environment, which may
increase crime. Making crime prevention a priority in the
agendas across municipal departments may make a significant
difference and coordinated policy and action in spatial planning,
transport and urban design in particular can reduce fear, crime
and violence.
116
How to make a city safer
Amman, Jordan @ Alain Grimard
117
Understand the impact of crime
Quantify the cost of crime Engage the community

in urban areas Safety audits are effective for preventing
crime and give city planners first-hand
Crime is a major barrier to socio-economic information on which safety issues to address
development. It deters inward investment, and women’s audits identify where the potential
inhibits tourism and causes skilled people for a crime is high or where women feel unsafe.
to leave, thus reducing the pool of qualified Successful audits require partnerships between
human capital; all of these have an impact on local authorities and community groups, and a
economic development. High robbery rates take commitment to implement them. This tool has
a psychological toll on citizens, hampering their been effective for containing crime in a number
business spirit and lowering property values. of neighbourhoods in Durban (South Africa).134
Crime statistics related to GDP costs enable Communities can be key partners in
municipalities to realize the magnitude of addressing crime. For instance, the municipality
the issue. Such statistics are readily available at of Toronto (Canada) provides social development
a national level. For example, the cost of crime programmes in high-risk neighbourhoods
over national GDP can be as high as 25 per to address citywide crime prevention.
cent. Domestic violence alone can cost up to “Neighbourhood Action Plans” are prepared in
2 per cent of GDP.133 However, to understand collaboration with communities, the police, local
the situation at the local level, statistics should education and social services agencies. These
reflect costs compared to urban GDP. plans have financial and administrative resources
to make them operational.135
Protests against crime in Mexico Community meeting in Itinga, Bahia, Brazil

© Flickr/Brenmorado © Flickr/Secom Bahia
118
Mainstream crime prevention in

urban planning
Use urban planning to Access to transport reduces the negative

effects of segregation. Isolation produces
prevent crime negative socio-economic outcomes, which can
lead to social unrest and crime. Areas with
Urban planning has a key role to play in the mainly un- and under-employed residents often
prevention of crime. Using urban planning cannot support businesses and community
to reduce inequality and marginalization, and institutions, making the area spiral downward.
street level interventions in informal settlements
are among the most crucial initiatives in the Mixing uses increases opportunities for
prevention of crime. Planning helps to identify active and passive surveillance. Combining
root causes, establishes a local presence of residential, work and commercial places within
the state and helps to build trust between neighbourhoods can reduce the exposure
marginalized groups and institutions, which is to possible violence in public transport and
a key strategy for crime prevention. Although ensure more surveillance. Allowing commercial
urban crime is a complex social phenomenon, activities around the clock, for example shops
urban planning interventions can have an open late into the evening or all-night cafes will
impact by making space for formal and informal attract pedestrian activity and provide passive
economic activities, recovering and maintaining surveillance.136
public spaces for a diversity of users in a positive
way, and making services and opportunities Public space and the use of existing public
available to marginalized residents. facilities for occupational activities can
reduce crime. Well-maintained public space
develops a sense of identity and ownership in
communities, which can be an effective crime
deterrent. Local schools can provide much
needed space for community activities in a
cost effective way. Developing a curriculum
of activities is key for effective policies. The
“Children Programme” in Santos, Brazil, is an
after-school programme providing education,
health, and food for 5,000 children living in
favelas.
Children dancing capoeira in a favela public space

© Anneke Jong
119
Conflictive spots like vacant buildings can Prevent crime on public

be transformed into vibrant community
facilities. Using abandoned buildings as
transport
community facilities sends a message of
collective improvement when they are part of Urban design and frequency of service
larger neighbourhood improvement projects. prevents crime related to transport. Most
In Diadema, Brazil, a community-based transport-related violence does not occur when
intervention increased residents’ perceptions people are using vehicles but when they are
of safety and deterred others from lingering,137 waiting in stations and at stops or are walking
reducing the murder rate by more than 44 per to and from them.139 Designing stations as
cent in 2002.138 24-hour activity hubs can improve their safety
by facilitating pedestrian flow and maximizing
Extending police services to marginal areas passive surveillance.140 Waiting areas, bus stops
can improve feelings of security and reduce and taxi ranks can be attractive to offenders,
crime. In many cities, police stations only service particularly when they are in isolated spots.141
formal areas and leave informal settlements and Improvements include good lighting and clear
poor neighbourhoods to fend for themselves direction signs. The location of stops should
against criminals. Being close to police be near built-up areas and existing road and
facilities gives reassurance about a permanent pedestrian networks.
commitment to curb crime.
Mobile police facilities enhance security, Bogota, Colombia Bangkok pink bus
© UN-Habitat/Laura Petrella © Flickr/Philip Roeland
120
Several cities specifically address women’s

safety in public transport. In Canada,
Montreal’s “Between two stops” programme
allows women to get off between two bus
stops to be closer to their destination.142
London’s “Safer Travel at Night” initiative
successfully reduced the numbers of rapes and
sexual assaults occurring in unlicensed minicabs.
It was a joint partnership between the Greater
London Authority, Transport for London and
the Metropolitan Police Service.143 Women-only
transport services are a way to address safety
concerns. “Pink” metro cars are available during
rush hours in Mexico City (Mexico), Rio de
Janeiro (Brazil), and Tokyo (Japan). “Lady Bus”
services have been tried in Bangkok (Thailand).
121
Reduce the risk of crime through

urban design
Reduce crime through Design should create a sense of human scale

and ownership of public space. Adequately
urban design modulating building height to street width
ratios can avoid creating confined passages or
Urban design can reduce the incidence of vast avenues with limited natural surveillance.
crime in communities. Criminal activities tend The treatment of building façades and other
to be more common where there is insufficient architectural features could also create friendly
street lighting; near unpaved trails and paths spaces through window placement, commercial
that block access to police cars and other ground floor uses and restricting blank walls
vehicles; in vacant lots, derelict buildings; and facing pedestrian routes.146
where few people are watching what is going
on, such as on deserted streets, areas flanked There is a direct relationship between public
with high blank walls, and in large open space design and maintenance and the
spaces.144 Safe design manuals and guidelines perception and incidence of crime. A sense of
distributed amongst property developers help to “no man’s land” can lead to deterioration.147
incorporate safety issues in projects, and crime Public space maintenance is paramount to
prevention mechanisms can be a prerequisite prevent vandalism, which could exacerbate
for granting planning approval as in Bradford feelings of insecurity and entail disinvestment.
in the United Kingdom (U.K.).145 A number of The “broken window theory” provides evidence
governmental agencies in Australia, the U.S. the that derelict spaces tend to attract a higher
U.K. and Singapore have made urban design an number of offences than those that are properly
integral part of their crime prevention strategies. maintained. Good maintenance can also reduce
the need for funnelling cash into new assets.
A bus stop in Shrewsbury, England Public space in Lyon, France

© Flickr/Calotype46 © UN-Habitat/Laura Petrella
122
Urban design features that increase “eyes on the street”. This has a number
of design implications on the orientation
safety of buildings, placement of entrances,
windows, parking areas and pedestrian
• Lighting is one of the main ways to networks, and ground floor uses. The
make open and public spaces feel safer. installation of close circuit television
As a general rule, more light fixtures (CCTV) surveillance equipment helps to
with lower voltages is better; pedestrian reduce vehicle crime in car parks.149
walkways, back lanes and access routes
to public spaces intended for night use • Pedestrian paths should avoid dead
should be well lit so that a person with ends and concealed routes, such as
normal vision can identify a face from a underpasses and tunnels. They should
distance of about 10 metres.148 Lighting be well lit and if possible provided with
should be brighter and there should vandalism-resistant street furniture.
be more of it in car parks, building Whenever possible they should be
entrances or access paths to public connected to the main street network
transport stops and stations, while paths and existing pedestrian itineraries. Unsafe
or areas that people are discouraged routes should be discouraged by clearly
from using at night should remain unlit. signalling preferred alternatives.150
Thought should be given to possible light • Sight lines. The inability to see what
obstructions such as mature vegetation is ahead along a route due to sharp
or bushes, and proper maintenance of corners, walls, pillars, fences, and mature
fixtures should be ensured. landscape and other blind spots can
• Passive surveillance. The design of make people feel unsafe.151 Designing
public space and green areas should with visibility in mind should anticipate
facilitate passive (i.e. by-passers) these and other possible obstacles.
surveillance by maximizing the number of
123
Integrating transport and social

infrastructure
Medellín, Colombia
Medellin, Colombia © UN-Habitat/Laura Petrella
The population of Medellín tripled between 1951 and 1973

fuelled by the city’s manufacturing industry, principally
textiles. Rapid immigration led to the development of informal
settlements on the city’s steep hills. Because they were difficult
to access, the settlements became disconnected from the valley
where the formal city is located. The very limited number of
public interventions in areas such as Santo Domingo and La
Aurora resulted in informal, chaotic and under-serviced growth.
These areas became notorious crime spots.
The government of Medellín prepared an integrated plan to

address issues of accessibility, inclusiveness and security. A
key factor in the integrated approach was the simultaneous
implementation of Metrocable, a transport system, and social
infrastructure such as libraries, schools, sporting facilities and
public spaces adjacent to stations.
124
Solution
The Metrocable system consists of cable cars that negotiate the particular topography where
informal settlements are located. An innovative and affordable solution, Metrocable was first
included in the Medellín Development Plan 2001. The project was given continuity by mayors Sergio
Pérez, Sergio Fajardo and Alonso Salazar, and by 2008, three Metrocable lines had been built. Policy
consistency was thus a key success factor. “True urban transformation can only be achieved by the
synchronization of successive administrations,” said current Mayor Aníbal Gaviria (2012-2015).
Metrocable was financed by Metro, a public company consisting of the Antioquia Department and
the Municipality of Medellin. Line K, reaching Santo Domingo, opened in 2004. It is two kilometres
long and climbs an average slope of 20 per cent to serve 230,000 residents. Line J, to La Aurora, has
three stations over a distance of 2.2 kilometres that serve a population of 295,000. Line L runs to
Parque Arví.
Construction was rapid. Line L, for example, took only 16 months to construct with a budget of
USD 23 million. Fares are USD 0.60 and are valid for transfer to the Metro system. A 10-person
cabin arrives every 12 seconds, resulting in a capacity of 3,000 people being transported per hour
in each direction. The system consumes 6,000 kWh per day; in cases of power failure, it is designed
to operate using diesel engines. Providing urban infrastructure was not a matter of transport
engineering only. “Interventions that address urban issues holistically are more likely to
solve problems than sector actions,” says Gaviria, adding that “integrating transport with
public space and community facilities has proven to be an effective formula in Medellín”.
Spatial equity is a key goal of the Development Plan. The social strategy developed by Metro was a
principal tool in ensuring community awareness and support. The participation of community actors
through planning and execution has helped to eradicate the stigma of exclusion and has created a
sense of belonging and neighbourhood pride.
Results
Metrocable is regarded as a symbol of urban regeneration in Medellin. One of the very few aerial
cable car systems used for public transport, Metrocable has reduced the time Santo Domingo
residents take to get to the city centre – the journey that used to take up to two hours by minibus
now takes just seven minutes. Improved access has stimulated employment and social integration.
Commercial activity has increased by 400 per cent, with small family-run businesses and restaurants
thriving around Metrocable stations. There is evidence of increased land values and rents, banks
have opened branches in the area, and tourism is becoming an unexpected yet significant source of
income. Access to employment, goods and services helped to reduce violent episodes by 79 per cent
between 2003 and 2004.
In the area of the Santo Domingo station, a cluster of public facilities features Biblioteca España, a
large public library which has 1,000 visitors daily, and a branch of Cedezo, a public centre providing
advice and mentoring to micro enterprises. The upgrading of public spaces and the creation of new
parks was an important programme component, resulting in the increase of public space by 2.5
times per capita. The streets where pylons were installed have been redesigned with traffic calming
measures and, now, more than three kilometres of streets feature ample sidewalks with over
1,000 newly planted trees. Mayor Gaviria says: “Metrocable is not a one-off intervention. It is fully
integrated in the city’s development strategy and its mobility plan.” Ultimately, this integration has
made possible a one fare system that has cut household transport budgets by USD 100 per month,
generating economic savings for the community that were valued at approximately USD 8 million
in 2011. Environmentally, Metrocable has helped to reduce emissions of particulate matter, CO2,
greenhouse gases, and other pollution by reducing the use of outdated and badly maintained buses
running on steep, narrow roads. This saves around 20,000 tonnes of CO2 a year, allowing the city to
fund part of the operating costs through emissions trading.
125
How can urban

planning generate
financial resources?
As rapid urban growth exacerbates pressures on municipal
budgets, the lack of resources may result in chaotic spatial
patterns. Without adequate financial means local governments
are unable to undertake the capital improvements needed to
keep up with urban growth, let alone guide urban development.
The challenge to deliver urban services for all while keeping
taxes at a level that does not push out individuals and
businesses highlights the importance to reach out to a variety
of sources. In this setting, a city with strong urban planning and
an engaged civil society and partners would be more capable
to mobilise a resource base; it will be more investible than a
city without direction. Capturing the value released from city
extension and renewal is a way for local leaders to avail their
cities of every opportunity to strengthen resources.
126
How can urban planning generate financial resources?
Kibera, Nairobi, Kenya © UN-Habitat
127
Diversify the local resource base
Assess all potential sources a daunting task that can be made difficult by
a lack of up-to-date records, the prevalence of
The redistribution of centrally collected informal housing and unstructured or informal
revenues is often insufficient. Transfers from economic activities. When central governments
the national government include grants; local are in charge of collecting property taxes, their
share of taxes collected by national (including records for rapidly growing cities tend to be
Value Added Tax) and in some cases provincial outdated since it is too costly to update them
authorities; and earmarked funds for specific regularly. However, when a part of the property
projects. Transfers from the central to the tax revenue is distributed back to the city, the
local level are usually insufficient to provide loss caused by outdated records can have a
adequate funding, and cities tend to rely on profound effect on the municipal budget. For
these transfers to bridge the gap between their municipal taxes, an effective collection system
revenue raising capacity and local expenditures. is essential; billing should be reliable and timely
Ideally, central transfers should be made to allow households to plan, and convenient
available to municipalities in time to allow them places to pay are important to eradicate a
to prepare their budgets. In many developing culture of non-payment.
countries, this is unfortunately not the case.
Central transfers fluctuate from year to year, A cadastre is a key tool for tax collection.
forcing cities to make ad hoc revisions to their A cadastre is a long-lasting tool that is essential
budgets during the fiscal year. for managing growth and collecting taxes.
Without a cadastre, existing properties and
Property tax and taxes on economic activities formal economic activities may carry more of
are the main sources of local revenue. These the city’s tax burden while new, often affluent
include income, sales, excise and shared taxes, development, escapes taxation. A rise in private
and user fees for services provided by the property values, which may be the result of
municipality. The efficient collection of taxes is public improvements, is rarely a benefit to
Table 7.1 Local government budget in intermediate cities by region (sample of 73 cities)
Region USD per capita
Africa 27.9
Latin America 763.8
Asia 210.1
Europe 1,001.9
Lowest: Brazaville, Congo 1.6
Highest: Lausanne, Switzerland 6,254
Source: Carmen Bellet Sanfeliu and Josep Maria Llop Torne (2003), Looking at other urban spaces: intermediate
cities, discussion paper, UIA-CIMES and University of Lleida, Spain
128
the city because of obsolete tax rolls and no sold or given in concession for a period of
capacity to revalue properties. A system of time. Cities that have had major transformation
“addressage”, which allocates addresses to projects either had full control due to the public
each building, can be an interim option and ownership of land, or had acquired land in
involves drawing a street grid and assigning a advance to be able to influence development
numbered address to each parcel of occupied patterns.
land. For property tax purposes only, the width
of the building’s façade is measured to estimate User fees need to balance performance
the tax level. and equity concerns. Users fees are often
set below cost-recovery level because this will
allow poorer people to access services and acts
The Bogotá cadastre as an incentive to use certain services (such
as public transport). To increase recovery and
In 1997, Bogotá’s Administrative
Department for the District Cadastre balance accounts, cross-subsidy schemes have
in Colombia set about updating the been used, or increased incentives have to
cadastre which resulted in the update of be matched by increased transfers to service
1,734,622 properties, 102,531 of which providers. Extending the compliance and
were categorized as incorporated-as-new. overcoming non-payment practices requires an
The cadastral base value was increased by efficient billing and collection system, minimized
32 per cent and a calculation suggested
tempering, and awareness building.
the district would receive an additional
income of USD 24 million in property
taxes per year. The city spent about USD
4 million on the updating process, a cost-
benefit that is especially positive because
this investment is only made once and
the resulting additional resources are
permanent.
Source: Bustamante and Gaviria152
Public land is a key asset for the resource

base. Assessing and keeping updated records
of the extent of land owned by the local
government should be a priority. The control
of planning regulations which affect land value
and the ability to release land to the market in
time increase the strategic importance of public
land and development rights as valuable assets. Cadastral information is essential for transformative urban
Land can be used as equity for joint ventures, projects, Nairobi, Kenya © UN-Habitat
129
A clear plan of investments and transparent sufficient recovery and returns on investments
public expenditures increase compliance. to repay debts may not always be simple. Credit
Collection of fees and other charges is rating for cities is also not always available and
much improved when residents can see perceived risk may make borrowing expensive,
how the money collected is used and when however, several options exist for municipalities,
there is a clear link with locally significant and mechanisms have been developed to
improvements. Building clear mechanisms for enable them to access financial markets.
deciding on public investments and allowing
residents’ participation have resulted in greater Cities that are empowered to borrow and
compliance and better understanding of the issue bonds should be fully aware of the
significance of charges. risks involved, which can be substantial during
economic downturns. Estimates of incremental
tax receipts to be derived from the new
Draw on the financial developments may not materialize to the extent
or time-frame anticipated. In this case, the local
market government may be forced to issue general
obligation bonds to cover the shortfall, thereby
Cities access to financial markets can be incurring new debt. Meanwhile, the new
achieved through various mechanisms. The project will place demands on public services
access to domestic and international finance requiring operation and maintenance costs that
is not easy for many municipalities, which do cannot be covered by the TIF bond proceeds.
not always have borrowing power. Ensuring Imposing impact fees on developers will work at
Table 7.2 Typology of mechanisms for access to financial markets
Financial mechanism Objectives Characteristics Examples
Special financial vehicles (indepen- Large scale urban projects Municipalities that have no bor- China
dent, wholly-owned companies) rowing power borrow through
such vehicles from the financial
market
Municipal Development Funds (MDF) Capital investments Central governments institu- Colombia (FINDETER)
and Municipal Finance Institutions tions that access financial
markets and borrow to
municipalities
Social Investment Funds (SIF) Pilot projects aimed at social Management companies and Pakistan (Acumen Fund)
development and poverty other organizations borrow
reduction to low income residents and
businesses
Tax Increment Financing bonds (TIF) Finance front-end costs for To be repaid from the revenue Unites States
the development of financially from additional tax receipts
viable projects: mixed-use from the project
projects and industrial and
office parks
Source: adapted from various sources
130
cross purposes with the need to accelerate the vending and market stalls that are collected
pace of private investment. Cities in developing from hawkers in informal areas and along the
countries have been unable to use this source commercial streets.
due to a lack of borrowing power or lack of
credit rating. Remittances can be used to finance basic
infrastructure and community facilities.
Creating partnerships between the associations
Leverage informal of expatriates, local authorities and community-
based organizations can lead to funding
contribution to resource targeted projects. For example, in the
base Philippines, the local government of Pozorrubio
encouraged its large population living abroad
The informal sector can contribute to the to channel remittances towards public works
resource base. Municipalities are seeking projects. Pozorrubio is now one of the most
ways to integrate the informal sector into the developed rural centres in the Philippines and
resource base because the informal economy has one of the highest tax collections in the
is an important share of the local economy. region.
Registering vendors and providing them with
the right to operate will help to integrate this Microcredit can enable informal residents
sector and allow the city to better monitor and and entrepreneurs to participate in urban
promote its economic activities. A common improvement. Microcredit institutions can
mechanism is to apply flat fees for street play an important role in upgrading informal
settlements if they provide loans for home-
based economic activities. In Ahmedabad, India,
where 45 per cent of the population lives in
slums, the municipality improved infrastructure
for basic services, while SEWA Mahila Trust
provided credit to households to cover their
share of the house connection costs. Through
this cooperation, in five years over 40 slums
had piped water and good sanitation, which
reduced infant mortality rate, and there was an
increase in economic activity and a decline in
crime rates in slum areas.
A licence fee is charged on this craft hawker market in

Nairobi, Kenya @ UN-Habitat/Cecilia Andersson
131
Increase attraction in investment

through urban planning
Create value for investors for investment. Assessing the capacity to

sustain incentives over time is critical to
and households prevent investment migration. City leaders
must cooperate with other cities to establish
Having a plan is an asset for investment incentives because competition between
interest. A plan aims to create stable conditions adjacent jurisdictions for incentives can lead to
for development and is a key instrument to falling land prices or labour standards. Market
managing development. By having a plan, access, a stable socio-politico environment, ease
a city can show that it has an efficient and of doing business, reliability of infrastructure
forward-looking system of governance, which and utilities, and availability of skills are some of
is invaluable when competing for investment. It the most important elements in choosing where
can be used to promote the city when seeking to do business. For example, corporations
support from partners and funders, and leaders put a high value on being able to set up a
with an urban development framework to guide single-office where they are offered inward
urbanization and promote economic growth investment, uncomplicated business licensing
can use it to: and assistance.
• Facilitate the progressive creation of
cadastral records
• Market proof infrastructure needs
Spatial planning incentives
• Prioritize strategic nodes and understand • Land consolidation into single-owner
what incentives can be given larger parcels to achieve critical mass
• Prepare market materials that communicate for investor-led projects
the local development vision, which can • Infrastructure improvements, including
be used to attract investors’ long term telecommunications, roads, water and
sanitation, and accessibility to ports,
attention airports and train stations
• Create a framework of regional
• Industrial and business parks with
coordination to avoid competition among appropriately priced serviced land,
municipalities. This can be formal, for next to transport infrastructure and
instance through a regional development other specific needs of sought-after
industries
agency, or informal where jurisdictions meet
• A supply of affordable workspace
on a regular basis to discuss needs and
for start-ups in targeted industries,
priorities encouraging clustering, synergies and
innovation.
Cities need to be strategic and realistic in
the use of incentives. There is no undisputed
evidence that tax cuts and sales tax exemptions
automatically lead to investment and incentives
should avoid creating an artificial set of
conditions which become the only attraction
132
Key success factors of Special Incentives for investment. These were

Economic Zones in China. aggressive and included attractively priced
government-owned land, concessionary tax
Special Economic Zones (SEZs) have been rates, tax breaks, and generous exemptions
key drivers of China’s development since for foreign investment (at 15 per cent instead
the country’s 1978 Open Door policy which of 30 per cent for domestic), rapid customs
promotes foreign trade and economic clearance, allowing repatriation of profits,
investment. They are estimated to have duty-free imports and export tax exemption,
contributed 18.5 per cent of total GDP in among others. Virtually all of these policies
2007, 60 per cent of national exports, 46 per were completely new in China and were
cent of total FDI and 4 per cent of national implemented gradually.
employment. SEZs are defined by:153 An efficient infrastructure system including
Flexibility and autonomy. Economic and roads, ports, communication technology,
political autonomy and legislative power water, energy and sewerage.
allowed SEZs to pass a wide range of Location. Many SEZs were developed
municipal laws and regulations, including near ports for easy links with international
adjusting tax rates and establishing labour markets, and were strategically located
markets that started to resemble those in to capture investments from Hong Kong,
open economies. Macao and Taiwan Province of China.
Single-counter service. Administrative
autonomy allowed SEZs to ensure business
permit approvals within 24-hours.
Use public investment public space neglect, which may lead to declining
land values, deteriorating infrastructure, less tax
strategically income and disinvestment.
Cities can reduce costs to investors and Improved accessibility has an immediate
increase the value of assets through planning. impact on land value. Integrating policies
Rationalizing investment in public resources in spatial planning with public investment in
and controlling the release of land to the transport systems can substantially increase
market creates positive conditions for a return the value of land. The ability of customers and
on investment and ensure assets keep their employees to get to shops and work plays a
value. Land use policies that ensure affordable major role in location decisions and drives up
housing, and infrastructure that gives access the value and desirability of land. This added
to employment and community services will value can be used for infrastructure investments,
improve social capital, promote cohesion and allowing local governments to recover
reduce the likelihood of civil unrest. Conversely, investment, pay for operations and maintenance,
lack of planning can result in congestion and and, in some cases, expand transport networks.
133
Capture value from city extension

and renewal
Understand how urban Land-value gain resulting from infrastructure

projects can be taxed. “Betterment levies”
value can be captured154 are a one-time tax on the estimated land-value
increase associated with transport and road
Developers can be required to pay for construction and improvements projects, a rise
infrastructure in new areas. As developers typically of between 30 and 60 per cent. These
acquire development permits, they may be levies are difficult to administer, however, if
requested to pay for the cost of infrastructure increases are estimated on a plot by plot basis
for the area. They will in turn recover costs and are better calculated by area or city-wide,
through land sales. The developer may be depending on the investment programme. In
asked to build the infrastructure directly Bogotá, Colombia, valorización has financed
or pay its costs as part of the development more than USD 1 billion of public works,
licence. This is widely used to meet city including 217 street, bridge and drainage
extension infrastructure needs. It requires clear improvements. It takes into account ability to
planning regulation, delivery capacity by the pay, is payable over five years and is citywide, all
infrastructure provider, and the capacity to link of which have reduced public resistance.
developer’s infrastructure to public systems,
such as roads and trunk utility lines. In Cairo,
Egypt, the central government transferred
694 million square metres of desert to the
New Urban Communities Authority (NUCA) to
accommodate expected urbanization needs.
In 2007, NUCA auctioned off land parcels
with basic infrastructure services for USD 3.12
billion, more than recovering the cost of the
infrastructure investment. Some of this money
was to be used to build a highway connecting
the new city to the Cairo Ring Road.
In Bogotá, Colombia value capture has financed more than

USD 1 billion of public works © UN-Habitat/Laura Petrella
134
Public land sales can capture the benefit of rights within the 410-hectare development area
public investment. Land surrounding major at USD 630 per m2.
urban motorway projects can be transferred to a
private-public development corporation, which Excises on property appreciation can fund
then borrows against the land as collateral, neighbourhood improvement. “Linkages”
finances the construction and then sells the charge developers a fee on projects above
land. This allows municipalities to realize a maximum level of commercial floor area,
major infrastructure project with no financial payable over a period up to 12 years, to fund
loss. In China, the city of Changsha created social projects in poorer neighbourhoods. In
a publicly-controlled Ring Road Corporation Boston in the United States, the fee was used to
to build a USD 730 million motorway and the subsidize the construction of affordable housing
municipality transferred strips of land totalling and to provide job training, with a requirement
3,300 hectares on both sides of the road. Half that 20 per cent of any linkage payment
of the motorway cost was financed by the be reserved for use in the area surrounding
transfer of leasing rights and the other half was the development project. Cuenca, Ecuador,
financed through borrowing against the future launched a neighbourhood improvement
anticipated value of improved land. In cities programme funded by property owners who
where land is privately owned, this method were charged based on lot frontage. The funds
requires the public sector to first acquire it. were used to pay the engineers and builders of
Reaching social agreement between occupants the public works.
and other claimants is a key issue.
Selling development rights is an alternative

to selling land. Development rights on a plot
depend on the provision of the urban plan. They
are introduced with the conversion of rural land
to urban use, and vary depending on the plan.
In some places, they involve the right to build
at greater density; that is, adding additional
floor space than would normally be allowed.
For example, São Paulo (Brazil) sold additional
construction rights to help finance public
investment surrounding designated growth
poles in the city, such as transport nodes where
higher-density development is appropriate. In
Faria Lima Avenue, land value increased from
USD 300 per m2 before public investment
to USD 7,000 per m2 afterwards, and the
municipality sold 2.25 million m2 of floor space
135
Set planning frameworks Enacting value capture needs sound planning

frameworks. To tap into land value increments,
that enable value capture the benefits from a specific investment or
and sharing project need to be clearly spatially distributed in
an area (called “benefit zone”). A well-designed
Without a plan, capture of urban value city structure and land financing system
is virtually impossible. Urban land values reinforces the efficiency of urban land markets.
are determined by the location of land vis-
avis the plan, the infrastructure and other Capture modes need capacity and to
valuable territorial assets (natural scenery for realistically understand the market. The level
instance). Only in the presence of an urban and mechanisms of value capture need to be
plan determining land uses and the future proportionate and feasible. They should not
developments in an area, and protecting natural create a disincentive to development, and must
assets and the common goods, it is possible to pursue opportunities to synchronize the release
have a predictable market, determine the value of land to market needs. Capture methods can
of land, and establish a link between public be sophisticated and need good management
investments and land values. Plans identify areas capacity. Value capture upfront of development
that are suitable for conversion from rural land may be jeopardized if there is lack of trust in the
to urban use and designate priority areas, where capacity of the public administration to follow
development can be accelerated by capturing through the plan and the investments.
land values and the procedures are transparent.
A plan also provides the framework for setting
transparent charges and standards, and the
development/building permit process that
can enable the collection of the charges. All
forms of capture require a legal urban planning
framework with rules that are enacted by the
local legislature.
136
Illustration 7.1 Virtuous cycle of land value creation
Strategic Personal/Corporate
Plan Income
Taxation = Public
Revenue from Land
and Buildings
Change in Change in Land

Building Rights Revenue
Urban Planning Increase in Social
Decisions Fixed Capital
Change in Change in
Externalities Building Value
Corruption
Conspicuous
Consumption /
Non-Productive
Source: adapted from Roberto Camagni
137
Spatial planning tools create a

revenue stream
Hargeisa, Somaliland
Hargeisa, Somaliland © Flickr/Tristam Sparks
Hargeisa, the main city in Somaliland, is experiencing acute urban

development challenges. The regulatory vacuum that followed the civil
war in the 1990s led to disputes and violent conflict over land, while rapid
population growth and the return of former refugees have considerably
strained the city’s infrastructure. The lack of information on land
ownership and poor financial resources to deliver basic services hinder the
municipality’s ability to plan, which results in unplanned urban expansion.
Gathering and updating spatial and land ownership information,

developing municipal capacity and establishing a tax revenue stream
are critical to address unplanned urban development, to improve
the conditions in informal areas and to develop land management
information that helps to prevent land disputes, a priority issue for the local
government.
138
Solution
To generate a municipal revenue stream that could be used for public works, the municipality of
Hargeisa, with support from UN-Habitat, the United Nations Development Programme and the
European Commission, began in 2004 to create a land and property database, and a methodology
for classification and generating property tax invoices.The property survey, prepared over a period
of a year, was done rapidly and cost effectively. Data was stored in a Geographical Information
System (GIS) database for quick retrieval and mapping, allowing the local government to begin
tax collections very quickly. The database consists of a large-scale map of all buildings, which was
prepared using very-high resolution satellite images, and links data such as plot size and building
floor area and use collected from field surveys and interviews with property occupants.
The database provides important information for urban planning, such as land use mapping and
population estimates, using buildings as a proxy for calculation. It allows for the establishment of
district neighbourhood boundaries that would facilitate plan implementation. Using the database,
the planning office was able to estimate that 22 per cent of Hargeisa’s 1,3 million inhabitants live in
informal housing. Using the system, the local authority prepares hard copies of property tax bills –
each of which has a photo of the property – and neighbourhood maps once a year and distributes
them to each of the five municipal district offices. Trained municipal district staff continually verify
bill information in the field, and the GIS support office updates the database as needed. Households
get a receipt when they have paid. The property survey and GIS database preparation began in July
2004 and ended in March 2005. The preparation cost (excluding the equipment such as Personal
Digital Assistants or PDAs, office computers and software, but including satellite imagery) was USD
48,500 (USD 0.82 per property).
The database is modular in the sense that it can be expanded into a full cadastral system. The initial
module facilitates the levying of property tax very rapidly but cannot be used for legal applications
and land disputes - it is a fiscal cadastre, not a legal cadastre. As a first step, its consolidation and
expansion requires political will and institutional maturity to put in place municipal by-laws that
enable enforcement, and a willingness to cooperate and exchange information to create robust
plans. Among the critical hurdles to overcome was a widespread reluctance to tax schemes.
Awareness-raising campaigns were useful in changing attitudes, but there is nothing more
compelling than visible improvement, for example using taxes collected to upgrade the road
network – a priority for taxpayers. A key challenge to overcome for the system’s sustainability is to
meet the cost of maintaining and updating the database. To ensure continuity, the municipality has
to find ways to support tasks until municipal staff can run the system without being dependent
on external expertise or funding. Rooting the process in municipal operations is essential to enable
departments to use and expand the database.
Results
The spatial information database and the property tax scheme have enabled the local
government to increase tax collections from USD 60,000 in 2008 to USD 282,725 in 2011.
Since 2006, when the GIS system became operational, the percentage of taxed properties has
increased from 5 per cent to 45 per cent. Before the preparation of the database, the municipality
had 15,850 properties on record. Now, the database consists of information for 59,000 properties
over five districts.
More than 40 new roads have been built by the local government with the contribution and
collaboration of the local community; eight new markets and two police stations have been built;
and a land plot has been allocated to the Maternity and Health Centre.
139
How to allocate
investment
Increasing urban revenue is one side of the equation. However,

allocating local resources smartly, particularly when they are
scarce and there are many needs, is crucial. To make an impact,
cities need an integrated approach to urban investment from
appraisal to assessment of outcomes – something to which
urban planning can contribute. Uncoordinated sector projects,
although they might be successful on their own, cannot
generate the transformational impact which can be achieved
by interlinking the projects through strategic, well-prioritized
capital programming. The coordination between urban planning
and investment programming, the systematic prioritization
of projects, accountability and transparency, and the use of
budgets as a catalyst for improved performance are essential to
get the most out of citizens’ contributions.
140
How to allocate investment
Shanghai, China © Flickr/Tauno Taunk
141
Coordinate urban planning and

investment
Tap on urban planning would be deployed where and when it is

needed. In various locations in the United
for efficient infrastructure States, infrastructure costs (annualized capital
investment and operating) were 30 per cent higher for
development with 11 dwellings per hectare
There are significant advantages in than for 32 dwellings per hectare.156 In the
approaching spatial and infrastructure United Kingdom, a density of 70 dwellings
investment together. One advantage is that it per hectare produced savings of 63 per cent
enables investment to respond to urgent needs compared with 22 dwellings per hectare.157
while addressing long-lasting, cross-cutting
issues. Infrastructure investments trigger and
enable urbanization, while spatial planning
Spatial choices that can help
provides proactive demand-side management. optimize investment
A city’s spatial structure determines the location,
• Optimize density by redeveloping
concentration, distribution and nature of the vacant, derelict or underused sites;
demand that affects the design of infrastructure maximize the capacity of existing
systems. Because it establishes the physical infrastructure through management
and economic parameters for infrastructure • Ensure that greenfield development
occurs in a compact pattern to
system design, capacity thresholds, technology
minimize the amount of network
choices and the economic viability of the infrastructure required; set density
various options, spatial planning would benefit at an optimum value; consider the
from early interaction with infrastructure location of central facilities when
determining new development areas
programming. The available budget for
implementation will be used more efficiently, • Avoid discontinuous growth in areas
lying outside the urban fabric, unless
time would be saved and misalignments such nodes can be self-sustaining,
between supply forecasts and actual needs which would require a balanced
would be reduced. supply of jobs and housing.
• Promote a closely mixed pattern
Spatial plans can improve infrastructure of land uses that minimizes road
infrastructure requirements
cost-efficiency. The cost of providing trunk
infrastructure is particularly sensitive to a city’s
spatial form.155 Lower densities generally mean Infrastructure networks influence spatial
longer lengths of water and sewer pipes. plans. Infrastructure can shape a city for
Reducing the distance to service centres, thus decades, if not forever, and decisions on
shortening the length of transmission mains, where to lay it out influence the direction of
will lower costs. Spatial plans provide valuable development affecting the desirability and
information on prioritization of delivery. The land value of the areas served. Infrastructure
right decisions on density and land use policies planning should follow and not precede
can induce earlier amortization as investment decisions on the optimal spatial structure.
142
Integrated spatial and infrastructure investment

planning is an asset for investment recovery
because it would facilitate capturing the
increase of land value.
Make plans more

implementable from the
onset by upstreaming
implementation knowledge
Early integration of implementation know-
how into spatial planning can save time
and resources. In the chain of city planning
and production activities, plans are theories
that are carried downstream until they
are faced with the realities of execution.
Integrating implementation considerations
from plan inception including technologies
available, management options and financing
resources may improve the fit between plan
and execution, increasing relevance, cutting
implementation time and reducing costs.
Turku, in Finland, has partnered with the World
Business Council for Sustainable Development,
which groups a number of leading urban
services enterprises. These have transferred
knowledge on trends and success factors on key
areas including transport, logistics and energy
supply towards jointly developing new solutions
and accelerating action.
143
Establish priorities and respond to

demand
Establish a method for Prioritization facilitates the transition from

wish list to shortlist. A wish list contains all
prioritization projects that are eligible for consideration.
They should be pre-screened on their strategic
Laying out clear rules is fundamental for alignment at a city level and vis-a-vis the local
prioritization. A framework detailing all aspects government budget capacity, and ranked by
of the decision-making process should be the number of criteria they satisfy. The input
defined and agreed on from the start. It would of stakeholders will significantly contribute to
include: make the selection process market-proof.
• Assigning responsibilities for stakeholders in
each step of the process
• Determining the eligible types of projects to
Key project selection criteria
be considered • Consistency with city development
• Assessing local budgetary capacity, strategy
identifying funding options • Completion of on-going projects
• City obligations entailed
• Infrastructure requirements
The City Infrastructure Investment
• Impact and benefit assessment (social,
Programming & Prioritization economic and environmental)
Toolkit • Recommendations by city
departments, other agencies,
Developed by the Cities Development communities, and stakeholders
Initiative for Asia (CDIA), the toolkit helps • Possibilities of using off-budget
municipalities throughout Asia to do a sources of finance
better and more structured job in urban
• The needs of under-serviced
infrastructure planning, prioritization communities
and programming. It facilitates the first
step in the process from a wish list to a
shortlist of infrastructure projects ready
to be presented to financiers and project
developers.
Source: CDIA. http://cdia.asia/wp-content/

uploads/User-Manual-Generic-version-2010.pdf
144
Incorporate a participatory Participatory budgeting can increase

accountability and promote a more equal
approach in prioritization development pattern. It induces more
transparent management in cities where
Participatory budgeting aims to ensure that traditionally lower-income groups have had no
investment has a real impact. It considers voice. Even if participants only decide on the
both immediate requests by residents and allocation of a share of capital investments,
longer-term investment identified by the the system has proved to promote more equal
municipality. Residents vote in community-level development, leading to poverty reduction. If
assemblies on the priorities in their area (i.e. it is done transparently, this process can help
housing, education, street paving), and they reduce corruption; a peaceful and trust-based
select delegates who, to make the process civic climate, as opposed to one that is based on
operational, will represent them. Delegates confrontation, will make the city more attractive
review requests and prioritize investments for investment.
according to a set of criteria that weigh the
degree of support obtained by each request Participatory processes in financial
along with infrastructure and service deficits. management require significant human
With this input, municipal departments prepare resources and can be challenging to implement
the final draft of the budget and present it for because they tend to be permeated by local
approval before the local authorities. politics. The participatory budgeting process
introduced in about 200 municipalities in Brazil
covers all capital investments, which range
Porto Alegre (Brazil) has been a from 5 per cent to 15 per cent of the total
pioneer in participatory budgeting budget. This is made possible by a significant
since 1989. commitment of skilled human resources and
a high level of managerial capabilities. There
Key success factors include:158
are numerous ways in which culturally-adapted
• Political will and leadership - it is the
mayor who initiates the process public participation can be implemented. At
the very least, small community meetings can
• Strong community-based
organizations and true civil interest in decide on priority needs, explain the municipal
engaging and sustaining participation budget, discuss proposed projects and establish
• Laying out clear rules that are priorities through discussions or by voting.
respected through each budget cycle
• Allocating human resources to run the
participatory budgeting process.
145
Participation can be used to explain the

impacts of tax avoidance. It is an opportunity
Benefits of a capital investment
for local authorities to discuss with the plan
community the lack of financial resources to
• Allows matching the most important
meet all needs and why taxes and fees are projects with the most appropriate
critical to cover service provision costs. Whether funding sources
in large public hearings or small community • Incorporates stakeholder’s inputs in
meetings, every opportunity should be taken the decision-making process
to stress the negative impacts of tax avoidance • Establishes a transparent and efficient
process for allocating local revenue
and non-payment and address the causes of it
from all sources
(irregular and incorrect billing, poor collection
• Sets a practical fiscal strategy
process, instances of corruption and fraud). integrating local finance into
municipal management
• Underscores the interconnectedness of
Develop a capital projects that should be planned and
preferably implemented together
investment plan
A Capital Investment Plan provides a detailed Cost and revenue accounting facilitates
understanding of anticipated investments performance measurement. Most financial
into capital assets such as bridges, roads, budgets and accounting statements in the
and water and wastewater systems. A list of world’s public sector are still prepared and
unfunded priority projects from the previous reported on a cash “receipts and payments”
year becomes the starting point for the basis that impairs their use in performance
following year and newly-identified projects are measurement. The use of accrual “income
added to the list. Capital investment planning and expenditure” accounting shifts the focus
this way becomes “rolling” with each yearly from deposit and withdrawal transactions to
revision of the plan. The city of Tshwane in finance (costs and revenues). Cities that have
South Africa has developed an extensive capital high technical and managerial capacities have
budget, which includes strategic objectives introduced resource consumption as a criterion
based on community needs that have been for prioritization.
identified through a consultative process.
146
Enhance performance through

transparency and accountability
Accountability and infrastructure assets are a key issue in many

developing cities so the condition of assets
transparency are assets for should be continuously monitored. Infrastructure
a performing city deteriorates and becomes less efficient with the
passing of time but if maintenance is attended
Accountability is a cornerstone of good to only when the situation reaches crisis levels,
governance and places as much emphasis upon the functional efficiency of cities is impaired.
transparency as upon finance. Demands for Debt service often makes it difficult to keep up
greater accountability by voters and taxpayers maintenance of assets so to adequately manage
have combined with the constraints on the these responsibilities; all items in municipal
financial resources available to the public budgets should be categorized as recurring
sector to fuel political pressures for improving expenditures in the operating budget (fixed
municipal financial management. Using simplified costs, salaries, debt service if any) or as capital
performance information to involve communities investment expenditure. This categorization is
has helped to engage citizens in shaping their critical since their funding differs markedly.
communities, notably São Paulo (Brazil) and
Bogotá (Colombia).
Brazil’s Law of Fiscal Responsibility
Transparency in procurement is an asset for In Brazil, the privileged status of state and
good performance and prevents infrastructure municipal governments under the 1988
investment decisions from being affected by Constitution strengthened the role of
corruption and favouritism. A systemic approach mayors and governors. However, these
would ensure a fair selection process, authentic constitutional guarantees fuelled municipal
mismanagement and the multiplication of
monitoring and meticulous implementation. This municipalities. The passage of the “Fiscal
would mean establishing procurement reforms Responsibility Act” in May 2000 mandated
and transparent contracting arrangements from multiyear budgeting with fiscal targets,
the onset. Independent audits, public displays of contingent liabilities and cost controls and
tariffs and publication of annual activity reports, introduced balanced budget principles and
incentives for mobilizing own resources.
with specific mention of how services are being
The law caps expenditures on personnel at
improved for the poor, are necessary once 60 per cent of the municipal budget and
projects have been implemented. mandates expenditures on education at no
less than 25 per cent. It limits borrowing
to the financing of capital expenditures,
Use budgets as a and adequate reserves should be set aside
to offset increases in long-term financial
performance instrument obligations. To ensure transparency, by law
the public has to have access to fiscal and
budgetary information.
Keeping operational and capital expenditures Source: Serageldin, M. et al, Assessment of
separate is essential. Under-performing Participatory Budgeting in Brazil, 2003
147
Financing transformative plans

Shanghai, People’s Republic of China
Shanghai, China © UN-Habitat/Julius Mwelu
The vision to transform Shanghai into a world finance and trade hub that
would serve as the gateway to the global economy was formulated by
the Government of the People’s Republic of China in 1992. The extensive
infrastructure investment required to fulfil this vision prompted the local
government to tap into a range of financial sources.
In the two decades that followed, Shanghai went through an unparalleled

urban transformation. Urban infrastructure was upgraded through
investment in power generation, water supply and sewerage systems, and
improved waste disposal facilities. Environmentally degraded areas were
regenerated alongside urban renewal projects and the creation of large
green areas.
148
Solution
The Comprehensive Plan 1999-2010 was the key to the holistic transformation perspective and the
prioritization of investment. Following the City Planning Act (1990), planning became a statutory
requirement for cities in China and municipal units were made responsible for the preparation and
approval of planning regulations. The power to classify land to be urbanized, to authorize its leasing,
to issue building permits and to enforce state and local laws enabled the local government to steer
Shanghai’s urban development. The Comprehensive Plan established five functional hubs within
the central area, creating significant opportunities for mixed-use development. The reform of land
use rights and flexible land classification made real estate soar. Satellite cities, designed to play an
important part in absorbing rural migration, were created by the extension of suburban towns that
had a significant industrial base or were adjacent to principal arteries. Shanghai has a long tradition
of preparing urban development plans, which dates back to 1931 when the first plan was prepared.
The local planning bureau has profited from this experience when preparing succeeding planning
instruments. The preparation of the Comprehensive Plan began in 1992 and, after consultations and
local endorsement, it was approved by the State Council in 2001.
The substantial investment required needed to be considered along with the reality of limited
local finances. In 2008, the central Government’s contribution was just 2 per cent of the fixed
asset investment. State-owned enterprises (SOEs) were set up to raise funds for the construction
of transport infrastructure and facilities for utilities. SOEs set up holding companies listed on the
Shanghai Stock Exchange and were able to obtain loans from commercial banks. In the water and
wastewater sector, the gradual reform of pricing since 1990 resulted in an increase of collected
tariffs from almost zero to USD 1.5 billion by 2008. Investment in revenue-generating infrastructure,
such as expressways, water supplies and wastewater treatment, was secured through concessions,
leasing, joint venture agreements and other public-private partnerships. For example, shifting the toll
expressway operating rights to private investors contributed USD 6.5 billion to the construction of
the expressway network. Investment in energy and utilities was a priority to enable the development
of economic activity. In 1990, the energy sector concentrated 60 per cent of the total infrastructure
investment. Once an indispensable energy supply had been ensured, investment in the sector
contracted progressively to 7 per cent of the total in 2008. Investment focus turned then to public
transport networks needed to enable the urban expansion foreseen in the Comprehensive Plan.
Out of the total investment in infrastructure, transport accounted for 48 per cent in 2008, up from
15 per cent in 1990. Investment on public works construction remained stable between 1995 and
2008 at around one third of the total.
Results
Shanghai’s diversification of resources meant that by 2009 the municipal revenue was 14
times higher than in 1990. The local government was able to increase infrastructure investment
from about USD 40 per capita/year in 1990 to USD 1,341 in 2008. Shanghai’s international
connectivity was substantially enhanced with the construction of a new airport in Pudong, the
renovation of the Hongqiao Airport, and a deep-water port in Yangshan. The Shanghai Metro,
opened in 1996, is today 425 km long, which makes it one of longest systems in the world. Intra-
urban mobility was further improved through the construction of ring roads, elevated expressways,
and bridges and tunnels across the Huangpu River. The length of road per capita doubled between
2000 and 2008. The length of the sewers system also doubled in the same period. Partnerships
were leveraged to delivered wastewater facilities and sanitary landfills.
Attention is progressively shifting to environmental issues, including the improvement of air quality
and the provision of green spaces. Suzhou Creek, once a polluted waterway in central Shanghai, has
been environmentally recovered, and the area that is dedicated to public space has almost tripled.
149
How to create
partnerships
Well-structured partnerships with people, the private sector and

other levels of government are one way for cities to mobilize
support and get the resources needed to implement local plans
and deliver municipal services. Leveraging the resources of
others brings access not only to funds, but also to technology
and managerial skills that are needed for projects. Partnerships
with community-based organizations can mobilize residents’
energy and resources and make projects progress faster.
150
How to create partnerships
Belo Horizonte, Brazil © Belo Horizonte Sec. Municipal de Planejamento, Orçamento e Informação
151
Partner with people
Get the participation basics unsuccessful policies, poor planning decisions

and failed investments. It has also meant that
right infrastructure and urban services deficits have
not been tackled effectively. Inefficiencies,
Engaging residents leads to effectiveness. poverty and slums have negative effects on
Embracing participation and community the image of the city leader as an efficient
engagement means accepting that effectively manager; they undermine public trust and plant
tackling urban challenges is an extremely seed for disagreement with the constituency.
complex task beyond the reach of any local Urban planning benefits from ideas that have
government acting on its own. Citizens know developed through participatory processes
the city where they live and have ideas on how through:
to make things better. Experience has shown • Demand-oriented policies that increase the
that tapping into this “social capital” can have impact of public resources
a positive impact on business climate, poverty • Increased public trust in local government
and service delivery, as well as transparency; and awareness of its activities
however, importing successful practices from • A more collaborative climate.
other cities need careful adjustment to the local
characteristics. Institutionalizing participation facilitates
monitoring and continuity. Effectively
Community engagement reduces the incorporating a participatory approach requires
likelihood of planning mistakes. Failing resource allocation, including capacity building
to engage the community has resulted in of staff. Once they have been tested and
refined, institutionalizing processes would help
to consolidate them and prevent disruption
by partisanship and municipal election cycles.
Participation manuals and checklists to
coordinate action across municipal departments,
documentation of successful practices and
knowledge transfer, are additional resources to
institutionalize participatory approaches.
Community participation has a positive impact on

planning in Indonesia © UN-Habitat
152
Mainstream participation A demand-driven approach can lead to

improved shelter and services. Being flexible
in spatial planning about upgrading processes will lead to the
community buying into them, which ensures
City development strategies engage local greater project impact. Engaging communities
actors and identify key actions. Strategic in upgrading works reduces costs and improves
Urban Planning engages local actors in city-wide quality compared with traditional contractor-
assessments to get a long-term vision and to driven work. For example, community meetings
identify key “strategic thrusts”; taskforces can in Mumbai, India, identified a need to separate
put these thrusts into practice with action plans. men’s and women’s toilets and provide
Involving stakeholders can lead to inter-sectorial sanitation facilities with water connections. The
synergies that would otherwise go unnoticed new design added some community demands,
and because consultations do not entail any such as special children’s toilets, separate
delegation of a local government’s statutory urinals, private bathing places, a queuing space
powers. Some of the challenges presented and a caretaker’s room.159
by such processes are that they tend to be
lengthy and require sustained commitment, and Partnering with the community enables a
they can lose momentum, particularly in the better response to hazards. Communities
implementation stages. exposed to risks typically have a detailed
knowledge of how natural hazards affect their
Mainstreaming gender in spatial planning neighbourhood. Community organizations
has positive side effects. In developing cities, can do risk mapping exercises and use
women are significant income earners yet their workshops to disseminate cost-effective actions,
voices are seldom heard in public decision- including identifying protected locations and
making. Spatial and economic development recommending affordable materials to build
initiatives from women’s perspectives have led sturdy shelters. Partnering with the community
to improvements for entire households. Gender in high-risk settlements can increase the
checklists are a good way to mainstream effectiveness of post-disaster relief. While
women’s view; consultations, safety audits, social mobilization is not a replacement for
social mapping sessions and design charrettes, relief plans, community outreach can help to
or workshops, can be used to tap women’s reduce the death tolls and the levels of hardship
knowledge and to come up with effective endured by lower income population.
solutions.
153
Partner with the private sector
Explore partnership The success of PPP structures comes down to

understanding the impacts on governments,
modalities sponsors and users. These include the
cost of capital, which might be higher in
Urbanization challenges cannot be addressed developing countries; inflation, because
without an active private sector. Private- high-growth markets tend to suffer from high
public partnerships (PPPs) are an indispensable levels of inflation; currency risk, because for
asset for infrastructure projects. There are many infrastructure projects revenues and
a variety of models for these partnerships expenditures are accounted for in local currency,
in which participants take on different roles which requires debt and equity to be raised in
regarding initial investment, maintenance local currency as well; and demand risk, which
costs, management, ownership and other might require government support in the early
considerations. Through a PFI (Private Finance years of the project.160
Initiative), Birmingham, in the United Kingdom,
has established a 25-year partnership with an Partnering with the private sector requires
urban services company to maintain 2,500 km a sound legal framework. A necessary
of roads and 100,000 street light points. precondition for partnerships is to build a
sound legal framework and create an enabling
Build-Operate-Transfer (BOT) is the most environment that would bolster investors’
common model. The private partner is confidence, reduce risks and set the conditions
responsible for design and construction, for improved investment performance. This
finance, operations, maintenance and also would allow municipal governments to access
assumes the commercial risks associated infrastructure funds for specific sectors. For
with the project. The firm owns the project instance, China’s Qing Cao Sha raw water
throughout the concession period and the reservoir and distribution system in Shanghai
asset is transferred back to the government attracted a CNY 2 billion insurance fund as part
at the end of the term, often at no cost; the of a total investment of CNY 16 billion.
public sector regulates and oversees the project
to ensure it adheres to policy, regulation and
socioeconomic goals. The benefit to the public
sector in this model is not only the access
to private capital, but also to the technical
expertise and managerial efficiency of firms in
the private sector.
154
Partner with other instances of

government
Pool with other promoted. This has led to a reduction in land

consumption and increase in the average
municipalities revenue from land development.
Groups of municipalities have been able to Partnering with other cities can empower
obtain pooled financing. The group’s size and individual local governments. While the
managerial capacity allows them to access funds financial tools available to a city are often
on better terms than they would individually. largely determined by national or state
When macro-economic conditions allow, cities legislature, municipalities can use regulations
in developing countries will find opportunities targeted to their needs. A union of cities can
for joint access to capital sources; in emerging be an important strategy to empower individual
economies, central government involvement has local governments because it creates a collective
enhanced local authorities’ capacity to access voice useful at the national or regional level.
to funding on favourable terms; in poorer The South Africa Local Government Association
countries, donor support serves as a catalyst (SALGA), for instance, promotes local
by setting up development funds. Formalizing government interests by working to influence
inter-municipal collaboration is challenging the legal framework to best fit the local
if there are no institutional and economic development agenda. The Mancomunidad Zona
incentives to form strategic associations. Metropolitana Valle de Sula in Honduras, which
groups 20 municipalities with a total population
Wider area planning and coordination of 2.5 million people, enables them to access
can help harmonise development and capital markets as credit-worthy units.
enhance revenue. Municipalities that agree
to develop large scale plans in collaboration
with neighbouring municipalities can better
coordinate development decisions, harmonize
charges and taxation mechanisms and, in some
cases, they have been successful in limiting
unnecessary investments and maximizing the
impact of projects. In the Emilia Romagna
Region of Italy, multi-municipal plans are
used to identify key investment areas in the
most appropriate way, rather than having
competition among municipalities. Benefits in
the form of charges or revenues are then shared
through a special fund among the participating
municipalities. In this way, collaboration rather
than competition between municipalities is Participatory planning in Nepal
© UN-Habitat
155
Linking participatory budgeting and

spatial planning
Belo Horizonte, Brazil
Participatory budgeting in Belo Horizonte, Brazil © Belo Horizonte Sec. Municipal de Planejamento, Orçamento e Informação
Planned as a garden city in the late 1890s, Belo Horizonte is today

a dynamic urban area with 2.4 million inhabitants. Although some
neighbourhoods have a high standard of living, informal settlements
concentrate 20 per cent of the population into less than 5 per cent of
the administrative area. These settlements are mostly in risk-prone areas
and they are overcrowded, lack drainage systems and have limited access
to infrastructure and services. In 1993, Belo Horizonte began to involve
residents in participatory budgeting (PB) processes to increase the impact
of planning in people’s lives.
“Having a say stems from the right to the city,” says Marcio Lacerda,
Mayor of Belo Horizonte since 2009. He recalls: “We soon realized that
we had to work out an incremental approach.” This was reflected in the
continuous monitoring of outcomes and in citizen feedback, which meant
policies could be improved year after year, goals adjusted and actions
aligned with the work of partners. The holistic approach we adopted
was a key success factor,” says Lacerda, “because it allowed us to pay
attention to immediate issues.” To institutionalize the approach, the local
government integrated annual budgeting with mid- and long-term spatial
planning departments, consolidating both under one councillor.
156
Solution
Among the first steps taken was to divide the municipal area into 81 Planning Units, which
allowed policies to be fine-tuned for each area. Planning Units were defined in the 1996 Master
Plan based on administrative regions established in the 1980s, physical barriers, land-use patterns
and continuity of urban fabric. The urban quality of life index (IQVU), adopted in 2000, helped to
distribute municipal resources spatially. The IQVU is a calculation based on planning units and data
about access to the supply of goods, water supply, social assistance, culture, education, sports,
housing, urban infrastructure, environment, health, urban services, and security. A Geographic
Information System allowed progress to be monitored in real time and communicated to the public
in an attractive and systematic way.
Participatory budgeting was divided into: 1. an administrative, region-wide participatory budget to

address infrastructure and services investments; 2. Electronic Participatory Budgeting, introduced in
2006 to enable decisions to be made through internet voting on the investment on strategic public
works; and 3. a housing-focused PB to decide on investment on social housing. Specific Global
Plans, financed at the request of the communities in the context of the housing PB, are local micro-
plans that seek the incremental improvement of favelas towards regularization and integration into
the formal city. Key in the facilitation of the process is the “conforças”, a committee of citizens
elected during the PB meetings, who monitor the implementation of agreed measures and select
the infrastructures to be voted on in the Electronic PB; and the “caravanas”, tours of meetings
across the city prior to a PB vote that increase on-the-ground knowledge.
“Administrative inertia was an obstacle to overcome during the first decade,” recalls Mayor
Lacerda. Shifting from a top-down “planning for citizens” perspective to a “planning with citizens”
perspective required reshaping internally. It was decided to change the annual cycle of participatory
budgeting into a biennial one to improve the fit with administrative capacity, he says. Three actions
were instrumental in doing so. “We needed to overcome the frustration that citizens have when
they perceive that implementation runs slow; improve the coordination of municipal policies, taking
into account the unequal development in different parts of the city; and increase the capacity of
citizens to make proposals and to monitor project’s phases from conception to implementation.”
Results
Since 1993, the region-wide PB has had more than 373,000 participants; from 1996 onwards,
the housing PB has produced 6,600 housing units, through the participation of more than 36,000
dwellers; and since 2006, more than 285,000 inhabitants have helped to set strategic choices for
the city as a whole. Over 40,000 people participated in the 2009/2010 budget cycle. By 2011, PB
had approved or executed 1,413 projects in basic infrastructure, social housing, public space and
leisure areas, schools and cultural centres and health centres.
“Participatory budgeting has created a wave of positive energy across the city” - Mayor
Marcio Lacerda.
Owing to the coordination between PB processes and spatial planning, 84 per cent of the
population is less than 500 metres from a public investment allocated through PB. Specific
Global Plans have benefited more than 300,000 favelas residents (71 per cent of the city’s total).
“Participatory budgeting has created a wave of positive energy across the city,” says Lacerda. His
political coalition has been re-elected for four consecutive terms, suggesting that good planning
decisions can bring significant political benefits.
157
How to know if
you are making
an impact
Monitoring progress and documenting changes in conditions
are important for knowing whether or not a city is on track to
meet goals and for keeping constituents and partners engaged.
This can be achieved through an evaluation of the relevance
of an urban plan, and performance measurement focusing on
efficiency of delivery. A set of indicators helps to determine
if conditions are actually improving against a baseline, and
monitoring brings about a significant opportunity to create and
strengthen community commitment to a plan if the process is
open and findings are reported impartially.
158
How to know if you are making an impact
New York, USA © NYC Economic Development Corporation
159
Set indicators
Determine what is being land used, the number of building permits,

resources invested, and the amount of
monitored infrastructure delivered. The outcomes of the
plan can be measured by indicators such as
Establishing a qualitative and quantitative density, mix of uses, the amount of land used
baseline gives the process a starting point. for private and public uses, traffic conditions
Obtaining baseline information can be and taxes generated. Common impact
challenging, especially for cities in developing indicators include those on economic activity
countries - many indicators, such as economic (rates of employment or unemployment;
productivity and gross product are readily vacancy rates; income per capita; productivity
available at the national level, but not at the city rates); social indicators (level of education;
level. A statistical department at the local level literacy rates; inequality measure such as GINI;
can be a luxury that not every city can afford. environmental indicators (air and water quality;
This further reinforces the need to be prudent in water consumption rates; levels of pollution).
selecting the number of indicators. Perceptual indicators are all-important
barometers of public satisfaction.
Indicators relate to both how the plan is
being implemented and its impact. Basic
indicators measure plan delivery, including
Table 10.1 Type of city indicators
Delivery Outcomes Impact
• Urbanized land • Density • Population

• Building permits • Mix of uses • GDP
• Budget allocated • Land consumption per capita • Economic activity index
• Infrastructure built, length of transport and • Built area per capita • Social indicators including education
trunk infrastructure laid out • Average residential area per capita • Health
• Land allocated to public use including • Street connectivity • GINI inequality index
streets • Public transport use • Participation indicators
• Gain (loss) of open space • Average speed • Quality of life surveys
• Public housing built • Pedestrian and bicycle space per capita • Perception surveys
• Upgrading projects completed • Public space and parks per capita • Housing affordability
• Change in proportion of open to built • Population living in informal settlements
space • Environmental performance indicators –
• Percentage of people with access to emissions, quality of air, water
services • Consumption indicators, energy, water, waste
• Land value variation generated
• Taxes collected • Crime rates
• Waste recycled
• Wastewater reused
• Energy produced
• Complaints
Source: Author
160
Create a supporting A limited number of indicators works better.

It is better to set a limited number of indicators
context for monitoring that can be realistically measured and easily
understood by a non-technical audience. For
Monitoring requires a solid foundation of example, New York City’s PLANYC has 40
data. Reliable and continuous inputs have to indicators grouped into 10 categories: housing
be transformed into readable information. and neighbourhoods, parks and public space,
Cities must not underestimate the amount of transportation, waterways, water supply,
resources and trained personnel that need to be transportation, energy, air quality, solid waste
allocated to monitoring processes. and climate change.
Table 10.2 The UN-Habitat City Prosperity Index
Dimensions Definitions/variables
Productivity The productivity index is measured through the city product, which is composed of variables such as capital
investment, formal/informal employment, inflation, trade, savings, export/import and household income/
consumption. The city product represents the total output of goods and services (value added) produced by a
city’s population during a specific year.
Quality of life This index is a combination of three sub-indices: education, health and public space.
Infrastructure development This index combines two sub-indices: one for infrastructure proper, and another for housing.
Environmental sustainability This index is made of three sub-indexes: air quality, CO2 emissions and indoor pollution.
Equity and social inclusion This index combines statistical measures of inequality of income/consumption (Gini coefficient) and inequality
of access to services and infrastructure.
Source: UN-Habitat (2012) Prosperity of Cities. State of the World’s Cities 2012/2013.
New York, USA has a set of 40 indicators to measure its Tracking energy consumption as an indicator for reduced
physical functionality © Flickr/Erik Daniel Drost emissions, Tel Aviv, Israel © Flickr/Feministjulie
161
Evaluate according to targets and

milestones
Progress needs to be evaluated in the short-

and long-term. Cities can use data to evaluate
Examples of benchmarking studies
their progress towards a goal that may take • Demographia International Housing
many years to achieve and this progress can be Affordability Survey
defined by targets in 20- to 30-year periods. • Economist Intelligence Unit Quality of
But leaders, constituents and planners need to Life Index
know if progress is in fact being made to make • Economist Intelligence Unit Worldwide
the necessary adjustments in order to reach Cost of Living Survey
targets. This can be achieved by setting yearly • GaWC World Cities Index
milestones, which can give information on • Jones Lang LaSalle City Governance
Index
trends.
• MasterCard Worldwide Centres of
Commerce
Evaluation enables cities to benchmark.
• Mercer Quality of Living Survey
Benchmarking compares the performance
• Mercer Worldwide Cost of Living
of cities against other cities. In addition to Survey
being a communications tool for successfully • Monocle Global Quality of Life Survey
benchmarked cities, it provides a gauge of
• Siemens Green City Index
which areas need to be improved. Thoroughly
analysed, benchmarking can provide a basis for
developing policy that addresses areas with low
scores.
Table 10.3 Example of city targets and milestones, PlanNYC

Category Metric 2030 Target Milestone Trend
2010/2011
Brownfields Clean up all contami- Decrease number of vacant tax lots presumed to be 1,500-2,000 Neutral
nated land in New York contaminated
City
Increase number of tax lots remediated in NYC 0 Neutral
annually
Solid waste Divert 75% of solid 75% of waste diverted from landfills 51% Neutral
waste from landfills
Parks and public Ensure all New Yorkers 85% to live within a ¼ mile of a park 74% Up
space live within a 10-minute
walk of a park
Source: http://www.nyc.gov/html/planyc2030/html/theplan/sustainability.shtml
162
Proposed Sustainable Development 7. Urban Job Creation: By 2030, increase

Goal: Sustainable Cities & Human by 50% the number of cities adopting and
Settlements implementing specific and inclusive policies
to improve the lives of urban dwellers
Overall Goal: To promote cities that are through urban job creation focused
environmentally sustainable, socially inclusive, particularly on youth and women.
economically productive and resilient. 8. Urban Mobility: By 2030, halve the
Targets average time and expenditure of urban
1. National Urban Policies: By 2030, dwellers on travel within urban areas,
increase to 50% the number of countries double the proportion with access to
adopting and implementing inclusive safe, affordable public transport and
national urban policies to coordinate safe, attractive facilities for walking and
ministerial and sectoral efforts at different bicycling, halve the number of traffic
levels of government for sustainable urban accidents resulting in death or serious
development, territorial cohesion and injuries and halve the number of annual
urban-rural linkages. premature deaths from exposure to vehicle-
source air pollution.
2. Urban Sprawl: By 2030, halve the rate of
increase of global urban land cover. 9. Urban Energy: By 2030, increase by 30%
the share of renewable energy sources
3. Public Space: By 2030, increase by half the
in cities, increase by 40% the share of
number of cities engaging in place-based,
municipal waste that is recycled, ensure
gender-responsive urban design, land use
sustainable energy access for all and
and building regulations to increase public
improve energy efficiency in all public
space to 40% of urban land area.
buildings by 50% and all residential
4. Housing & Slums: By 2030, halve the buildings by 20%.
proportion of people living in slums at the
10. Urban Water and Sanitation: By 2030,
city level as part of incrementally achieving
achieve universal and equitable access
the right to adequate housing without
to safe drinking water and halve the
resorting to forced evictions.
proportion of untreated waste water and
5. Citizen Participation: By 2030, increase unmanaged solid waste in cities.
the proportion of urban residents voting
11. Urban Resilience: By 2030, increase to
in local elections to 60% or more and
20% the number of cities adopting and
increase the proportion of towns and cities
implementing policies and plans that
using participatory approaches in public
integrate comprehensive and multisectoral
affairs.
measures to strengthen resilience.
6. Urban Safety: By 2030, halve the rate of
urban violent crime.
Note: The Sustainable Development Goals will replace the
MDG’s from 2015. The final version of the goals is under
Source: UN-Habitat (December 2012) discussion at the time of printing.
163
Feed back findings into the

decision-making process
Evaluation must support Committing to monitoring

decision-making helps a city over the long
term
Evaluation informs leaders on what policies
have had an impact and what resources might Monitoring may pose challenges. Busy local
be needed. An evaluation needs to be well governments may have no time (or the will)
linked to both planning and budgeting to be to learn about and embrace monitoring and
meaningful; it allows plans to be responsive evaluation. Monitoring may be regarded as an
because it allows for decisions to be made obligation imposed by external parties (e.g.
about plans if an evaluation suggests expanding national government) without consideration for
or redesigning them. local capacity to design and deliver them. It may
be that monitoring is not the highest priority
Monitoring can improve cross-departmental need for a local government, especially if there
communication. A key hurdle to implementing is no apparent application for monitoring and
integrated plans is the tendency to work in evaluation.
silos. This may result in possible reluctance to
sharing information. An internal communication Commitment to monitoring has to be
effort that describes the common good goals unremitting. An evaluation can result in
of monitoring in combination with cross-sector negative scores which could be a direct
indicators can induce departments to be more challenge to organizational leadership and its
open towards information sharing. decision-making. In such cases, cities will benefit
from leaders who are able to see the long-term
benefits of a credible monitoring system over a
short-term approach of hiding metrics.
Effective inter-departmental communication enhances

monitoring and evaluation, Nairobi City Council inter-
departmental council meeting (Kenya) © Ndinda Mwongo
164
Lack of support harms monitoring. The lack of Build credibility through

commitment by decision-makers and staff often
jeopardizes the introduction, and constrains
evaluation
the application, of monitoring and evaluation
processes. Indeed, lack of political will and Credibility in local politics is based on
bureaucratic inertia explain the slow take-up performance evaluation. In competitive local
and application of monitoring and evaluation politics, performance may be used to criticize
in many cities. Monitoring processes may end policies implemented by opposing parties.
up being abandoned because of neglect from There can be many perspectives from which
city leaders and, in such cases, citizens would to look at hard data and it is very important
see monitoring as a failed effort. Once it has for the credibility of a monitoring process
this stigma, it is very difficult to re-introduce the that the people responsible for it retain their
process. independence. Also, ensuring continuity over
administrative cycles contributes to build
credibility in the measurement. This in turn
creates trust in leaders and certainties on their
constituency.
165
Long-term goals and

short-term impact
PlaNYC, New York City, USA
New York, USA © NYC Department of Parks and Recreation
In 2005-2006, Mayor Michael Bloomberg recognized that an integrated

strategic plan for New York City was needed for several key reasons: the
population was rising (in contrast with population declines that shaped
planning in the fourth quarter of the twentieth century); the city’s physical
infrastructure was not being maintained to a standard which would keep
up with that rise; and the city needed to respond to climate change. The
mayor’s recognition of these points and his leadership was essential to get
a number of disparate agencies to work together towards the launch of
PlaNYC in 2007.
PlaNYC focused on improving the city’s physical functionality. It established

specific long-term goals and short-term milestones in ten areas: housing
and neighbourhoods; parks and public spaces; brownfields; waterways;
water supply; transport; energy; air quality; solid waste; and climate
change. For each of these, the plan determined the agencies that were
responsible for implementation, their partners and the funding sources.
166
Solution
“You can’t manage what you don’t measure” says Bloomberg. Key to the success of PlaNYC
is that specific goals were clearly set for each area of interest. “New York City is dedicated to taking
accurate measurements as we tackle major challenges, and PlaNYC is guided by a variety of metrics
so that we can track our progress toward major goals – and ensure we are implementing the most
effective strategies.”
In housing and neighbourhoods, the goal is to create homes for almost a million people. In parks
and public spaces, it will ensure that all residents live within a 10-minute walk of a park. Reusing
brownfields by cleaning up all contaminated land; improving the quality of waterways, restoring
coastal ecosystems and providing space for recreation; ensuring a high quality and reliability of the
water supply system; expanding public transport choices and ensuring their reliability; reducing
energy consumption and making energy systems cleaner and more reliable; achieving the cleanest
air quality of any big city in the United States; redirecting 75 per cent of solid waste from landfills;
reducing greenhouse gas emissions by more than 30 per cent; and increasing the resilience of
communities, natural systems and infrastructure to climate risks are PlaNYC goals.
These goals have associated Sustainability Indicators to track progress towards achieving them.
While the plan will take 20-years to complete, performance is measured annually. Tracking progress
ensures being on target to meet long-term goals and realizing what must be done in the short-
term. Annual reports show milestones that have been reached and those that need more effort.
This reinforces accountability and creates transparency. PlaNYC was developed from early in
2006 until its launch on Earth Day in 2007. The 132 initiatives in PlaNYC were created by all the
relevant agencies of city government in consultation with stakeholders who collectively outlined
responsibilities, milestones and budget commitments. An Annual Progress Report is published each
April.
Results
The impact of PlaNYC has been substantial. Over 97 per cent of the 127 initiatives were launched
within one year of its being started and almost two thirds of the milestones in 2009 were achieved
or mostly achieved. Over 141,000 units of affordable housing have been created or preserved.
Planning regulations adopted for over 20 transit-oriented schemes will make more than 87 per
cent of new development transit-accessible. More than 200 acres of parkland have been created,
with over 525,000 residents now within a 10-minute walk of a park. Over 600,000 trees have been
planted. New public spaces for pedestrians have been created, including one in Times Square, which
has attracted tourists and residents and reduced pedestrian fatalities.
Greenhouse gas emissions have fallen 13 per cent below 2005 levels. Laws to make existing
buildings more energy efficient have resulted in over 100 energy efficiency retrofits on city-owned
buildings in a bid to reduce their greenhouse gas emissions by 30 per cent by 2017. Over 30
per cent of the taxi fleet is now “green” and regulations to phase out dirty heating fuels have
been enacted. PlaNYC progress reports openly acknowledge what needs to improve. The most
critical obstacles to municipal action are in policy areas where federal or state laws and regulations
prevent the city government from being innovative. While the city government works closely with
the federal and state governments, and generally has similar objectives, there are areas, such as
transport funding, energy supply regulation or storm water management standards, where federal
or state bodies’ authority ranks above the city’s. Local law requires that PlaNYC be updated every
four years, which ensures varying degrees of continuity and updating by future administrations.
Implicit in the requirement for updates is a recognition that circumstances will evolve. This ability for
the plan to evolve actually makes PlaNYC stronger. Future mayors will need some latitude to shape
PlaNYC for their times.
167
End Notes
1. UN-Habitat (2003). The Challenge 12. Stephenson, K., Speir, C., Shabman, L.
of Slums. Global Report on Human and Bosch, D. (2001). The Influence of
Settlements. Nairobi: UN-Habitat. Residential Development Patterns on
2. UN-Habitat (2003). The Challenge Local Government Costs and Revenues.
of Slums. Global Report on Human Available: http://ageconsearch.umn.edu/
Settlements. Nairobi: UN-Habitat. bitstream/14833/1/rr010051.pdf.
3. UNESCO. (1999). Intermediate cities and 13. Kockelman, K. (2010). Transportation and
world urbanization. Available: http:// land use solutions for low-carbon cities.
www.unesco.org/most/ciudades.pdf: Paper presented at the NSF‘s U.S.-China
Accessed: 16 July 2012. Workshop on Pathways to Low Carbon
4. UN-Habitat (2011). Cities and Climate Cities, Hong Kong Polytechnic University,
Change. Global Report on Human December 13-14, 2010.
Settlements. Nairobi: UN-Habitat. 14. Transportation Research Board, National
5. UN-Habitat (2011). Cities and Climate Research Council (2002). The Cost of
Change. Global Report on Human Sprawl. Washington D.C.: National
Settlements. Nairobi: UN-Habitat. Academy Press.
6. Angel, S. et al (2010). Making room for 15. Kockelman, K. (2010). Transportation and
a planet of cities. Cambridge: Lincoln land use solutions for low-carbon cities.
Institute of Land Policy. Paper presented at the NSF‘s U. S.-China
7. Riser, J. and Franchini, T. (2008). Workshop on Pathways to Low Carbon
International Manual of Planning Practice. Cities, Hong Kong Polytechnic University,
The Hague: ISOCARP. December 13-14, 2010.
8. Angel, S. et al. (2010). Making room for 16. Angel, S. et al (2010). Making room for
a planet of cities. Cambridge: Lincoln a planet of cities. Cambridge: Lincoln
Institute of Land Policy. Institute of Land Policy.
9. Angel, S. et al. (2010). Making room for 17. OECD, Organisation of Economic
a planet of cities. Cambridge: Lincoln Cooperation and Development. (2006).
Institute of Land Policy. Competitive Cities in the Global
10. Witherspoon, R, et al (1976). Mixed-use Economy. Paris: OECD.
Development: New Ways of Land Use. 18. Marchetti, C. (1994). Anthropological
Washington D.C.: ULI. invariants in travel behaviour. In
11. Smart Growth Principles: http://www. Technological Forecasting and Social
smartgrowth.org/engine/index.php/ Change, No. 47, pp. 75-88.
principles/mix-land-uses Accessed: 20 19. Carruthers, J, Ulfarsson, G. (2002). Urban
January 2012. sprawl and the cost of public services.
Environment and Planning B: Planning
and Design 2003, vol. 30, pp. 503-522.
168
20. Frank J. (1989). The Costs of Alternative 30. Transportation Research Board, National
Development Patterns: A review of the Research Council (2002). The Cost
literature. Washington, D.C.: The Urban of Sprawl. Washington DC: National
Land Institute. Academy Press.
21. Blais, P. (1995) The Economics of Urban 31. London Development Agency (2010).
Form. Toronto: Greater Toronto Area Task Quantifying the impact of LDA
Force. public realm and green infrastructure
22. Organisation of Economic Cooperation investment. http://www.lda.gov.uk/
and Development (2010). Cities and Documents/Public_Item_03.1_-_
Climate Change. Paris: OECD. Qantifying_Impact_of_LDA_Public_
23. European Environment Agency (2006). Realm_Investment_5060.pdf. Accessed
Urban sprawl in Europe. The ignored 21 January 2012.
challenge. Copenhagen: European 32. Jacobs, A. (1999). Great Streets.
Environment Agency. Cambridge: MIT Press.
24. Organisation of Economic Cooperation 33. Angel, S. et al (2010). Making room for
and Development (2010). Cities and a planet of cities. Cambridge: Lincoln
Climate Change. Paris: OECD. Institute of Land Policy.
25. Asian Development Bank (2011). Green 34. Commission for Architecture and
Cities, Livable and Sustainable Cities in the Built Environment (2007). Paved
Asia. Manila: Asia Development Bank. with Gold. London: CABE. http://
26. Carruthers, J. (2002). “Evaluating the webarchive.nationalarchives.gov.
effectiveness of regulatory growth uk/20110118095356/http:/www.cabe.
management programs: an analytical org.uk/files/paved-with-gold.pdf.
framework” Journal of Planning 35. Kockelman, K. (2010). Transportation and
Education and Research 21, pp. 406-420. land use solutions for low-carbon cities.
27. Carruthers, J., Ulfarsson, G. (2012). Paper presented at the NSF’s U.S.-China
Urban sprawl and the cost of public Workshop on Pathways to Low Carbon
services. Environment and Planning B: Cities, Hong Kong Polytechnic University,
Planning and Design 2003, vol. 30, pp. December 13-14, 2010.
503-522. 36. McPherson, G., Nowak, D. and
28. Ladd, H. (1992). Population Growth, Rowntree, R. eds. (1994). Chicago’s
Density and the Costs of Providing Public Urban Forest Ecosystem: Results of the
Services. In Urban Studies, vol. 29, No. 2, Chicago Urban Forest Climate Project.
pp. 273-295. Radnor, Pennsylvania: Northeast Forest
29. Ladd, H. (1992). Population Growth, Experiment Station.
Density and the Costs of Providing Public 37. Frank, J. E. (1989). The Costs of
Services. In Urban Studies, vol. 29, No. 2, Alternative Development Patterns: A
pp. 273-295. Review of the Literature. Washington
D.C.: Urban Land Institute.
169
38. Nadkarni, N. (2008). Between Earth and 46. Bertaud, A. (2010). Spatial structures,
Sky: Our Intimate Connections to Trees. land markets and urban transports.
Los Angeles: University of California Available: http://www.afd.fr/
Press. webdav/site/afd/shared/PORTAILS/
39. Bertaud, A. and Richardson, W. (2004). SECTEURS/DEVELOPPEMENT_URBAIN/
Transit and Density: Atlanta, the United formesurbainesettransport/AB_Atelier-
States and Western Europe. Urban Sprawl bertaud-AFD_10-11_juin.pdf Accessed 25
in Western Europe and the United Sates. January 2012.
Richardson W, Chang-Hee, C. (eds.). 47. Suzuki, H., Dastur, A., Moffatt, S.
London: Ashgate. and Yabuki, N. (2009) Eco2 Cities.
40. Pushkarev B. and Zupan, J. (1977). Public Washington, D.C.: World Bank.
Transportation and Land Use Policy. 48. Cervero, R. (2008). Effects of TOD on
Bloomington: Indiana University Press. Housing, Parking and Travel. Transit
41. Institute of Transportation Engineers. Cooperative Research Program Report
(1989.) A Toolbox for Alleviating Traffic 128. Washington, D.C.: Federal Transit
Congestion. Washington, DC: ITE. Administration.
42. Rogers of Riverside, Towards an Urban 49. Atlanta Beltline. http://beltline.org/
Renaissance. Final Report of the Urban Accessed 28 January 2012.
Task Force Taylor and Francis, (London, 50. UN-Habitat (2012). State of the World
1999), pp. 61–63. Cities 2010/2011: Bridging the Urban
43. Dunphy RT and Fisher K (1996) Divide. Nairobi: UN-Habitat.
Transportation, Congestion, and Density: 51. Delhi Mumbai Industrial Corridor. http://
New Insights. Transportation Research delhimumbaiindustrialcorridor.com/
Record, No. 1552, Washington DC: Accessed 28 January 2012.
Transportation Research Board. 52. Schiller P., Bruun, E., Kenworthy, J.
44. Kockelman, K. (2010). Transportation and (2010). An introduction to sustainable
land use solutions for low-carbon cities. transportation. London: Earthscan.
Paper presented at the NSF‘s U.S.-China 53. Cairns, S., Hass-Klau, C. and Goodwin,
Workshop on Pathways to Low Carbon P.B. (1998). Traffic impact of highway
Cities, Hong Kong Polytechnic University, capacity reductions: assessment of the
13-14 December, 2010. evidence. London: Landor Publishing.
45. Watson, D. et al (2003). Time saver 54. Suzuki, H., Dastur, A., Moffatt, S.
standards for urban design. New York: and Yabuki, N. (2009) Eco2 Cities.
McGraw-Hill. Washington, DC: World Bank.
55. Appleyard, D. (1977). Liveable urban
streets: managing auto traffic in
neighbourhoods. Ann Arbor: University
of Michigan.
170
56. http://homepage.ruhr-uni-bochum.de/ 66. Veolia Water (undated). Finding the
Dietrich.Braess/#paradox Accessed 29 Blue Path for A Sustainable Economy.
January 2012 Available: http://www.veoliawaterna.
57. Transportation Alternatives. (2000). Vol com/north-america-water/ressources/
5, No. 2 http://www.transalt.org/files/ documents/1/19979,IFPRI-White-Paper.
newsroom/magazine/002MayJune.pdf pdf Accessed: 7 July 2012.
Accessed 28 January 2012. 67. Siemens (2010-11) Green City Index.
58. Transport Canada (2006). The cost of http://www.siemens.com/entry/cc/en/
urban congestion in Canada. http://www. greencityindex.htm.
gatewaycouncil.ca/downloads2/Cost_of_ 68. UNEP. GEO 3.
Congestion_TC.pdf. 69. Siemens (2010-11). Green City Index.
59. Schiller P., Bruun E., Kenworthy J. http://www.siemens.com/entry/cc/en/
(2010). An introduction to sustainable greencityindex.htm.
transportation. London: Earthscan. 70. Kingdom, B,, Liemberger, R., Marin,
60. (2007). Chapter 3 Spatial Planning. In P. (2006). The Challenge of Reducing
S. S. Nelson Mandela Bay Municipality, Non-Revenue Water (NRW) in Developing
Sustainable Communities Planning Guide. Countries. How the Private Sector Can
Nelson Mandela Bay Municipality, SIPU, Help: A Look at Performance-Based
SSPA, SIDA. Service Contracting. Water Supply and
61. UNEP (2011) Towards a Green Economy: Sanitation Sector Discussion paper Series.
Pathways to Sustainable Development Paper No. 8. Washington DC: World
and Poverty Eradication, www.unep.org/ Bank.
greeneconomy. Accessed 25 November 71. Siemens (2010-11). Green City Index.
2011. http://www.siemens.com/entry/cc/en/
62. Vuchic, V. (2007). Urban Transit. Systems greencityindex.htm.
and Technology. Somerset, N.J.: John 72. Capital Regional District Water
Wiley and Sons. Department. www.crd.bc.ca/water.
63. Estupiñán, N., Gómez-Lobo, A., Accessed 8 February 2012.
Muñoz-Raskin, R., Serebrisky, Y. (2007). 73. Government of Singapore (2010).
Affordability and Subsidies in Public “NEWater.”. http://www.pub.gov.sg/
Urban Transport: What do we mean, about/historyfuture/Pages/NEWater.aspx.
what can be done? Policy Research Accessed 25 February 2012.
Working Paper 4440. Washington D.C.: 74. NUS Consulting Group (2008).
World Bank. International Water Survey & Cost
64. Organisation of Economic Cooperation Comparison. http://www.nusconsulting.
and Development (2004). Managing com/files/2008_Intl_Water_Survey.pdf
Urban Traffic Congestion. Paris: OECD. Accessed 2 February 2012.
65. World Water Council (2000). World 75. Komives, K., Foster, V., Halpern, J., Wood,
Water Vision. London: Earthscan. Q. (2005). Water, Electricity and the Poor.
171
Who benefits from utility subsidies? in Developing Countries. World Bank
Washington D.C.: World Bank. Working Paper Series. Washington D.C.:
76. Komives, K., Foster, V., Halpern, J., Wood, World Bank.
Q. (2005). Water, Electricity and the Poor. 84. Lahore Compost Limited. http://www.
Who benefits from utility subsidies? lahorecompost.com/ Accessed 15 May
Washington D.C.: World Bank. 2012.
77. Banerjee, S., Foster, V., Ying, Y., 85. Medina, M. The informal recycling
Skilling, H., Wodon, Q. (2010). Cost sector in developing countries. World
Recovery, Equity, and Efficiency in Water Bank PPIAF. Grid Lines Note No. 44 –
Tariffs. Evidence from African Utilities. October 2008. Available http://www.
Washington D.C.: World Bank. wds.worldbank.org/external/default/
78. Pagiola. S., Martin-Hurtado, R., WDSContentServer/WDSP/IB/2009/0
Shyamsundar, P., Mani, M. and Silva, P. 1/27/000333038_20090127004547/
(2002). Generating Public Sector Resources Rendered/PDF/472210BRI0Box31ing1sect
to Finance Sustainable Development. ors01PUBLIC1.pdf.
Washington, D.C.: World Bank. 86. Sustainable Energy Authority of Ireland.
79. OECD Factbook (2010). Available http://www.seai.ie/SEC/The-Communities/
http://www.oecdilibrary.org/docserver/ Dundalk_2020/ Accessed 10 July 2012.
download/fulltext/3010061ec064.pdf?ex 87. UN-Habitat and ICLEI (undated).
pires=1328545589&id=id&accname=free Sustainable Urban Energy Planning.
Content&checksum=D5F59CB5A66C320 Nairobi: UN-Habitat.
9B15E46210DF84B92. 88. Barcelona Energy Agency. www.
80. Siemens (2010-11). Latin American barcelonaenergia.cat/homeeng.htm.
Green City Index; Asian Green City Index. Accessed 10 July 2012.
Available http://www.siemens.com/entry/ 89. Salat,S. (2011). Cities and Forms on
cc/en/greencityindex.htm. Sustainable Urbanism. Paris: Hermann
81. Baban, S.M.J. and Flannagan, J. (1998). Editeurs.
Developing and Implementing GIS-assisted 90. Morikawa, M. (2012). Population density
Constraints Criteria for Planning Landfill and efficiency in energy consumption:
Sites in the UK. Planning Practice and An empirical analysis of service
Research, vol. 13, No. 2, pp. 139-151. establishments. Energy Economics,
82. Pagiola, S., Martin-Hurtado, R., Elsevier.
Shyamsundar, P., Mani, M. and Silva, 91. Carty, J. and Ahern, A. (2009). Exploring
P. (2002). Generating Public Sector the link between traffic modelling and
Resources to Finance Sustainable urban form: applications of the MOLAND
Development. Washington, D.C.: World model. UCD Urban Institute Ireland:
Bank. Working Paper.
83. Hoornweg, D., Thomas, L. and Otten, L. 92. IDAE. (n/d). Alumbrado Exterior y la
(2000). Composting and Its Applicability eficiencia energetica.http://www.idae.es/
index.php/id.644/relmenu.355/mod.pags/
172
mem.detalle. Accessed 28 December to UK Department for International
2011. Development.
93. Renewable Energy World, http://www. 103. Medina M, The informal recycling sector
renewableenergyworld.com/rea/news/ in developing countries. World Bank
article/2007/05/chinas-solar-powered- PPIAF. Grid Lines Note NO. 44 – OCT
city-48605 Accessed 30 May 2012. 2008. http://www-wds.worldbank.org/
94. William J. Clinton Foundation. (n/d). external/default/WDSContentServer/
Property Giant Tackles “Energy Hogs”. WDSP/IB/2009/01/27/000333038_20090
Available http://clintonfoundation.org/ 127004547/Rendered/PDF/472210BRI0Bo
what-we-do/clinton-climate-initiative/i/ x31ing1sectors01PUBLIC1.pdf.
property-giant-tackles-energy-hogs 104. Habitat for Humanity. (2008). Shelter
Accessed 29 December 2011. Report 2008: Building a secure future
95. UN-Habitat (2009). Planning Sustainable through effective land policies.
Cities. Global Report on Human 105. Map Kibera. http://mapkibera.org.
Settlements.Nairobi: UN-Habitat. Accessed 25 May 2012.
96. Siemens (2010). Smart grids. Informative 106. Rojas E. (2010). Building Cities.
brochure. Washington D.C.: Inter-American
97. Siemens (2010). Smart grids. Informative Development Bank.
brochure. 107. Shidhulai Swanirvar Sangstha. http://
98. Neuwirth, R. (2011). Stealth of Nations: www.shidhulai.org Accessed 26 May
The Global Rise of the Informal Economy. 2012.
New York: Pantheon. 108. Habitat for Humanity (2008). Shelter
99. Kumar A, Scholte J A, Kaldor M, Glasius Report 2008: Building a secure future
M, Seckinelgin H, Anheier H (eds). (2009). through effective land policies.
Global Civil Society 2009. London: Sage. 109. SIDA. (2007). Beyond Titling. “Summing
100. eTransform Africa. (2012). The up urban land use and land markets”,
Transformational Use of Information World Bank and SIDA’s 4th Urban
and CommunicationTechnologies in Research Symposium.
Africa. http://www.etransformafrica.org/ 110. Angel, S. (2011). Making room for a
sites/default/files/eTransform-Africa.pdf plane of cities, Policy Report Focus.
Accessed 27 May 2012. Cambridge: Lincoln Institute of Land
101. Hutchings, M.T. et al (2012). mWASH: Policy.
mobile phone applications for the water, 111. Angel, S. (2011). Making room for a
sanitation, and hygiene sector. Oakland, plane of cities, Policy Report Focus.
CA, USA: Pacific Institute and Los Cambridge: Lincoln Institute of Land
Angeles, CA, USA: Nexleaf Analytics. Policy.
102. DFID and University of Oxford. (2011). 112. Economic and Social Commission for Asia
Smart water systems. Final Report and the Pacific (UNESCAP), 1995.
173
113. Angel, S. (2011). Making room for a 124. Bicknell J, Dodman D, Satterthwaite
plane of cities, Policy Report Focus. D (Editors) (2009). Adapting Cities to
Cambridge: Lincoln Institute of Land Climate Change. Understanding and
Policy. addressing the development challenges.
114. UN-Habitat (2006). Innovative policies London: Earthscan.
for the urban informal economy. Nairobi: 125. Bicknell J, Dodman D, Satterthwaite
UN-Habitat. D (Editors) (2009). Adapting Cities to
115. UN-Habitat (2011). Cities and Climate Climate Change. Understanding and
Change. Global Report on Human addressing the development challenges.
Settlements. Nairobi: UN-Habitat. London: Earthscan.
116. ICLEI (2011). Financing the Resilient 126. Danilenko, A., Dickson, E. and Jacobsen,
City: A demand driven approach to M. (2010). “Climate Change and
development, disaster risk reduction and Urban Water Utilities:Challenges &
climate adaptation. An ICLEI White Paper, Opportunities.” (Water workingnotes;
ICLEI Global Report. No. 24). Washington, D.C.: Water
117. World Bank (2001). Guide to Climate Sector Board, Sustainable Development
Change Adaptation in Cities. Washington Network, World Bank.
D.C.: World Bank. 127. ICLEI, Local Governments for
118. A Tata Energy Research Institute study Sustainability (2009). International Local
cited in Bicknell et al (2009). Government GHG Emissions Analysis
119. UN-Habitat (2009). Planning Sustainable Protocol (IEAP). Version 1.0
Cities. Global Report on Human 128. UN-Habitat (2011). Cities and Climate
Settlements.Nairobi: UN-Habitat. Change. Global Report on Human
120. Angel, S. (2011). Making room for a Settlements. Nairobi: UN-Habitat.
plane of cities, Policy Report Focus. 129. UN-Habitat (2011). Global Report on
Cambridge: Lincoln Institute of Land Human Settlements, Cities and Climate
Policy. Change, p. 51.
121. Bicknell J., Dodman D., Satterthwaite 130. http://knowledge.allianz.com/climate/
D. (Editors) (2009). Adapting Cities to agenda/?651/greenhouse-gas-sources
Climate Change. Understanding and 131. U.S. Environmental Protection Agency,
addressing the development challenges. n/d.
London: Earthscan. 132. C40Sao Joao and Bandeirantes Landfills
122. Bicknell J., Dodman D., Satterthwaite http://c40.org/c40cities/sao-paulo/city_
D. (Editors) (2009). Adapting Cities to case_studies/sao-joao-and-bandeirantes-
Climate Change. Understanding and landfills. Accessed 23 June 2012.
addressing the development challenges. 133. UN-Habitat (2007). Enhancing Urban
London: Earthscan. Safety and Security. Global Report on
123. Reuters, 2012. Human Settlements. Nairobi: UN-Habitat.
174
134. UN-Habitat (2007). Enhancing Urban 144. T. Kruger, a. K. (2007). Crime and public
Safety and Security. Global Report on transport. Designing a safer journey.
Human Settlements. Nairobi: UN-Habitat. Pretoria: CSIR Built Environment. Citing
135. UN-Habitat (2007). Enhancing Urban (Loukaitou-Sideris et al, 2001).
Safety and Security. Global Report on 145. UN-Habitat (2007). Enhancing Urban
Human Settlements. Nairobi: UN-Habitat. Safety and Security. Global Report on
136. Australian Capital Territory Government. Human Settlements. Nairobi: UN-Habitat.
(2000). Crime prevention and urban 146. T. Kruger, a. K. (2007). Crime and public
design resource manual. ACT Department transport. Designing a safer journey.
of urban services, planning and land Pretoria: CSIR Built Environment.
management. Camberra. 147. Newman, O. (1996). Creating Defensible
137. UN-Habitat (2007). Enhancing Urban Space. Washington DC: Institute
Safety and Security. Global Report on for Community Design Analysis. US
Human Settlements. Nairobi: UN-Habitat. Department of Housing and Urban
138. Global Violence Precention (undated). Development.
Reducing Homicide in Diadema, Brazil. 148. National Crime Prevention Council
http://www.who.int/violenceprevention/ NCPC (2003). Crime prevention through
about/participants/Homicide.pdf Accesed environmental design. Guidebook.
14 July 2012. Singapore.
139. T. Kruger, a. K. (2007). Crime and public 149. Farrington, B. C. (2002). Crime
transport. Designing a safer journey. prevention effects of closed circuit
Pretoria: CSIR Built Environment. television: a systematic review. . London:
140. T. Kruger, a. K. (2007). Crime and public Home Office Research Study 252,
transport. Designing a safer journey. Development and Statistics Directorate.
Pretoria: CSIR Built Environment. 150. Design Center for CPTED Vancouver.
141. T. Kruger, a. K. (2007). Crime and public (n.d.). Retrieved from http://www.
transport. Designing a safer journey. designcentreforcpted.org/.
Pretoria: CSIR Built Environment. 151. National Crime Prevention Council
142. Council of European Municipalities NCPC (2003). Crime prevention through
and Regions (CEMR). (n/d). The Town environmental design. Guidebook.
for Equality. A methodology and good Singapore.
practices for equal opportunities between 152. Bustamante, L. and Gaviria, N. (2004).
women and men. European Commission, The Bogotá Cadastre. Land Lines: April
DG Employment and Social Affairs. 2004, volume 16, No 2. Cambridge:
143. Council of European Municipalities Lincoln Institute of Land Policy.
and Regions (CEMR). (n/d). The Town 153. This section has been extracted from
for Equality. A methodology and good (Zhihua Zeng, March 2011).
practices for equal opportunities between
women and men. European Commission,
DG Employment and Social Affairs.
175
154. This section is adapted from Peterson, E. 157. Blais, P. (1995). The Economics of Urban
(2009), Unlocking Land Values to Finance Form. Toronto: Greater Toronto Area Task
Infrastructure. Washington D.C.: World Force.
Bank. 158. UN-Habitat, 2004.
155. Frank, J. E. (1989). The Costs of 159. UNESCAP, UN-Habitat, 2008.
Alternative Development Patterns: A 160. KPMG (2010). INSIGHT: Infrastructure
Review of the Literature. Washington 2050. Available: http://www.kpmg.
D.C.: The Urban Land Institute. com/Global/en/IssuesAndInsights/
156. Wheaton, W., Schussheim, M. (1955). ArticlesPublications/insight-magazine/
The cost of municipal services in Documents/insight-nov-2010.pdf.
residential areas. Washington D.C.: US Accessed 20 May 2012.
Department of Commerce, Office of
Technical Services.
EP Sept #14-02624/500
176
Urban Planning for City Leaders is a valuable and implementing ideas for housing, transport,
source of information, inspiration and ideas on waste disposal, business areas, parks, security,
urban planning that is designed for city leaders road systems and much more. This guide is a start
and decision makers at a critical moment in human towards making those plans. It focuses on the key
history. Predicted human population growth over role that proactive urban planning can have in
the next 50 years will have immense consequences shaping the future of a city and it outlines practical
for all cities, in particular intermediate cities with ways to create and implement a vision for a city
populations of up to two million people. Developed that will better prepare it to cope with growth and
countries will need to double the amount of urban change. At the centre of this vision is the creation,
space they have by 2050 to accommodate the protection and enhancement of commons (such as
expected numbers of people, whereas developing natural resources, the climate, public health, safety)
countries will need to expand their urban space by and the development of adequate urban assets (for
more than 300 per cent. example, public space, infrastructure, the right mix
of activities and people, adequate housing), both
Other issues that affect cities and how we manage of which are needed for people to develop and for
them are climate change, depleting resources, businesses to thrive.
environmental degradation and limited budgets -
serious problems that will not go away just because This guide includes several “how to” sections on
they are ignored. Most cities will simply not be able all aspects of urban planning, answers many of the
to cope with the impact of population growth and questions that leaders are frequently asked, and
other issues if they do not start preparing for them features numerous examples of cities where urban
now. This means planning, designing, financing planning made a significant, positive difference.
HS Number: HS/090/12E
ISBN Number: 978-92-1-132505-8
United Nations Human Settlements Programme

P.O. Box 30030 00100 Nairobi GPO KENYA
Tel: 254-020-7623120 (Central Ofﬁce)
Email: [email protected]

Urban Planning For City Leaders

Uploaded by

Copyright:

Available Formats

Urban Planning For City Leaders

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Urban Planning For City Leaders

Uploaded by

Copyright:

Available Formats

Urban Planning

for City Leaders

2nd Edition, Reprinted September 2014

Project supervisors: Laura Petrella, John Hogan

Publication coordinator: Ndinda Mwongo

Printer: UNON, Publishing Services Section, Nairobi

From the Desk of a Mayor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv

From the Desk of a CEO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v

Terms used in this book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Why urban planning? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Ten reasons for planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

How to plan to address key urban development challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Five obstacles to better urban planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Thinking implementation from the start . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

How to improve access and avoid congestion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

How to provide infrastructure and key services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

How to address informality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

How to build resilience and reduce climate risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

How to make a city safer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116

How can urban planning generate financial resources? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126

How to allocate investment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140

How to create partnerships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150

How to know if you are making an impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158

End Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168

Dr. Joan Clos

Tapping the opportunity presented by urbanization to advance sustainable human development

Dr. Joan Clos

Good Planning will Transform your City Aníbal Gaviria Correa

Aníbal Gaviria Correa

World Class Cities need Good Planning Dr. Roland Busch

Let us make all cities world class.

Dr. Roland Busch

Terms used in this book

Illustration 0.1 Density configurations on one hectare

Subsidy and cross-subsidy: A benefit given by

Value capture is the harnessing, through many

Urban Planning for City Leaders is a UN-Habitat

Porto Alegre, Brazil © Flickr/Ander Vaz

Chart 0.1 Urban population by city size and region (2010)

Source: GRHS 20114

Table 0.1 Distribution of urban population by size of agglomeration

2000 2010 2020 2000 2010 2020 2000 2010 2020

10 million or more 16 21 28 8.2 9.3 10.4 231,624 324,190 436,308

5 to 10 million 28 33 43 6.9 6.7 7.0 195,644 233,827 290,456

Source: GRHS 20115

Why urban planning?

Projections of urban population growth around the world tell us

The fact that this population growth will occur largely in

Ten reasons Thriving cities have a

Anticipating benefits the

Planning helps leaders to

Urban form makes a

Having a direction has a

A collectively held plan

Anticipating is more cost

Five obstacles Inability to identify the

Weak capacity to develop

Legal frameworks that

Plans that do not have