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Institute for Sustainability and Technology Policy |
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SUSTAINABILITY AND HOW IT RELATES TO CITIESBy Professor Peter Newman
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SYDNEY 1970 |
SYDNEY
1990 | |
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Population |
2,790,000 |
3,656,500 |
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RESOURCE
INPUTS |
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ENERGY/Capita |
88 589 MJ/capita |
114 236 MJ/capita |
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Domestic |
10% |
9% |
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Commercial |
11% |
6% |
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Industrial |
44% |
47% |
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Transport |
35% |
38% |
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FOOD/Capita (intake) |
0.23 tonnes/capita |
0.22 tonnes/capita |
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WATER/Capita |
144 tonnes/capita |
180 tonnes/capita |
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Domestic |
36% |
44% |
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Commercial |
5% |
9% |
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Industrial |
20% |
13% |
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Agricultural/Gardens |
24% |
16% |
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Miscellaneous |
15% |
18% |
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WASTE
OUTPUTS | ||
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SOLID WASTE/Capita |
0.59 tonnes/capita |
0.77 tonnes/capita |
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SEWAGE/Capita |
108 tonnes/capita |
128 tonnes/capita |
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HAZARDOUS WASTE |
0.04 tonnes/capita | |
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AIR
WASTE/Capita |
7.6 tonnes/capita |
9.3 tonnes/capita |
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CO2 |
7 1 tonnes/ capita |
9.1 tonnes/capita |
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CO |
204.9 kg/capita |
177.8 kg/capita |
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SOx |
20.5 kg/capita |
4.5 kg/capita |
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NOx |
19.8 kg/capita |
18.1 kg/capita |
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HCx |
63.1 kg/capita |
42.3 kg/capita |
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Particulates |
30.6 kg/capita |
4.7 kg/capita |
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TOTAL WASTE
OUTPUT |
324 million tonnes |
505 million
tonnes |
The metabolic flows for Sydney in 1970 and 1990 are summarised in Table 1.1; they show that apart from a few air quality parameters there has been an increase in per capita resource inputs and waste outputs. The reduction in hydrocarbons is because they are more completely burnt in modern automobile engines - but this just means that there's more CO2 produced. If CO2 is to be reduced, there needs to be more fundamental change.
The Metabolism approach to cities is a purely biological view, but cities are much more than a mechanism for processing resources and producing wastes, they are about creating human opportunity. Thus Figure 1.2 sets out how this basic metabolism concept has been extended to include livability in these settlements so that the economic and social aspects of sustainability are integrated with the environmental. This approach now becomes more of a human ecosystem approach, as suggested by Tjallingii and others above.
Livability is about the human requirement for social amenity, health and well being and includes both individual and community well-being. Livability is about the human environment though it can never be separated from the natural environment. Sustainability for a city is thus not only the reduction in metabolic flows (resource inputs and waste outputs), it must also be about increasing human livability (social amenity and health).
Livability indicators were produced for Sydney and other Australian settlements for the State of the Environment Report (Newman et al 1996), but were only for the one year. Further studies can determine if aspects of sustainability are improving or not.
How a city goes about achieving an integrated approach to all aspects of sustainability is the theme of our book. It will be essential to understand the dynamics of settlements as shown in Figure 1.2.
The Extended Metabolism model can be applied at a range of levels and to a range of different human activities, for example:
An urban demonstration project in Jakarta was evaluated in terms of sustainability using the Extended Metabolism Model. In a study of squatters living along the Ciliwung River in Jakarta, Arief (1998) surveyed the residents and compared them to residents of a nearby high-rise apartment block who had previously been squatters. The question was whether the shifting of squatters was "sustainable" in terms of the Extended Metabolism Model. The apartment dwellers were found to use a little less energy and water (as they had to pay for it), and their waste management was considerably better since the squatters put all waste directly into the river. In human terms, the apartment dwellers had improved incomes and employment (they were able to enter the formal economy) and maintained their accessibility and health; but in terms of all community parameters, the squatter development was far superior because the layout of the housing encouraged people to know and trust their neighbours. The lack of community orientation in the high-rise design questions the fundamentals of its development ethos and points to alternatives like the Kampung Improvement Scheme (Silas 1993).


PHOTOS 4 to 7.
The squatter settlements in Jakarta need development but the replacement
apartments
are more sustainable in resource use/waste
management and in economic terms but are not strong on community
indicators.
Cities can even extend this to events like the Olympic Games and all the facilities and infrastructure they require (see Box 1.3).
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Box 1.3
Sustainability and
Construction |
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The Sydney 2000 Olympics are described as the
'Green Olympics' due to the Greenpeace winning design for the Olympic
Village. In this Olympic Village there will be 100% renewable electricity
(from roof top PV and wind power), energy efficient buildings, solar hot
water, no PVC or rain forest timber, a rail service connection,
bicycle/pedestrian oriented layout and water and waste recycling systems
(Bell et al, 1995). Karla Bell and Associates who were closely involved in
the design have also designed a Swedish new town, Hammarby Sjostad, which
was part of the failed 2004 Stockholm Olympics bid but which will still be
built as a 'spearhead for ecological and environmentally friendly
construction' (City of Stockholm, 1997).
The goals of the new town area model of reduced
metabolic flows:
Energy
Transport
Material Flows
Building
Materials
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Individual Businesses can apply the Extended Metabolism Model and create a Sustainability Plan. The first business to do a 'Sustainability Report' is Interface (Anderson, 1998) which is a large US company making flooring. They began a process in 1994 after the CEO had read Paul Hawken's "The Ecology of Commerce" and chose to follow a Swedish set of principles called Natural Step (Greyson, 1995)[3]. Their process was similar to the metabolism model in that it examined resources ('what we take'), dynamics ('what we make') and wastes ('what we waste'). It did not specify livability outcomes, though their report stressed that economic productivity improved as much from staff morale as from new technology. 400 separate sustainability initiatives were specified in the firm based on the work of 18 different teams.
City comparisons By comparing indicators for resource use, wastes and livability in different cities, it is possible to locate those cities (or parts of cities) that have something to contribute to policy debates on sustainability. Much of this book is based on this approach though few cities have done full assessments of their resources, wastes and livability.
Australian cities were studied using this approach and showed the broad trends set out in Box 1.4. The next case study pursues urban comparison data on a global set of cities and others look at case studies on cities which are overcoming unsustainable trends.
Cities can operate this model on many such levels, but most of all they need to be able to measure how they are doing overall as a city in reducing their metabolic flows whilst improving their human livability. Most cities will be able to point to a few innovations they are making in sustainability but until they can bring a full assessment of these matters together they will not be addressing the fundamentals of urban sustainability.
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Box 1.4
Australian Settlements and Sustainability - based on "State of The Environment, Australia 1996". |
1. The larger the cities the more sustainable they are in terms of per capita use of resources (land, energy, water) and production of wastes (solid, liquid and gaseous) and in terms of livability indicators (income, education, housing, accessibility). The reason for this is explored in the next section on city size and sustainability. |
The evidence from Australian settlements in Box 1.4 shows that as cities get larger they become more efficient. This is not new in terms of quantitative studies, nor should it surprise us in theoretical terms. But it does. There are thus some important issues that need to be discussed about city size and sustainability; these will be started here but will be pursued at various points throughout this book. The issue will be looked at from the perspective of economics and ecology.
The data on city size were clear in our original global cities study (Newman and Kenworthy, 1989). This 32 city survey showed the same pattern: transport energy use per capita generally reduces with city size. Peter Naess from the Norwegian Building Research Institute wanted to try and investigate this phenomenon by eliminating the major variable of cultural difference that so clearly interferes with a global survey of cities. He chose 22 Scandinavian cities and found a very clear relationship between the size of the city and its per capita transport energy use as well as with density.[4] The cities of Copenhagen, Oslo and Stockholm were significantly lower in transport energy use per capita than in smaller provincial town (Naess, 1994).

PHOTO 10. Stockholm
has much lower per capita use of resources
(and hence
waste generation) than smaller Scandinavian towns,
due
to economies of scale and density such as its good public transport.
It also is well planned to enable corridors of forest into
the city.
Urban economists have been pointing to the efficiency advantages of scale for decades and also the efficiency advantages of density (the two are generally linked). There have been many studies of cities which have found significant economic benefits from scale and density (Hoch 1976, 1979, Sternlieb 1973, Richardson 1973). The benefits in terms of sustainability come from the same kind of economic efficiencies which are applied to environmental technologies, e.g. public transport systems become more efficient as cities grow, waste treatment and recycling systems become more efficient as cities grow (all other factors being equal).
There are economists like Neutze (1981, 1995) who point to the diseconomies associated with size due to the growth in externalities. Others point to growth in social problems that are said to increase with city size and density (Troy, 1996). However, the data on this question are usually very sparse and the issue seems to be more dominated by ideological stances (see Newman and Hogan, 1982 and subsequent discussion in chapter 5 and 6). Fischer (1976) summarises the elusive search for optimal city size in the following way: "Most urban scholars seem convinced, to quote a British economist, that '...the search for an optimal city size is almost as idle as the quest for the philosophers' stone' (Richardson, 1973: 131). The entire area of speculation is misconceived on several grounds. First, there are no substantial empirical findings pointing to city size at which any "good" - income or innovation or governmental efficiency - is maximized, or any "bad" - crime or pollution - is minimized. In fact, some data suggest that for economic purposes an optimal city size would be larger than any we now have. We have certainly not identified an optimum size for any social-psychological variable. Even if such ideals could be found, they would probably not be the same for a wide variety of social products. The size that maximizes personal incomes would differ from that which maximizes artistic creativity, or that which minimizes pollution, and so on. And it would surely be a vain task to try to sum up all these various "goods" and "bads" into a single measure. (Fisher, 1976, p250)
In ecological terms, it should come as no revelation that as cities grow and become more complex and diverse, they begin to create more efficiencies. Ecosystems grow from being simple systems with a few pioneering species to more mature ecosystems with diversity and interconnection. Thus after a fire or a flood or some other disturbance, a cleared piece of land will begin developing the structure of its ecosystem with an emphasis on rapid and simple growth. After a period it becomes more diverse and more efficient as it establishes a more complex network of interactions. As Table 1.3 shows, this succession process involves a series of changes which can be paralleled with the processes of urban development.
Table 1.3 Characteristics of young and mature ecosystems and their application to sustainable development in cities. See: Newman (1975).
Note: young ecosystems pioneer newly cleared or burned sites and progressively develop into mature ecosystems.
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ECOSYSTEM |
SUCCESSION |
SUSTAINABLE
CITY |
DEVELOPMENT |
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YOUNG
ECOSYSTEM |
MATURE
ECOSYSTEM |
YOUNG CITY |
MATURE
CITY |
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ENERGY and |
MATERIALS |
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Critical to the process of succession becoming more efficient in its use of the natural environment is its increase in information. This is both the raw genetic information of its individual components and the complex interactions and networks that hold it together as a system.
All analogies from nature need to be carefully considered before they are taken as principles for human society--social Darwinism caused wars and the rise of such socially disastrous theories as the 'master race'. But the analogy of the ecosystem and its obvious application to the urban system at least shows us that it is quite understandable when human activity in cities seems to parallel natural activity.
Ecological patterns thus help us to see that big cities can be moving, like a maturing ecosystem, towards a more efficient use of resources and a higher level of information, organisation and environmental control.
Cities can of course choose not to become more efficient as they grow. Cultural forces can always be used to deny the opportunities created by scale and density of activity. However, the evidence suggests that smaller cities find the process of achieving efficiency in economic and resource terms harder than larger cities.
The strong emotional appeal of 'smallness' to our age is not, however, without its basis. EF Schumacher's book 'Small is Beautiful' is discussed in later case studies with its attack on modern gigantism. The message Schumacher created was that all technology needs to be at the appropriate scale of the community that it is meant to be serving. Community scale technology is emerging as communities begin to assert their role--whether it be in villages in the third world or modern large cities.


PHOTO 12 and 13.
Rebuilding villages in cities is a necessary task for sustainability.
Villages in modern cities require quality public transport
at their core.
Singapore has built transit-based sub
centres to ease its traffic problems
and now Bangkok is
trying to do something similar as its traffic is not sustainable.
The thrust of the New Urbanism and the 'urban village' movement is that communities need to be physically designed for and given infrastructure at the scale of the community. Vast endless suburbs can be given new coherence when focussed around a sub-centre. This is expanded in later cases.
The recognition of the need for a community scale does not deny the realities associated with a big city. It tries to bring the social dimension into the city in a meaningful way. To try and suggest that all big cities should be dispersed into small ones is to deny some very major forces--both economic and ecological. And the evidence is that this would be counter-productive in terms of sustainability. However to ensure that communities work within big cities is a major policy for achieving sustainability.
This is also the approach we have taken to growth management, of trying to bring order and focus into the megalopolis around community goals. This is not anti-city but it is a part of asserting the importance of community and the need for environmental and economic responsibility within the city.
In the US there has been a long term belief in the value of small communities and small towns. The December 15, 1997 issue of Time magazine talked about the Rise of Small Towns, based on the move of some (generally wealthy) people to small towns after finding that even the move to suburbs from the city was not meeting their expectations. This is not statistically a significant movement. Nor can it be separated from the continuing problem of US inner cities. But even the US city is growing larger and is now becoming denser, along with most other cities around the world.
The driving force behind the growth of cities is human opportunity. The diversity of opportunity in cities continues around the world to be their main magnetism. We can try to deny these opportunities by attempting to artificially constrain city size, as the former USSR tried to do (unsuccessfully) with Moscow. Or we can even have experiments in de-urbanisation like those conducted by Pol Pot and Mao. Indeed some environmental philosophy becomes very anti-urban and verges on suggesting this as a policy framework (see Trainer, 1996, 1995, 1985). The human quest, the process of civilisation, the development of human society, is all about the growth of cities.
There is no question that cities are now heading in many wrong directions. They are not sustainable. But to suggest that sustainability means the systematic dismantling of cities is neither realistic nor does it have an historical or theoretically sensible basis to it. The urban adventure needs to be grasped and pursued, not denied.
Cities need to change, but the historic quest for human achievement through urban civilisation, will go on. The great challenge for our cities is that they must now take seriously the quest for sustainability: that cities can be more livable, more human, more healthy places, but that they must learn how to do this by simultaneously using fewer natural resources, creating less waste and thus impacting less on the natural world.
Cities around the world are now recognising the need to pursue the sustainability agenda. To do so they are seeking to define indicators of sustainability.
With the Extended Metabolism model as the fundamental basis, it is possible to derive a set of practical goals or indicators for a sustainable city. Some possible indicators are therefore proposed as being feasible and measurable each year to guide a city as it attempts to create livable communities. Examples of these indicators are set out in Box 1.1. Each one requires further explanation and detail but the basic idea can be seen. Much can no doubt be done to improve on this list which is a scaled-down version of the 150 indicators suggested by the World Bank and UN Center for Human Settlements (World Bank, 1994).
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Box 1.1
ANNUAL GOALS and
INDICATORS for a SUSTAINABLE CITY |
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1. Energy and Air
Quality
2. Water, Materials and
Waste.
3. Land, Green Spaces
and Biodiversity
4. Transportation
5. Livability Human
Amenity and Health
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The problem with indicators (whether they be for sustainability in cities or for managing a business), is that they are not always linked to a process that can lead to improvement in the indicator. If they are just for public relations or individual motivation they are not going to work very well. They need to be tied into policies and programs that can create some potential for improvement for the whole city. This book will emphasise the role of policies and programs for overcoming automobile dependence as the basis for creating more sustainable cities. It will examine how this relates to many of the above indicators and the kind of policies and programs that can simultaneously improve all the indicators.
Each city will of course be best able to define the indicators that matter most to it. For example, Seattle has defined twenty different indicators including the diversity of the local economy, the number of pedestrian-friendly streets, the percentage of youth participants in community services and the quantity of wild salmon returning to urban streams (City of Seattle, 1993). Copenhagen has an indicator of the number of seats available for public use in its streets, squares and parks as this seems to correlate to both enhanced economic vitality and reduced traffic (Gehl and Gemsoe, 1996). Adelaide has an indicator of the amount of rainwater reuse occurring in this water sensitive urban region (City of Adelaide, 1997). The Hague has indicators on the number of storks breeding successfully, the installed wind energy capacity and number of 30 km/h residential zones in their city. They also have combined their environmental indices for water, noise, air, waste, soil, energy, nature, business and mobility into one 'environmental thermometer' that can give a visual representation of whether they are improving or not (The Hague Municipality, 1995).
One of the indicators that has attracted significant interest as an overview of a city's environmental impact is the Ecological Footprint developed by Wackernagel and Rees (1996). They developed a technique for measuring the impact of a city on the global ecosystem based on the metabolic flows of resources into wastes. They try to estimate the amount of land required to sustain the activities of a city. This includes the land to produce the food and fibre, to mine the resources and to actually build the city, and it also includes the land needed to absorb the wastes. Energy is accounted for by considering the land required to absorb the CO2 produced into biomass.
The calculations show that a typical North American requires 4 to 5 ha of ecological footprint. If everyone on the globe required this we would need three planets the size of the earth to live on.
This approach to sustainability graphically shows the extent of our problem in cities - we must reduce our ecological footprint. However it is difficult to use this technique to bring all the impacts back into one land-based parameter. Also, energy does dominate the calculation. It is therefore a little artificial to use as a planning tool but it can be a sustainability indicator guiding cities as they face up to the agenda of reducing metabolic inputs while improving livability.
The implementation of sustainability tools is the exciting and frightening prospect for all cities. It is exciting as it gives us a clear task, a whole paradigm for organising our cities, and yet it is rooted in local environments and responses which means everyone can make a unique contribution. It is frightening as it is up to the present generation to reverse the trends of increasing natural resource usage which have been set in place for at least this century and probably more.
Critical to implementation is the development of Sustainability Plans or Local Agenda 21 Plans as set out in Agenda 21:
"Each local authority should enter a dialogue with its citizens, local organisations and private enterprises and adopt a 'local' Agenda 21. Local authorities should learn from citizens and local, civic, community, business, and industrial organisations the information needed for formulating the best strategies. This process will also increase household awareness of sustainable development issues." (Sitarz, 1994, p177)
The process can enable a city to both define its indicators and to assist in the process of change towards achieving them.
Although most nations have signed Agenda 21 this process of developing Sustainability Plans has been slow in some countries, particularly the US and Australia (though cities like Seattle were quick to develop a plan and the state of New South Wales now require LA21 plans by all local authorities). In most of Scandinavia annual Agenda 21 Plans or Sustainability Plans are required by law and it is even common amongst Indian local authorities.
Techniques for doing such plans have been outlined (ICLEI, 1996, Selman, 1996) and literature evaluating them is beginning to appear (Parenteau, 1994; Birch, 1994; Brugmann, 1994). Sustainability Plans require two central approaches: integrated planning and community participation. Both of these are quite familiar concepts, but the critical nature of the task means that we must do them with renewed commitment and creativity and in particular, we must now be serious about the natural resource/environmental aspects of these approaches. They can no longer fall off the end of the pile.
Sustainability has mostly been defined at the global and national level and only recently has begun to be applied to cities (Mitlan and Satterthwaite, 1994). The Extended Metabolism model provides a way of integrating environmental considerations with the social and economic aspects of cities. The task of applying sustainability can seem to be rather overwhelming at the global level but at the level of cities it becomes meaningful. With 50% of the world's population predicted to be in cities by 2000, cities are an obvious focus for the sustainability agenda, with enormous potential to generate change in how we use natural resources.
The Extended Metabolism model is an effective way for cities to try to create a holistic picture of their sustainability agenda. It enables urban managers to create a series of sustainability indicators which together can give a sense of whether they are reducing or growing in their resource inputs and waste outputs and at the same time reducing or growing in livability. These indicators can be used to show cities how much they are contributing to global issues such as greenhouse and oil depletion, and to show their local citizens how well they are managing sustainability issues that impact on them directly. However, if a city concentrates only on the local issues it is likely to miss major components of the sustainability agenda as outlined above.
The sustainability agenda is a major global and local issue. Communities across the world are trying to see how they can simultaneously reduce their impact on the earth while improving their quality of life. This is happening to a greater or lesser extent in all cities. However, it will always be obvious that the global and local must be married much more in this new agenda of sustainability, in all cities.
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Brugmann, J. (1994) Sustainability Indicators: Do We Need Them? Initiatives, ICLEI, Toronto, October 8, 1-12.
Brugmann, J. and Hersh, R. (1991) Cities as ecosystems: Opportunities for local government. ICLEI, Toronto.
Daly, H. E. and Cobb, J. B. Jnr. (1989) For the common good: Redirecting the economy toward community, the environment and a sustainable future. Beacon Press, Boston.
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Girardet, H. (1992) The Gaia atlas of cities. Gaia Books, London.
Hall, P. (1994) The Innovative City. Proceedings of OECD Conference, Melbourne.
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[1] Pezzoli (1996) in an overview on sustainability found ten categories of literature using the term and four principal spheres of concern:
This book uses all of these categories in applying sustainability to cities. The emphasis is on the last category about resources and ecosystem capacity, but there is always an awareness of the need for a more 'holistic, environmental context' and chapter 6 is devoted directly to the 'empowerment/community building' processes of cities, whilst chapter 7 focuses on the 'ethical/moral philosophy' base for city sustainability.
[2] For many environmentalists the 'Rio plus five' summit was a dismal performance as so many issues seemed to be no closer to a solution. Nations seemed to be failing to deliver on so many fronts. However, a more perceptive look would see that significant progress had occurred at the global or international level and at the level of the local community, between Rio and New York which give hope for a continuing global process.
At the global level the following landmarks were achieved:
" The Biodiversity Treaty, which emerged from the Rio Summit, took effect in 1993 and now requires all nations to keep better inventories of their biodiversity and to ensure protection and sharing in profits from the world's life forms. This is now part of international law.
" The Law of the Sea, which took 40 years for agreement, is also now part of international law since the required number of nations finally agreed in 1993. It now means for example that fishing of migratory ocean species is regulated.
" The Ozone Layer treaty took the world's governments a mere 10 years to develop and implement, so that 1996 saw the end of most global production of ozone-depleting chemicals.
" 1997 saw the start of a new global treaty which prevents the transport of hazardous waste to developing countries, and
" 1997 also saw the first serious attempts at setting targets on greenhouse gases begin to be negotiated.
The global agenda in terms of international environmental treaties and laws is quietly and slowly changing how the world does business. There are now over 200 such international agreements.
[3] The Natural Step is based on 4 principles which question whether any action will:
a) Reduce use of finite mineral resources;
b) Reduce use of long-lived synthetic products or molecules;
c) Preserve or increase natural diversity and the capacity of ecocycles, and
d) Reduce consumption of energy and other resources.
The founder of Natural Step is Karl-Hewik Robert, a Swedish scientist and it provides a way of approaching the physical and biological metabolism of any system. However, it does not bring out the livability aspects which seem to be necessary for a full approach to sustainability.
[4] Density reduces transport energy through several mechanisms: it shortens distances for all modes and it makes transit and bicycling and walking more viable as alternatives to the car; it also makes many journeys redundant as when transit is used many journeys are combined eg going to shops on the way to or from the train. Data from a 1996 study by Dunphy and Fisher show a 21% decrease in daily driving between central Manhattan and outer suburbs in New York but transport energy is 500% less in Manhattan on a per capita basis (see Figure 3.4).