Humanity on the move:
Unlocking the transformative power of cities
Flagship Report
Humanity on the move: Unlocking the transformative power of cities
In memoriam Dr. Birgit Soete
WBGU is an independent, scientific advisory body to the German Federal Government set up in 1992 in the run-up to the Rio Earth Summit. The Council has nine members, appointed for a term of four years by the federal cabinet. The Council is supported by an interministerial committee of the federal government comprising representatives of all ministries and of the federal chancellery. The Council’s principal task is to provide scientifically-based policy advice on global change issues to the German Federal Government.
The Council
• analyses global environment and development problems and reports on these,
• reviews and evaluates national and international research in the field of global change,
• provides early warning of new issue areas,
• identifies gaps in research and initiates new research,
• monitors and assesses national and international policies for sustainable development,
• elaborates recommendations for action,
• raises public awareness and heightens the media profile of global change issues.
WBGU publishes flagship reports every two years, making its own choice of focal themes. In addition, the German government can commission the Council to prepare special reports and policy papers. For more information please visit www.wbgu.de.
The Council Members
Prof. Hans Joachim Schellnhuber CBE (Chair)
Director of the Potsdam Institute for Climate Impact Research, Professor for Theoretical Physics at the University of Potsdam, External Professor at the Santa Fe Institute
Prof. Dirk Messner (Chair)
Director of the German Development Institute (DIE), Bonn and Co-Director of the Center for Advanced Studies on Global Cooperation Research, University of Duisburg-Essen
Prof. Frauke Kraas
Professor for Human Geography at the University of Cologne
Prof. Claus Leggewie
Director of the Institute for Advanced Study in the Humanities, Essen (KWI) and Professor for Political Science, University of Gießen. Co-Director of the Center for Advanced Studies on Global Cooperation Research, University of Duisburg-Essen
Prof. Peter Lemke
Professor of Physics of Atmosphere and Ocean, University of Bremen and Alfred Wegener Institute Helmholtz Centre for Polar and Marine Research in Bremerhaven. Scientific Coordinator of the Helmholtz Network ‘Regional Climate Change’ (REKLIM)
Prof. Ellen Matthies
Professor for Environmental Psychology, Otto-von-Guericke- University of Magdeburg
Prof. Nebojsa Nakicenovic
Deputy Director General and Deputy CEO, International Institute for Applied Systems Analysis (IIASA) and former full Professor of Energy Economics at Vienna University of Technology
Prof. Sabine Schlacke
Professor of Public Law, Director of the Institute for Environmental Law and Planning Law, University of Münster
Prof. Uwe Schneidewind
President of the Wuppertal Institute for Climate, Environment and Energy as well as Professor for Sustainable Transition Management at the University of Wuppertal
Humanity on the move:
Unlocking the transformative
power of cities
IV
Bibliographic information published by the Deutsche Nationalbibliothek
The Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie;
detailed bibliographic data are available in the Internet at http://dnb.d-nb.de.
ISBN 978-3-936191-45-5
© WBGU Berlin 2016
Translation: Bob Culverhouse & Margaret Helliwell, Berlin
The R&D project that generated this report was conducted on behalf of the German Federal Ministry of Education and Research and the Federal Ministry for the Environment, Nature Conservation and Nuclear Safety under grant number 01RIO708A3. Responsibility for the content of this publication rests with the author.
Design: WERNERWERKE GbR, Berlin
Cover photo: Frauke Kraas, high-rise buildings and informal settlements in Dhaka Production: WBGU
Typesetting: WBGU
Printing and binding: Ruksaldruck, Berlin
Recommended citation: WBGU – German Advisory Council on Global Change (2016): Humanity on the move: Unlocking the transformative power of cities. Berlin: WBGU.
Lead authors: Frauke Kraas, Claus Leggewie, Peter Lemke, Ellen Matthies, Dirk Messner, Nebojsa Nakicenovic, Hans Joachim Schellnhuber, Sabine Schlacke, Uwe Schneidewind Co-authors: Clara Brandi, Carsten Butsch, Sebastian Busch, Frederic Hanusch, Rüdiger Haum,
Melanie Jaeger-Erben, Miriam Köster, Mareike Kroll, Carsten Loose, Astrid Ley, Dörte Martens, Inge Paulini, Benno Pilardeaux, Teresa Schlüter, Gesa Schöneberg, Astrid Schulz, Anna Schwachula, Birgit Soete †, Benjamin Stephan, Johannes Sutter, Kira Vinke, Matthias Wanner
Secretariat Luisenstrasse 46 D-10117 Berlin Germany
Phone: +49 30 26 39 48 0 Email: wbgu@wbgu.de Web: www.wbgu.de Copy deadline: 22.01.2016
V Scientific Staff at the Secretariat
Dr. Inge Paulini (Secretary-General) Dr. Carsten Loose
(Deputy Secretary-General) Dr. Rüdiger Haum (until 31.5.2015) Dr. Astrid Ley (until 31.8.2014) Dr. Benno Pilardeaux
(Head of Media and Public Relations ) Teresa Schlüter, Ph. D. (since 20.8.2015) Dr. Astrid Schulz
Anna Schwachula, M. A. (since 15.9.2015) Dipl. Ing. Dipl. Jur. Gesa Schöneberg Dr. Birgit Soete †
Dr. Benjamin Stephan
Administration, Editorial Work and Secretariat Anja Böhmer, M. A.
(Event Management; Secretariat; since 1.2.2015) Vesna Karic-Fazlic (Accountant)
Mario Rinn, B. Sc.
(System Administration and Graphics) Martina Schneider-Kremer, M. A.
(Publishing and Event Management) Margot Weiß
(Secretariat; until 31.12.2014)
Scientific Staff to the Council Members Dr. Clara Brandi
(German Development Institute, Bonn) Dipl.-Kfm. Sebastian Busch
(Transitions to New Technologies Program IIASA)
Dr. Carsten Butsch (bis 31.12.2014)
(Institute of Geography, University of Cologne) Frederic Hanusch, M. A.
(Institute for Advanced Study in the Humanities, Essen)
Dr. Melanie Jaeger-Erben
(Otto von Guericke University, Magdeburg) Dipl.-Jur. Miriam Köster
(Institute for Environmental Law and Planning Law, University of Münster)
Dr. Mareike Kroll
(Institute of Geography, University of Cologne) Dr. Dörte Martens (bis 30.4.2015)
(Otto von Guericke University Magdeburg) Dipl.-Phys. Johannes Sutter
(Alfred Wegener Institute, Bremerhaven) Kira Vinke, M. A.
(Potsdam Institute for Climate Impact Research) Dipl.-Psych. Matthias Wanner
(Wuppertal Institute for Climate, Environment and Energy)
Council Staff
VI
The WBGU would like to thank the external contribu- tors for their valuable input and assistance. Specifically, the following commissioned expert studies, which are available on the WBGU website, were integrated into this report:
> Prof. Dr. Christoph Bieber (University Duisburg-Es- sen, Institute of Political Science – IfP) and Peter Bihr (The Waving Cat GmbH, Berlin): Digitalisierung und die Smart City: Ressource und Barriere transformati- ver Urbanisierung, 2015.
> Prof. Dr. Martin Coy and Dr. Tobias Töpfer (Institute of Geography, University of Innsbruck): São Paulo:
Aktuelle Entwicklungstrends und Möglichkeiten der Transformation zur Nachhaltigkeit, 2015.
> PD Dr. Daniel Schiller (Lower Saxony Economic Research Institute e. V., Hannover): Informalität in urbanen Ökonomien, 2015.
> Prof. Dr. habil. Guido Spars and Dr. Roland Busch (University of Wuppertal, Department of Architec- ture): Auswirkungen der Internationalisierung der Immobilienwirtschaft auf Wohnungsmärkte und Stadtentwicklung weltweit, 2015.
> Peter Taylor, FBA, AcSS (Professor of Human Geog- raphy; Director of the Globalization and World Cities Research Network – GaWC, Northumbria): The Role of Cities in the Process of Economic Globalization, 2015.
Furthermore, the WBGU wishes to thank all those who provided valuable support through discussions, comments, contributions, advice, research, and peer reviews for this report:
Dr. Kathrin Berensmann (German Development Insti- tute – DIE, Bonn); Prof. Dr. Rainer Danielzyk (Acad- emy for Spatial Research and Planning, Leibniz Forum for Spatial Sciences, Hannover); Prof. Undine Giseke (Technical University Berlin); Dr. Busso Grabow (Ger- man Institute for Urban Studies – Difu, Berlin); Felix Forster (Potsdam Institute for Climate Impact Research – PIK); Prof. Dr. Armin Grunwald (Institute for Technol- ogy Assessment and Systems Analysis – ITAS, Karls- ruhe); Prof. Dr. Jens Gurr (University Duisburg-Essen);
Dr. Ing. Bettina Hamann ( Technical University Berlin);
Prof. Dr. Eckhart Hertzsch (Technical University Ber- lin, Joanes Foundation, National Platform for the City of the Future and Fraun hofer-IBP Morgenstadt Initia- tive); Dennis Hof (Potsdam Institute for Climate Impact Research – PIK); Prof. Dr. Kristine Kern (Leibniz Insti-
tute for Research on Society and Space, Erkner); Prof.
Dr. Marion Klemme (Federal Institute for Research on Building, Urban Affairs and Spatial Development – BBSR, Berlin); Oliver Lah (Free University Berlin); Dr.
Eduardo Lopez Moreno ( UN-Habitat); Jin-Sheng Lue (Association of German Cities, Berlin); Prof. Dr. Günter Meinert (German Society for International Coopera- tion – GIZ, Eschborn); Shi Ming ( Publicist and Inter- preter, Berlin); Lisa Murken (Potsdam Institute for Climate Impact Research – PIK); Dr. Sonja Nebel (Oikos Human Settlements Research Group, Kleinmach- now); Mario Negre (German Development Institute, Bonn and World Bank, Washington, DC); Dr. Bettina Schmalzbauer (German Committee Future Earth, Stutt- gart); Prof. Dr.-Ing. J. Alexander Schmidt (University Duisburg-Essen); Stefan Schurig (World Future Council, Hamburg); Prof. Dr. Martin Visbeck (GEOMAR Helm- holtz Centre for Ocean Research Kiel); Prof. Dr. Ulrich Volz (German Development Institute – DIE, Bonn); Dr.
Christian von Haldenwang (German Development Insti- tute, Bonn); Armin von Schiller (German Development Institute – DIE, Bonn); Dr. Felix Wagner (Ministry of Science, Research and the Arts Baden-Württemberg);
Prof. Dr. Arnim Wiek (Leuphana University Lüne- burg); Dipl.-Geogr. Martin Wodinski (Potsdam Institute for Climate Impact Research – PIK); Dr. Peter Wolff ( German Development Institute – DIE, Bonn); Nicholas You (Guangzhou Institute for Urban Innovation); Prof.
Dr. Gesa Ziemer (HafenCity University, Hamburg).
The WBGU received valuable suggestions during its special intensive conference in Schmöckwitz in April 2014 and at hearings of experts conducted during its regular meetings:
Dr. Helmut Philipp Aust (Humboldt University Ber- lin); Prof. Benjamin R. Barber (The City University of New York); Matthias Böttger und Stefan Carsten (Raum taktik, Berlin); Prof. Kees Christiaanse (KCAP Architects and Planners, Rotterdam); Prof. Dr. Martin Coy (University Innsbruck); Gita Goven (Arg Design, Cape Town South Africa); Prof. Peter Herrle (Technical University Berlin); Prof. David Simon (Royal Hollo- way University of London); Prof. Dr. Christian Schmid (ETH Zürich); Martin zur Nedden (German Institute for Urban Studies – Difu, Berlin).
The topic of this report was covered in depth dur- ing a discussion focusing on ‘Research’ with scientists specializing in urban and urbanization research, which
Acknowledgments
VII are also due to the panel guests at the event entitled
‘ Urbanization and the Great Transformation: Challenges for Urban and Urbanization Research’, which the WBGU staged on 20 November 2015:
Prof. Dr.-Ing. Klaus J. Beckmann (Academy for Spa- tial Research and Planning – ARL, Hannover); Dipl.
Ing. Joachim Brenncke (German Chamber of Architects – BAK, Berlin); Prof. Undine Giseke (Technical Univer- sity Berlin); Dr. Busso Grabow (German Institute for Urban Studies – Difu, Berlin); Prof. Dr. em. Peter Herrle ( Technical University Berlin); Prof. Dr. Sigrun Kabisch (Helmholtz Centre for Environmental Research – UFZ, Leipzig); Prof. Elke Pahl-Weber (Technical University Berlin); Prof. Antje Stokman (University Stuttgart);
Monika Zimmermann (ICLEI World Secretariat, Bonn).
Dr. Carsten Krück and Hartmut Schug (VDI Tech- nology Center, Düsseldorf) as well as Silke Kröll (DLR Project Management Agency, Bonn) attended the event for the Federal Ministry of Education and Research (BMBF). For the Federal Ministry for the Environ- ment, Nature Conservation, Building and Nuclear Safety (BMUB) Klaus Dilmetz, Thomas Haberland, Dr.
Susanne Lottermoser, Dr. Vera Rodenhoff and Matthias Schmoll were present.
IX
Contents
Council Staff . . . .V Acknowledgments . . . .VI Boxes . . . . XIX Tables . . . XXI Figures . . . .XXII Acronyms and Abbreviations . . . .XXV
Summary . . . .1
1 Introduction: The Transitory Century . . . .35
2 Urbanization in a global context . . . .41
2.1 Current urbanization dynamics . . . .41
2.1.1 Global and regional urbanization dynamics . . . 41
2.1.2 Drivers of urbanization . . . 45
2.1.2.1 Demographic factors . . . 46
2.1.2.2 Economic factors . . . 47
2.1.2.3 Societal factors . . . 48
2.1.3 Urban change processes . . . 48
2.2 Understanding the city . . . .56
2.2.1 Definitions and characteristics: the city as a spatial organizational form for humankind . . . 56
2.2.1.1 Concepts of the city . . . 56
2.2.1.2 Urban characteristics . . . 56
2.2.1.3 Urbanity . . . 57
2.2.1.4 Urban-rural linkages . . . 57
2.2.1.5 Types of city . . . 57
2.2.1.6 City systems and city networks . . . 58
2.2.2 Historical processes, path dependencies and socio-cultural city types . . . 59
2.2.2.1 Development pathways of global urbanization . . . 59
2.2.2.2 First and second urbanization phase: pre-industrial cities and urbanization 59 2.2.2.3 Third urbanization phase: industrialized urbanization and cities . . . 61
2.2.2.4 Fourth urbanization phase: globalized urbanization . . . 61
2.2.2.5 Socio-cultural city types . . . 62
2.2.2.6 Guiding models in urban development . . . 64
2.3 Cities and environmental change . . . .65
2.3.1 Introduction . . . 65
2.3.2 Urban metabolism . . . 66
2.3.3 Cities as drivers of global environmental change . . . 68
2.3.3.1 Cities as drivers of climate change and ocean acidification . . . 68
2.3.3.2 Cities as drivers of land-use trends and biodiversity loss . . . 70
2.3.3.3 Cities as a source of persistent anthropogenic pollutants . . . 72
2.3.3.4 Cities and the use of phosphorus . . . 74
2.3.4 Local environmental problems in cities . . . 75
2.3.4.1 Air pollution . . . 75
X
2.3.4.2 Overuse and pollution of water resources . . . 76
2.3.4.3 Waste . . . 78
2.3.4.4 Climate risks . . . 80
2.3.5 Conclusions . . . 83
2.4 The city as a habitat . . . .83
2.4.1 Urban quality of life and human-environment interaction . . . 85
2.4.1.1 Urban stressors and socio-spatial prerequisites for stress management . . . . 86
2.4.1.2 Place attachment and place identity . . . 89
2.4.2 Urban quality of life and urban coexistence . . . 90
2.4.2.1 Inclusion in cities: social inequality, spatial segregation and environmental justice . . . 90
2.4.2.2 Social cohesion . . . 92
2.4.3 Urban life styles . . . 93
2.4.4 Outlook: perspectives for liveable cities . . . 95
2.5 Urban governance: actors, structures, processes . . . .95
2.5.1 Actors . . . 96
2.5.1.1 State actors . . . 96
2.5.1.2 Business actors . . . 97
2.5.1.3 Civil society . . . 97
2.5.2 Structures of urban governance . . . 99
2.5.2.1 Interaction between state and private governance . . . 99
2.5.2.2 Informal governance . . . 100
2.5.3 Cities as part of a multi-level system . . . 100
2.5.3.1 Powers and responsibilities . . . 100
2.5.3.2 Challenges . . . 102
2.5.4 Municipal financing . . . 103
2.5.4.1 Internal financing instruments . . . 104
2.5.4.2 External financing instruments . . . 105
2.5.5 Good urban governance . . . 106
2.5.6 Global urban governance . . . 108
2.5.6.1 Vertical urban governance . . . 108
2.5.6.2 Horizontal urban governance . . . 109
2.6 Global urbanization reports: problem descriptions, solution approaches and actors . . .112
2.6.1 Priorities of selected global urbanization reports . . . 112
2.6.1.1 Climate–energy–resource efficiency . . . 112
2.6.1.2 Basic services–inclusion–socio-economic disparities . . . 116
2.6.1.3 Planning–finance . . . 117
2.6.2 Conclusions . . . 122
2.7 Challenges and needs for action . . . .125
3 The Normative Compass . . . .127
3.1 The Great Transformation and cities . . . .127
3.2 An extended normative concept for the transformation towards sustainability . . . .132
3.3 Sustaining the natural life-support systems . . . .134
3.3.1 Planetary guard rails for global environmental change . . . 135
3.3.2 Local, urban environmental problems . . . 136
3.4 Inclusion . . . 137
3.4.1 Substantive inclusion . . . 137
3.4.2 Economic inclusion . . . 139
3.4.3 Political inclusion . . . 140
XI
3.5 Eigenart . . . .142
3.5.1 Descriptive and normative Eigenart . . . 142
3.5.2 Difference and creative autonomy as principles of people-oriented urban development. . . 143
3.5.3 Categories of Eigenart . . . 144
3.5.3.1 Provision of spatial-material prerequisites for urban quality of life . . . 145
3.5.3.2 Social cohesion, local identity and local identification . . . 146
3.5.3.3 Innovativeness, creativity and connectivity . . . 146
3.5.4 Eigenart as an element for city rankings and analyses . . . 147
3.6 Dynamics between the three dimensions of the normative compass . . . .149
4 Exemplary transformative action fields . . . .151
4.1 Transformative action fields: concept . . . .151
4.2 Internationally discussed fields . . . .151
4.2.1 Decarbonization, energy and mitigation of climate change in cities . . . 152
4.2.2 Mobility and transport . . . 153
4.2.3 Urban form . . . 154
4.2.4 Adaptation to climate change . . . 156
4.2.5 Poverty reduction and socio-economic disparities . . . 157
4.3 Transformative action field: ‘urban land use’ . . . .158
4.3.1 Urban land use . . . 158
4.3.1.1 Land tenure systems . . . 158
4.3.1.2 Trade with land and real estate . . . 161
4.3.1.3 Forms of urban land-usage regulation . . . 162
4.3.2 Requirements of transformative land use . . . 165
4.3.2.1 Natural life-support systems, inclusion, Eigenart . . . 166
4.3.2.2 Principles of transformative land use . . . 166
4.3.3 Starting points for implementing transformative land use . . . 168
4.3.3.1 General steering mechanisms . . . 168
4.3.3.2 Special management models . . . 170
4.3.4 Consequences: moving towards transformative land-use management . . . 171
4.4 Transformative action field: ‘materials and material flows’ . . . .172
4.4.1 Building materials . . . 173
4.4.1.1 Assessment of infrastructure building materials according to the WBGU’s normative compass . . . 175
4.4.1.2 Solution approaches in the city . . . 176
4.4.2 Phosphorus . . . 179
4.4.3 Electronic waste. . . 181
4.4.4 Conclusions: towards sustainable material management . . . 183
4.5 Transformative action field: ‘urban health’ . . . .184
4.5.1 Urban health as a resource and as a goal of urban transformation processes . . . 184
4.5.2 Importance of urban health for the transformation process . . . 186
4.5.3 Key challenges . . . 188
4.5.3.1 Increase in non-communicable diseases and spread of unhealthy lifestyles . . . 188
4.5.3.2 Urban epidemics and new infectious diseases . . . 189
4.5.3.3 Health disparities: a global urban challenge . . . 190
4.5.4 Potential and levers . . . 191
4.5.4.1 Food security and food quality . . . 192
4.5.4.2 Health-promoting urban environment . . . 194
4.5.4.3 Health impacts of air pollution . . . 196
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4.5.5 Conclusions: transformation pathways of urban health . . . 197
4.6 Transformative action fields: conclusions . . . .199
5 Cities in the global transformation process . . . .201
5.1 Introduction . . . .201
5.2 Mumbai: transformation of a colonial metropolis into a globally networked megacity . .202
5.2.1 Transformation of a colonial metropolis into a globally networked megacity . . . 202
5.2.2 Sustaining the natural life-support systems in Mumbai . . . 203
5.2.2.1 Local environmental problems . . . 204
5.2.2.2 Impacts of climate change . . . 204
5.2.2.3 Measures for sustaining natural life-support systems . . . 206
5.2.3 Inclusion in Mumbai . . . 207
5.2.3.1 Substantive inclusion . . . 207
5.2.3.2 Economic inclusion . . . 209
5.2.3.3 Political inclusion . . . 210
5.2.4 Eigenart in Mumbai . . . 212
5.2.4.1 Urban cultural heritage and place identity . . . 212
5.2.4.2 Cultural diversity and social cohesion . . . 212
5.2.4.3 Urban creative autonomy . . . 213
5.2.5 Visions of future urban development . . . 213
5.2.6 Conclusions and future transformation pathways . . . 214
5.3 Cairo: metropolis between an authoritarian state and weak governance . . . .215
5.3.1 Parallel cities . . . 215
5.3.1.1 The formal core-city areas . . . 215
5.3.1.2 The desert satellite cities . . . 216
5.3.1.3 The informal settlements . . . 217
5.3.1.4 Cairo: on the verge of collapse? . . . 218
5.3.1.5 The geopolitical context of Cairo’s urban development . . . 220
5.3.2 Cairo’s challenges and starting points for the transformation process . . . 220
5.3.2.1 Sustaining the natural life-support systems in Greater Cairo . . . 220
5.3.2.2 Inclusion in Greater Cairo . . . 222
5.3.2.3 Eigenart in Greater Cairo . . . 224
5.3.2.4 Actors in the development process of natural life-support systems, inclusion and Eigenart . . . 226
5.3.2.5 Urban Development Strategy: Cairo 2052 . . . 227
5.3.3 Conclusions . . . 227
5.4 Copenhagen: a people-oriented pioneer of sustainable urban planning . . . .229
5.4.1 From Viking settlement to metropolitan area . . . 230
5.4.2 Transformation in Copenhagen: openness to experiments and innovation . . . 230
5.4.3 Natural life-support systems: good practices with co-benefits . . . 232
5.4.3.1 Planetary guard rails: climate and resources . . . 232
5.4.3.2 Local urban environmental problems: potential for improvement on air pollution . . . 234
5.4.3.3 Relevant actors in efforts to sustain natural life-support systems . . . 234
5.4.4 Inclusion: promotion through strong management . . . 234
5.4.4.1 Substantive inclusion: disparities in housing, education and healthcare . . 235
5.4.4.2 Political inclusion: multi-level system with a culture of participation . . . 235
5.4.5 Eigenart in Copenhagen . . . 238
5.4.5.1 Cultural diversity, place identity and social cohesion . . . 238
5.4.5.2 Cultural Eigenart and the promotion of creativity and innovativeness . . . . 239
5.4.5.3 Urban creative autonomy . . . 240
5.4.6 Copenhagen in the global context . . . 242
XIII
5.4.7 Conclusions . . . 243
5.5 Guangzhou: Open Door policy, globalization and migration-driven urbanization in the ‘world’s workshop’ . . . .243
5.5.1 Guangzhou: rapid urbanization in the wake of China’s Open Door policy . . . 243
5.5.2 Globalization, extreme dynamics and exogenous urban development . . . 245
5.5.3 Healthcare and social cohesion . . . 249
5.5.4 Centralistic governance versus decentralization . . . 251
5.5.5 Transformation in Guangzhou: problem areas and starting points . . . 252
5.5.5.1 Sustaining the natural life-support systems . . . 252
5.5.5.2 Inclusion . . . 253
5.5.5.3 Eigenart . . . 255
5.5.6 Visions of future urban development . . . 256
5.6 The Ruhr area: the post-industrial metropolis – polycentric and sustainable . . . .257
5.6.1 From ‘region’ to polycentric metropolis? . . . 257
5.6.1.1 Historical genesis . . . 259
5.6.1.2 The Ruhr area: a test case for the Anthropocene . . . 261
5.6.2 Natural life-support systems, Eigenart and inclusion in the Ruhr area . . . 262
5.6.2.1 Sustaining natural life-support systems . . . 262
5.6.2.2 Eigenart . . . 265
5.6.2.3 Inclusion . . . 268
5.6.3 Transforming a polycentric urban region in structural transition . . . 273
5.6.3.1 Change agents . . . 275
5.6.3.2 Polycentric governance and master plans . . . 275
5.6.4 Conclusions . . . 275
5.7 Kigali: post-conflict city in Sub-Saharan Africa . . . .276
5.7.1 Introduction . . . 276
5.7.2 Eigenart in Kigali . . . 277
5.7.2.1 Post-conflict city . . . 277
5.7.2.2 Population development . . . 277
5.7.2.3 Challenges of urban development: population growth and urban sprawl . 278 5.7.3 Sustaining the natural life-support systems in Kigali . . . 278
5.7.3.1 Energy profile . . . 278
5.7.3.2 Local challenges and risks . . . 279
5.7.4 Inclusion in Kigali . . . 282
5.7.4.1 Political inclusion and urban governance . . . 282
5.7.4.2 Economic inclusion . . . 285
5.7.5 Urban transformation towards sustainability . . . 286
5.8 São Paulo: the fragmented metropolis . . . .286
5.8.1 Structure and changes of a megacity . . . 286
5.8.1.1 Immigration . . . 286
5.8.1.2 City, metropolitan region, macrometrópole . . . 287
5.8.1.3 Winners and losers of functional-spatial changes . . . 288
5.8.2 Eigenart: São Paulo’s centre as an identity-defining location and embryo of the urban society . . . 289
5.8.2.1 Urban form of São Paulo’s centres . . . 289
5.8.2.2 Socio-spatial change in the centre and the ‘right to the city’ . . . 289
5.8.3 Inclusion: housing problems, socio-spatial segregation and social housing . . . 290
5.8.3.1 Favela population in the core city and metropolitan region . . . 291
5.8.3.2 Dynamics of the formal housing market . . . 291
5.8.3.3 Social housing . . . 292
5.8.3.4 Crisis, paradigm shift and fresh start in social housing – Minha Casa Minha Vida . . . 292
XIV
5.8.3.5 Municipal housing policy . . . 293
5.8.4 Sustaining the natural life-support systems: urban hygiene and local climate policy as key action areas . . . 294
5.8.4.1 Water supply and sewage disposal . . . 294
5.8.4.2 Sewage treatment: an unsolved problem. . . 294
5.8.4.3 Flood risk . . . 294
5.8.4.4 Waste collection and waste disposal . . . 295
5.8.4.5 From national to municipal climate policy. . . 295
5.8.4.6 Impact of climate change . . . 296
5.8.5 Starting points and challenges for the transformation: urban-development planning and metropolitan governance . . . 296
5.8.5.1 A new strategic master plan for urban development . . . 297
5.8.5.2 ‘Right to the city’ and the priorities of urban- development planning . . . 297
5.8.5.3 Planning for the metropolitan region: the new Estuato da Metrópole . . . 297
5.8.5.4 Macrometrópole Paulista: the mega-urban area . . . 298
5.8.6 Conclusions . . . 299
5.9 Novi Beograd: 20th century socialist planned city district . . . .301
5.9.1 Eigenart in Novi Beograd . . . 301
5.9.1.1 History of Novi Beograd . . . 301
5.9.1.2 Novi Beograd’s building phases . . . 303
5.9.2 Inclusion in Novi Beograd . . . 305
5.9.2.1 Political inclusion and urban corruption . . . 305
5.9.2.2 Economic and substantive inclusion: consequences of the privatization of the housing market . . . 306
5.9.3 Sustaining the natural life-support systems in Novi Beograd . . . 306
5.9.3.1 Climate risks . . . 307
5.9.3.2 Energy supply . . . 307
5.9.3.3 Transport . . . 308
5.9.4 Conclusions for the transformation towards sustainability in Novi Beograd . . . 308
5.10 Synopsis . . . .308
6 Urban designers: actors of the urban transformation . . . .311
6.1 Introduction . . . .311
6.2 Transformative urban networks . . . .312
6.2.1 Impact hubs . . . 312
6.2.2 Shack/Slum Dwellers International . . . 313
6.2.3 Local Governments for Sustainability (ICLEI) . . . 313
6.3 Inclusive urban planning . . . .314
6.3.1 Kunlé Adeyemi / NLÉ: shaping the architecture of developing cities . . . 314
6.3.2 Earthbag buildings and smart shacks . . . 314
6.3.3 IBA Emscher Park . . . 315
6.3.4 Vienna’s housing policy . . . 316
6.4 Social inclusion and cohesion . . . .317
6.4.1 Slum development: the Indian Alliance . . . 317
6.4.2 Urban gardening: collective and intercultural . . . 318
6.4.3 Building for refugees . . . 319
6.4.3.1 Modular systems as emergency housing . . . 320
6.4.3.2 Urban development as a means of integration . . . 320
6.5 Participation in urban development . . . .322
6.5.1 Participation of children in urban development and children-friendly cities: Citta dei Bambini in Italy . . . 322
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6.5.2 Participation in noise protection: the ‘Mach’s leiser’ project in Leipzig . . . 322
6.5.3 Emancipatory cartography . . . 323
6.6 Small-scale green transformations as part of the Great Transformation . . . .324
6.6.1 Waste recycling in cities . . . 324
6.6.2 Sustainable consumption . . . 325
6.6.2.1 The sharing city: collaborative consumption and the sharing economy . . . 325
6.6.2.2 Aquaponics in Dortmund . . . 325
6.6.3 Sustainable mobility . . . 326
6.6.3.1 Cycle Hub scheme in Manchester . . . 327
6.6.3.2 Ecocabs: increasing the use of cycle rickshaws in New Delhi . . . 327
6.6.3.3 Ruhr S1 cycle superhighway . . . 328
6.7 Preventive healthcare . . . .328
6.7.1 Adolescent slum dwellers engaged in preventive healthcare for children . . . 328
6.7.2 World Toilet Organization . . . 329
6.8 Innovative investment instruments for the urban transformation . . . .329
6.8.1 Small Medium Enterprise Fundamentals . . . 329
6.8.2 Inclusive payment system: M-Pesa . . . 330
6.9 Science as a catalyst of urban development . . . .331
6.9.1 Open Knowledge Foundation . . . 331
6.9.2 Science shops and other actors in transdisciplinary processes . . . 331
6.10 Conclusions . . . .332
7 Urban patterns . . . .335
7.1 From phenomenology to designing cities: forces, forms, values . . . .335
7.2 Newly planned cities and city districts . . . .337
7.2.1 Interaction between the ‘master builders’: power, hardship, time . . . 338
7.2.1.1 Power – the combination of public and private interests . . . 339
7.2.1.2 Hardship – preventing (visible) need and its limits . . . 339
7.2.1.3 Time – the challenge of acceleration . . . 339
7.2.2 Sustaining the natural life-support systems, inclusion and Eigenart: challenges for the transformation . . . 339
7.2.2.1 Sustaining the natural life-support systems . . . 340
7.2.2.2 Inclusion . . . 340
7.2.2.3 Eigenart . . . 340
7.2.3 Solution spaces and governance options . . . 341
7.3 Informal settlements . . . .342
7.3.1 Informal settlements – a definition . . . 342
7.3.1.1 Slums as a category of informal settlements . . . 343
7.3.1.2 Measures and strategies for dealing with informal settlements . . . 343
7.3.2 Interaction between the ‘master builders’ of power, hardship and time . . . 344
7.3.2.1 Power – areas of limited statehood . . . 344
7.3.2.2 Hardship – improvisation driven by poverty . . . 345
7.3.2.3 Time – fast solutions, slow progress . . . 345
7.3.3 Informal urbanization in the transitional century . . . 345
7.3.3.1 Socio-economic disparities and urban poverty . . . 345
7.3.3.2 Migration . . . 346
7.3.4 Sustaining the natural life-support systems, inclusion and Eigenart: challenges for the transformation . . . 346
7.3.4.1 Sustaining the natural life-support systems . . . 346
7.3.4.2 Inclusion . . . 347
7.3.4.3 Eigenart . . . 347
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7.3.5 Solution spaces and governance options . . . 348
7.3.5.1 Micro-level: improving living conditions . . . 348
7.3.5.2 Meso-level: city-wide upgrading strategies and the right to adequate housing . . . 349
7.3.5.3 Macro-level: wealth redistribution and combating corruption . . . 349
7.4 Mature cities and city districts . . . .350
7.4.1 Historically evolved cities . . . 350
7.4.1.1 Power as control . . . 351
7.4.1.2 Hardship surrounded by wealth . . . 351
7.4.1.3 Suspended time . . . 351
7.4.2 The infrastructure curse . . . 351
7.4.3 Solution spaces and governance options . . . 353
7.5 Urbanization surge up to 2050 – six development risks of global change . . . .353
8 Transformative urban governance: empowering cities . . . .357
8.1 Challenges for transformative urban governance . . . .357
8.2 Empowering local governments for the transformation . . . .359
8.2.1 Strengthen urban decision-making powers. . . 359
8.2.1.1 Constitutional recognition and legislation on local self-administration . . . . 360
8.2.1.2 Distribution of tasks and powers, taking the subsidiarity principle into account . . . 361
8.2.1.3 Integration into regional and national legislative processes . . . 363
8.2.2 Financing of sustainable urban development . . . 363
8.2.2.1 Strengthen the municipal administration and the financial basis . . . 363
8.2.2.2 Mobilize private capital for urban infrastructure . . . 365
8.2.2.3 Coordinate the international financing of climate mitigation and development . . . 366
8.2.3 Strengthen local authority over urban planning and development . . . 367
8.2.3.1 Strengthen institutional and personnel capacities and create effective planning structures . . . 367
8.2.3.2 Ensure the compatibility of private investment with the common good and restrict real-estate speculation . . . 369
8.2.3.3 Corruption prevention . . . 369
8.3 Strengthen civil society: involve residents, act collaboratively . . . .370
8.3.1 Opportunities and limits of collaborative governance . . . 370
8.3.2 Use potential for collaboration and create arenas for discourse and experimentation . . . 371
8.3.2.1 Extension of existing collaboration structures . . . 372
8.3.2.2 Create and use urban open spaces for citizen engagement and creativity . 373 8.3.3 Integrate informal structures . . . 374
8.3.4 Civil-society networks and their importance for urban development . . . 376
8.4 Shape global governance structures in a way that meets present-day needs . . . .376
8.4.1 Importance of international negotiations for the transformation in cities . . . 377
8.4.1.1 2030 Agenda for sustainable development . . . 377
8.4.1.2 International climate policy: implications of the Paris Agreement for cities . . . 377
8.4.2 Cities and the international system: transformation potential? . . . 379
8.4.2.1 Enabling urban ‚foreign policy‘ . . . 380
8.4.2.2 Strengthening city networks. . . 380
8.4.3 UN-Habitat: the need for and potential of a reform . . . 381
8.4.4 New Urban Agenda: use Habitat III for the Great Transformation . . . 383
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8.5 Build a polycentric responsibility architecture . . . .384
9 Recommendations for action . . . .387
9.1 Challenges . . . .387
9.1.1 Realign and reshape urban development. . . 387
9.1.2 Use the transformative power of cities and urban societies . . . 388
9.2 Elements of a social contract for the urban transformation . . . .389
9.2.1 Normative compass . . . 390
9.2.2 Transformative action fields as part of the social contract . . . 390
9.2.3 Polycentric responsibility architecture . . . 391
9.2.4 Further elements to be considered . . . 391
9.2.4.1 Urbanization surge up to 2050 – six development risks of global change . . 391
9.2.4.2 Prerequisites for the transformation capability of urban societies . . . 391
9.3 Transformative action fields in cities . . . .394
9.3.1 Transformative action fields that are in the focus of international attention . . . 394
9.3.1.1 Decarbonization, energy and mitigation of climate change: improve urban decision-making skills and strive for zero emissions . . . 394
9.3.1.2 Mobility and transport: overcome the dominance of motorized, individual traffic . . . 398
9.3.1.3 Link urban form with sustainability and adaptability . . . 399
9.3.1.4 Integrate adaptation to climate change into urban development . . . 400
9.3.1.5 Reduce poverty and socio-economic disparities in cities . . . 401
9.3.2 Transformative action fields that are given too little attention internationally . . . 403
9.3.2.1 Ensure that urban land use is oriented towards the common good . . . 403
9.3.2.2 Promote the sustainable stewardship of materials and material flows . . . . 405
9.3.2.3 Urban health: strengthen resources and potential for healthy living in cities . . . 407
9.4 Governance . . . .409
9.4.1 Use the transformative potential of cities and make urbanization a central theme in international cooperation . . . 409
9.4.2 Enable local governments to make the transformation . . . 412
9.4.3 Establish collaborative governance: empower and commit urban societies to help shape their own cities . . . 413
9.5 Financing . . . .414
9.5.1 Challenges. . . 414
9.5.2 Goals . . . 415
9.5.3 Core recommendations . . . 415
9.5.3.1 Goal 1: Strengthen the municipal administration and the financial basis . . 415
9.5.3.2 Goal 2: Mobilize private capital for urban infrastructure . . . 417
9.5.3.3 Goal 3: Gear the financing of international development and climate mitigation more closely to urban development . . . 420
9.6 Synopsis . . . .420
10 Research on sustainable urbanization . . . .423
10.1 Cities and the Great Transformation: important lines of research . . . .425
10.1.1 Sustaining the natural life-support systems . . . 426
10.1.2 Inclusion . . . 426
10.1.3 Eigenart . . . 428
10.1.4 Governance. . . 429
10.1.5 Cross-cutting aspects of urban transformation research . . . 433
10.2 Programmes and institutions: where does urban sustainability research stand? . . . .433
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10.2.1 Demands on the framework of sustainable urban research . . . 435
10.2.1.1 Goals . . . 435
10.2.1.2 Structural requirements . . . 436
10.2.1.3 Results and impacts . . . 439
10.2.2 German research programmes . . . 439
10.2.2.1 National Platform on the City of the Future . . . 440
10.2.2.2 BMBF’s ‘Future Megacities’ programme . . . 441
10.2.2.3 Priority programme ‚Megacities‘ of the German Research Foundation . . . . 442
10.2.2.4 Urban real-world laboratories in Baden-Württemberg . . . 442
10.2.3 International research programmes . . . 443
10.2.3.1 EU programmes . . . 443
10.2.3.2 Future Earth . . . 444
10.2.4 German research institutions . . . 445
10.2.4.1 Helmholtz Association . . . 445
10.2.4.2 Fraunhofer-Gesellschaft. . . 446
10.2.4.3 Leibniz Association . . . 446
10.2.4.4 Federal Institute for Research on Building, Urban Affairs and Spatial Development . . . 447
10.2.4.5 German Institute of Urban Affairs . . . 447
10.2.4.6 Germany’s university research landscape . . . 448
10.2.5 International research landscape . . . 449
10.2.6 Evaluation of the existing institutional and programme landscape of urban transformation research in Germany . . . 449
10.3 Towards a new urban research agenda . . . .450
10.3.1 Five basic recommendations for reforming research on the urban transformation . . 450
10.3.2 The way forward: a roadmap for the direction of transformation-related urban research . . . 455
11 References . . . .457
12 Glossary . . . .509
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Box 1 Example cities . . . 13
Box 2.1-1 Development of informal settlements worldwide: status quo and forecasts . . . 45
Box 2.1-2 On the (changed) understanding of informality . . . 46
Box 2.1-3 Informal economies in slums and informal settlements . . . 49
Box 2.1-4 Smart cities: use of energy and resources . . . 51
Box 2.1-5 Smart cities: risks . . . 52
Box 2.1-6 Inequality in the global distribution of income and wealth . . . 53
Box 2.1-7 Increase in importance of the real-estate-investment market . . . 54
Box 2.3-1 Planetary guard rails on climate change and ocean acidification . . . 71
Box 2.3-2 Biodiversity and ecosystem services in cities . . . 72
Box 2.3-3 Planetary guard rails on biodiversity, ecosystem services, and land and soil degradation . . . 73
Box 2.3-4 Planetary guard rails on persistent anthropogenic pollutants . . . 74
Box 2.3-5 Planetary guard rail on the loss of phosphorus . . . 75
Box 2.3-6 Drought, internal displacement and urbanization in Syria . . . 84
Box 2.4-1 Definitions of quality of life . . . 86
Box 2.4-2 Noise as a stressor in urban spaces . . . 88
Box 2.4-3 Jan Gehl: ‘Cities for People’ . . . 91
Box 2.5-1 Governance in metropolitan regions . . . 103
Box 2.5-2 National and international sources of funding . . . 105
Box 2.5-3 Democratic public sphere in the urban space . . . 108
Box 2.5-4 Participatory budgeting . . . 109
Box 2.5-5 The Habitat conferences and UN-Habitat . . . 111
Box 2.5-6 Examples of important city networks . . . 112
Box 2.6-1 Reviewed Global Reports on Urbanization . . . 115
Box 3.4-1 Principles of the dimension of inclusion: human rights and capabilities . . . 138
Box 3.4-2 Inclusive growth . . . 139
Box 3.5-1 Right to the city . . . 143
Box 3.5-2 Indicators of urban quality of life and the connection to the normative dimension Eigenart . . . 145
Box 3.5-3 Understandings of social and technical innovations . . . 147
Box 4.3-1 Land grabbing by urban actors . . . 159
Box 4.3-2 Securing land rights in informal settlements . . . 160
Box 4.3-3 Corruption and money laundering on the land and real-estate markets . . . 162
Box 4.3-4 Land consumption in Germany: sustainability strategy, instruments and potential new control approaches . . . 164
Box 4.3-5 Examples of public-good-oriented urban-planning instruments in Brazil . . . 165
Box 4.3-6 Challenges in the provision of housing in Germany as a result of the current refugee movements . . . 167
Box 4.4-1 Emissions footprint of infrastructure building materials . . . 174
Box 4.4-2 System for avoiding emissions from building materials . . . 176
Boxes
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Box 4.5-1 Salutogenic understanding of health . . . 185
Box 4.5-2 Differences in health status between the urban and rural populations in developing countries and emerging economies . . . 191
Box 4.5-3 Utilize urban resources: promotion of health information and health-related behaviour . . . 195
Box 4.5-4 Fighting air pollution as an example of co-benefits . . . 198
Box 5.2-1 Climate change and flood risk in Mumbai . . . 208
Box 5.2-2 Strategies for slum rehabilitation in Mumbai . . . 211
Box 5.3-1 Vacancy levels in the (informal) real-estate sector in Cairo . . . 219
Box 5.3-2 Actors in waste disposal . . . 222
Box 5.3-3 Urban land use in Cairo’s informal settlements . . . 228
Box 5.4-1 Copenhagen: “The most gay-friendly place on the planet” . . . 239
Box 5.4-2 Copenhagen’s five-finger plan . . . 241
Box 5.4-3 Freetown Christiania – an experimental space . . . 241
Box 5.5-1 Hong Kong: history and stimuli of land-use policy . . . 246
Box 5.5-2 Minorities: foreign migrants and religious groups . . . 256
Box 5.6-1 Literature from the Ruhr area: a sign of social cohesion . . . 269
Box 5.6-2 Act to Strengthen the Ruhr Regional Association . . . 274
Box 5.7-1 Influence of mobile phones on small businesses . . . 284
Box 5.8-1 Current housing construction programmes in São Paulo . . . 293
Box 5.8-2 Principles and objectives of São Paulo’s Municipal Law on Climate Change . . . 296
Box 5.8-3 Action fields of São Paulo’s Strategic Master Plan . . . 300
Box 5.9-1 The Athens Charter . . . 302
Box 7.1-1 Three-level analysis: the example of Kigali . . . 337
Box 7.3-1 Climate risks for informal settlements and slums . . . 347
Box 8.2-1 Scenarios of the effectiveness of local governments . . . 360
Box 8.2-2 The WBGU’s polycentric approach . . . 362
Box 8.2-3 Smart cities: strengthening polycentric structures by means of digital technology . . . 368
Box 8.3-1 Smart cities: digital participation . . . 373
Box 8.4-1 2030 Agenda for sustainable development . . . 378
Box 10-1 Science in the context of the Great Transformation . . . 424
Box 10-2 Education for sustainable cities . . . 425
Box 10.1-1 Ideas from German urban research and practice . . . 427
Box 10.1-2 Research field: materials and material flows . . . 428
Box 10.1-3 Research field: urban form . . . 429
Box 10.1-4 Research field: ‘beyond dysfunctional capitalism’ . . . 429
Box 10.1-5 Research field: mobility and transport . . . 430
Box 10.1-6 Research field: urban quality of life . . . 430
Box 10.1-7 Research field: urban health . . . 431
Box 10.1-8 Research field: urban land use . . . 431
Box 10.1-9 Research field: urban life and urbanity . . . 432
Box 10.1-10 Research field: governance . . . 433
Box 10.1-11 Reflections on methods and contents of research for urban transformation . . . 434
Box 10.3-1 Good practice by the BMBF in the field of capacity development in other sectors . . . 455
XXI
Tables
Table 1 Urbanization surge up to 2050 – development risks of global change . . . 16 Table 2 Three key elements of a social contract for the urban transformation towards
sustainability. . . . 18 Table 3 Core recommendations for transformative action fields. . . . 22 Table 4 Core recommendations for transformative urban governance. . . . 25 Table 5 Core recommendations for financing the urban transformation . . . 27 Table 6 Research on the urban transformation: key issues of content, requirements and basic recommendations . . . 29 Table 7 Major risks of the global urbanization surge: superordinate objectives and problem-
solving measures with a large leverage effect. . . . 32 Table 2.3-1 Overview of different climate risks to urban needs. . . . 82 Table 2.5-1 Comparison of mayor/city council models. . . . 98 Table 2.5-2 Continuum of the distribution of powers between the nation state and the local level . 102 Table 2.5-3 Selection of widespread participation instruments . . . 110 Table 2.6-1 Global urbanization reports: field of climate–energy–resource efficiency. . . . 118 Table 2.6-2 Global urbanization reports: field of basic services–inclusion–socio-economic
disparities . . . 120 Table 2.6-3 Global urbanization reports: field of planning-finance . . . 123 Table 3.5-1 The normative qualities and the descriptive operationalization of Eigenart . . . 144 Table 3.5-2 Ideas for indicators and sub-indices for the investigation of Eigenart . . . 148 Table 4.4-1 Exemplary options for the prevention of emissions from building materials . . . 177 Table 4.4-2 Chemical reactions in the production of iron . . . 178 Table 5.4-1 Energy sources for the supply of district heating to Copenhagen in 2010 . . . 233 Table 5.6-1 Legal basis for different planning levels in North Rhine-Westphalia. . . . 273 Table 5.7-1 Kigali households' access to basic infrastructures . . . 280 Table 6.4-1 Selection of modular emergency shelters. . . . 320 Table 7.3-1 Conventional strategies and measures in dealing with informal settlements. . . . 344 Table 9.2-1 Three key elements of a social contract for the urban transformation towards
sustainability. . . . 390 Table 9.2-2 Prerequisites for the transformation capability of urban societies . . . 391 Table 9.3-1 Core recommendations for transformative action fields. . . . 396 Table 9.4-1 Core recommendations for transformative urban governance. . . . 410 Table 9.5-1 Core recommendations for financing the urban transformation . . . 415 Table 9.6-1 Major risks of the global urbanization surge: superordinate objectives and
problem-solving measures with a large leverage effect . . . 418 Table 10-1 Research on the urban transformation: key issues of content, requirements and
basic recommendations . . . 424 Table 10.2-1 Overview of research programmes and institutions examined in detail in
Section 10.2 . . . 436 Table 10.2-2 Criteria for the analysis of research funding . . . 437 Table 10.2-3 Overview of selected interesting institutions of transdisciplinary urbanization
research in an international context . . . 452
XXII
Figures
Figure 1 Schematic diagram showing dominant global settlement patterns . . . .5 Figure 2 Normative compass for the transformation towards sustainability . . . .9 Figure 1-1 Schematic diagram showing dominant global settlement patterns . . . 37 Figure 2.1-1 Urban population in the year 2014 . . . 42 Figure 2.1-2 Growth of the urban population (2002–2015): map of the world . . . 43 Figure 2.1-3 Photo: Urbanization, a megatrend. Jakarta, Indonesia . . . 43 Figure 2.1-4 Urban population and level of urbanization by region (1950–2050) . . . 44 Figure 2.1-5 Global urban population distribution by city-size class (1950, 1990 and 2030) . . . 44 Figure 2.1-6 Photo: Approx. 850 million people currently live in inadequate housing conditions;
informal settlement in Seelampur, Delhi, India . . . 45 Figure 2.1-7 Photo: Informal settlements of temporary migrants near the Yamuna river, Delhi,
India . . . 45 Figure 2.1-8 Photo: Cities as socio-cultural, religious and economic centres of attraction, Dhaka, Bangladesh . . . 47 Figure 2.1-9 Forms of informal employment and their effects on income and poverty . . . 49 Figure 2.1-10 Photo: Urban landscape, Phoenix, Arizona (2007) . . . 50 Figure 2.1-11 National income inequality and its changes (1990–2012) . . . 53 Figure 2.1-12 Transaction volume on the real-estate-investment market by region (2001–2012) . . . . 54 Figure 2.2-1 Photo: The old city of Sanaa has been a UNESCO World Heritage site since 1986 . . . . 64 Figure 2.3-1 Photo: The climate in Lima is dominated by drought; the city is almost completely
dependent on glacial water from the Andes. Lima, Peru . . . 66 Figure 2.3-2 Relationship between environmental problems, urbanization and development . . . 67 Figure 2.3-3 Photo: Dominant worldwide: car-oriented urban development; Riyadh, Saudi Arabia . 68 Figure 2.3-4 Urban metabolism: Paris . . . 69 Figure 2.3-5 High-rise construction in Doha, Qatar . . . 70 Figure 2.3-6 Human risk exposure to particulate matter pollution in 3,200 cities worldwide . . . 76 Figure 2.3-7 Photo: Air pollution caused by automobile traffic in Manila, Philippines . . . 77 Figure 2.3-8 Development of air pollution in three approx. equal-sized megacities . . . 77 Figure 2.3-9 Cities affected by water scarcity worldwide . . . 78 Figure 2.3-10 Photo: Informal waste collectors search the landfill site in Urali Devachi, India . . . 79 Figure 2.3-11 Worldwide distribution of municipal waste per person . . . 79 Figure 2.3-12 Hierarchy of waste-treatment options from the sustainability perspective . . . 81 Figure 2.4-1 Photo: Use of inner-city green spaces in Berlin . . . 89 Figure 2.4-2 Photo: Green swathe in the concrete jungle: Seoul, South Korea . . . 90 Figure 2.4-3 Photo: Designing a public space with tiles by artists from all over the world.
Rio de Janeiro, Brazil. . . . 91 Figure 2.4-4 Photo: Appropriation of public space by urban residents . . . 92 Figure 2.4-5 Photo: The city as a space for the economic activities of informal street traders in
Tbilisi, Georgia . . . 93 Figure 2.4-6 Photo: Breaking up the path dependencies of a car-oriented city. Portland, USA . . . 96 Figure 2.5-1 Different forms of urban governance . . . 101
XXIII Figure 2.5-3 Arnstein's ladder of participation . . . 108
Figure 2.7-1 Photo: Street art in Tehran, Iran . . . 126 Figure 3.1-1 The transformation’s temporal dynamics and action levels . . . 128 Figure 3.1-2 Newly installed electricity-generation capacity based on renewable energies . . . 129 Figure 3.2-1 Normative compass for the transformation towards sustainability . . . 133 Figure 3.5-1 Inclusion rights and principles of Eigenart as prerequisites of urban quality of life,
identity and diversity . . . 144 Figure 3.6-1 Dynamics among the three dimensions of the normative compass . . . 149 Figure 4.2-1 Urban mobility in upheaval . . . 155 Figure 4.3-1 The continuum of urban land rights . . . 160 Figure 4.4-1 The existing and future infrastructure's CO2 footprint . . . 175 Figure 4.4-2 Strategy to reduce Europe's dependence on phosphorus derived from phosphate rock . . . 180 Figure 4.5-1 Urban-health resources and burdens . . . 187 Figure 5.2-1 Population growth in Greater Mumbai and the Greater Mumbai Urban
Agglomeration . . . 203 Figure 5.2-2 Photo: Inner-city disparities in Mumbai in a confined space: slum settlement in
front of high-rise buildings in old industrial areas, 2010 . . . 203 Figure 5.2-3 Land use in Greater Mumbai . . . 205 Figure 5.2-4 Impact of rising sea levels on Mumbai in the event of a 4 °C increase and
2 °C increase in temperature . . . 206 Figure 5.2-5 Photo: Informal settlements in Mumbai . . . 208 Figure 5.2-6 Photo: Open urban spaces in Mumbai are rare . . . 209 Figure 5.3-1 Settlement regions in Greater Cairo . . . . 216 Figure 5.3-2 Population growth in the different settlement types in Cairo . . . 217 Figure 5.3-3 Advertising poster at the ‘Capital Cairo’ investors’ conference in Sharm El Sheikh,
2015 . . . 217 Figure 5.3-4 Photo: Informal settlement on agricultural land in Greater Cairo . . . 218 Figure 5.3-5 Photo: Informal settlement (unsafe area) on escarpment edge in Cairo . . . . 219 Figure 5.3-6 Photo: Tahrir Square, November 2012 . . . 225 Figure 5.3-7 Photo: Social life in public space: Istabl Antar informal settlement in Cairo . . . 225 Figure 5.4-1 Photo: Vibrant outside space near the Danish Royal Library in Copenhagen . . . 230 Figure 5.4-2 Transformation process in Copenhagen . . . 231 Figure 5.4-3 Sustaining natural life-support systems in Copenhagen . . . .232 Figure 5.4-4 Copenhagen in the context of urban, (supra)national and global governance . . . 236 Figure 5.4-5 Principal sources of local government revenue in the Capital Region Copenhagen
in 2007. . . . 237 Figure 5.4-6 Photo: A culture of diversity and tolerance: Christopher Street Day (CSD) in
Copenhagen. . . . 240 Figure 5.4-7 Schematic representation of Copenhagen’s finger plan . . . 241 Figure 5.4-8 Photo: Designed on a human scale: the Superkilen park in Copenhagen's Nørrebro district . . . 242 Figure 5.5-1 Guangzhou’s location in Guangdong Province . . . . 245 Figure 5.5-2 Phases of urban growth in Guangzhou . . . 248 Figure 5.5-3 Photo: Urban growth in Guangzhou’s agricultural hinterland . . . 249 Figure 5.5-4 Morphogenesis of power and influence within the stakeholder network in
Guangzhou’s healthcare sector (1979–2009). . . . 250 Figure 5.5-5 Photo: Large-scale residential projects in Guangzhou . . . 251 Figure 5.5-6 Surface area of parks, green and garden areas in Guangzhou . . . 253 Figure 5.5-7 Energy consumption in Guangzhou, 1990–2005 . . . 253 Figure 5.5-8 Sources of energy supply in Guangzhou . . . 254 Figure 5.5-9 Photo: Beijing Road in Guanghzou. . . . 256
XXIV
Figure 5.6-1 Population densities in the Ruhr area compared to other metropolitan regions . . . 258 Figure 5.6-2 Ruhr Regional Association . . . 259 Figure 5.6-3 Structure of employment in transition, by sector . . . 260 Figure 5.6-4 Photo: The ‘U-Tower’ in Dortmund. The former Union brewery has been converted
into a creative centre – and become an emblem of the city . . . 262 Figure 5.6-5 Line of cities across the Ruhr area (formerly the Westphalian Hellweg route). . . . 263 Figure 5.6-6 Foreign residents in the Ruhr Metropolis, by nationality, 2014 . . . 266 Figure 5.6-7 Photo: Duisburg North Landscape Park . . . 267 Figure 5.6-8 Photo: Bringing public spaces back to life . . . 267 Figure 5.6-9 Average annual change in subsidized rental accommodation (2009–2012) . . . 271 Figure 5.6-10 Municipalities in the Ruhr area. . . 274 Figure 5.7-1 Population growth in Kigali (1960–2010). . . . 278 Figure 5.7-2 Kigali's spatial expansion. . . . 279 Figure 5.7-3 Photo: Urban sprawl in Kigali . . . 279 Figure 5.7-4 Local public transport in Rwanda by means of transport . . . 281 Figure 5.7-5 Pollution with fine particulate matter in Kigali . . . 282 Figure 5.7-6 Temperature trend in Kigali (1971–2008). . . . 282 Figure 5.7-7 Photo: Inclusive preparation of the master plan for Kigali . . . 283 Figure 5.7-8 Photo: Solar cell-phone recharging kiosk in Kigali . . . 284 Figure 5.7-9 Urban transformation towards sustainability: framework conditions in Kigali . . . 285 Figure 5.8-1 São Paulo – mega-urban area: functional-spatial differentiation in the
Macrometrópole Paulista . . . 287 Figure 5.8-2 São Paulo: functional-spatial and socio-spatial differentiations in the core city . . . 288 Figure 5.8-3 Photo: ‘Virada Esportiva’ recreational sports event to enliven public space in the
centre of São Paulo . . . 290 Figure 5.8-4 Photo: Favela paraisópolis and apartment tower blocks in the luxury residential
district of Morumbi, São Paulo. . . . 291 Figure 5.8-5 Photo: Transport mix in São Paulo: helicopters, cars, buses and other means of
transport . . . 299 Figure 5.9-1 Photo: Public space in Novi Beograd . . . . 303 Figure 5.9-2 Photo: Residential blocks and public facilities in Novi Beograd . . . 303 Figure 6.3-1 Photo: Floating school in Makoko, Lagos, Nigeria. . . 315 Figure 6.4-1 Prinzessinnengarten in the Kreuzberg district of Berlin: raised beds made of
bakery boxes . . . 319 Figure 6.4-2 Photo: Building for refugees and migrants . . . 321 Figure 7.1-1 Basic structure of the three-level analysis: global settlement patterns (forms),
their drivers (forces) and the WBGU's normative compass (values). . . . 336 Figure 7.1-2 Possible interactions within the three-level analysis . . . 336 Figure 7.1-3 Three-level analysis: the example of Kigali . . . 337 Figure 7.1-4 Feedback effects: the example of Kigali . . . 337 Figure 7.3-1 Migration to the urban periphery . . . 346 Figure 7.4-1 Decoupling of gross value added from carbon emissions in three cities . . . 353 Figure 8.5-1 Elements of a polycentric responsibility architecture . . . 385 Figure 10-1 Typification of transformation research and education . . . 425
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Acronyms and Abbreviations
AA Auswärtiges Amt
German Federal Foreign Office
ABSD Additional Buyers Stamp Duty (Indonesia) ACHR Asian Coalition of Housing Rights
ADHS Attention Deficit and Hyperactivity Syndrome
AF Adaptation Fund (UNFCCC)
AHIP Affordable Housing in Partnership (India) ALM Advanced Locality Management (India) APP Áreas de Preservaçao Permanente (Brazil)
Statutory protection areas
ARED African Renewable Energy Distributor (Rwanda) ARL Akademie für Raumforschung und Landesplanung
Academy for Spatial Research and Planning BauGB Baugesetzbuch
German Federal Building Code
BBSR Bundesinstitut für Bau-, Stadt- und Raumforschung (BMUB)
Federal Institute for Research on Building, Urban Affairs and Spatial Development BCHC Big Cities Health Coalition (USA)
BImSchG Bundes-Immissionsschutzgesetz Federal Pollution Control Act
BMBF Bundesministerium für Bildung und Forschung German Federal Ministry of Education and Research
BMUB Bundesministerium für Umwelt, Naturschutz, Bau und Reaktorsicherheit German Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety
BMVI Bundesministerium für Verkehr und digitale Infrastruktur German Federal Ministry of Transport and Digital Infrastructure
BMZ Bundesministerium für wirtschaftliche Zusammenarbeit und Entwicklung German Federal Ministry for Economic Co op er a tion and De vel op ment BNH Banco Nacional de Habitaçao (Brazil)
National State Housing Bank Bo2W Best of 2 Worlds Projekt (UBA)
BSUP Basic Services to the Urban Poor (India) CBD Convention on Biological Diversity CBH Comites de Bacias Hidrográficas (Brazil)
River Basin Commissions
CBM Community-Based Management CBOs Community-Based Organizations
cCCR carbonn Cities Climate Registry (UN DESA) CCS Carbon Dioxide Capture and Storage CDBC China Development Bank Capital CFRP Carbon fiber-reinforced polymer
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CH4 Methane (main component of natural gas)
CLIFF Community Led Infrastructure Finance Facility (Homeless International) CLIP European Network Cities for Local Integration Policy
COHAB-SP Companhia Metropolitana de Habitaçao de São Paulo The Metropolitan Housing Company
COP Conference of the Parties
CO2 Carbon dioxide
CPI City Prosperity Initiative (UN-Habitat)
CPI Corruption Perceptions Index (Transparency International)
C40 Cities Climate Leadership Group (Network of the World’s Megacities) DAAD Deutscher Akademischer Austauschdienst
German Academic Exchange Service
DAC Development Assistance Committee (OECD) DALYs Disability Adjusted Life Years
DDT Dichlordiphenyltrichlorethan (insecticide) DFG Deutsche Forschungsgemeinschaft
German Research Foundation
DFID Department for International Development (UK) Difu Deutsches Institut für Urbanistik
German Institute for Urban Studies DWZ Deutsches Wissenschaftszentrum Kairo
German Science Centre Cairo
EASAC European Academies Science Advisory Council eG Eingetragene Genossenschaft
Registered cooperative
EMPLASA Empresa Paulista de Planejamento Metropolitano São Paulo EMR Extended Metropolitan Regions (Indonesia)
EnWG Energiewirtschaftsgesetz German Energy Act
ESPON European Spatial Planning Observation Network ESSP Earth Science System Partnership
EU European Union
EIP European Innovation Partnership on Smart Cities and Communities (EU) FAO Food and Agriculture Organization of the United Nations
FCP Fundaçao da Casa Popular (Brazil) FernstrG Bundesfernstraßengesetz
Federal Highway Act (Germany)
FONA Rahmenprogramm Forschung für nachhaltige Entwicklung (BMBF) Framework Programme ‘Research for Sustainable Development’
F&E Forschung und Entwicklung Research and Development
FUNDURB Portal da Prefeitura da Cidade de São Paulo
GaWC Globalization and World Cities Research Network (UK) GbR Gesellschaft bürgerlichen Rechts
Civil law company
GCF Green Climate Fund (UNFCCC) GDD Guangzhou Development Zone (China) GDP Gross domestic product
GDPUD General Department for Planning and Urban Development (Egypt) GEF Global Environment Facility (UNDP, UNEP, World Bank)
GHG Greenhouse gas
GIZ Gesellschaft für Internationale Zusammenarbeit German Society for International Cooperation GMP Architects Gerkan, Marg and Partner
XXVII GMUA Greater Mumbai Urban Agglomeration
GOOS Global Ocean Observing System (IOC)
GOPP General Organisation for Physical Planning (Egypt)
GPC Global Protocol on Community-Scale GHG Emissions (ICLEI, WRI, C40, World Bank, UNEP, UN-Habitat)
GPHPE Global Programme on Health Promotion Effectiveness (WHO) GPRS Green Pyramid Rating System (Egypt)
Gt Gigatonnes (109 t)
G20 Group of the 20 most important industrialized countries and emerging economies
HDI Human Development Index
Hg Mercury (Hydrargyrum)
HIC High Income Countries (World Bank)
HIC Habitat International Coalition (Global Network for the Right to Habitat and Social Justice) HIV Human Immunodeficiency Virus
HOK Hellmuth, Obata + Kassabaum Design, Architecture and Urban Planning (USA) HPR Home Purchase Restrictions
IAEO International Atomic Energy Agency (IAEA) IBA Internationale Bauausstellung
International Architectural Exhibition
ICLEI International Council for Local Environmental Initiatives ICSU International Council for Science
ICT Information and Communication Technologies Framework Programme (EU) IEA International Energy Agency (OECD)
IFC International Finance Corporation (World Bank)
IHDP International Human Dimensions Programme on Global Environmental Change (ICSU, ISSC)
IHSDP Integrated Housing and Slum Development Scheme (India) IIPS International Institute for Population Sciences (India) ILCS Integrated Low Cost Sanitation Scheme (India) ILO International Labour Organization (UN)
ILS Institut für Landes- und Stadtentwicklungsforschung Dortmund Research Institute for Regional and Urban Development
INPE Instituto Nacional de Pesquisas Espaciais (Brazil)
IOC Intergovernmental Oceanographic Commission (UNESCO)
IPBES Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (UNEP, UNESCO, FAO und UNDP)
IPCC Intergovernmental Panel on Climate Change (WMO, UNEP)
iPAT Institut für Partikeltechnik der Technischen Universität Braunschweig Institute for Particle Technology at the University Braunschweig
IPTU Imposto Predial e Territorial Urbano (Brazil) Progressive Property Tax
IRS Institut für Regionalentwicklung und Strukturplanung Erkner Leibniz Institute for Research on Society and Space
ISDF Informal Settlements Development Facility (Egypt)
ISHUP Interest Subsidy Scheme for Housing the Urban Poor (India) ISI Institute for Scientific Information (Thomson Reuters) ISSC International Social Science Council
ITES Information Technology Enabled Services ITPS Intergovernmental Technical Panel on Soils (FAO) IUHPE International Union for Health Promotion and Education
JCEE Egyptian German High Level Joint Committee for Renewable Energy, Energy Efficiency and Environmental Protection
JICA Japan International Cooperation Agency
JNNURM Jawaharlal Nehru National Urban Renewal Mission (India)
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JPI Joint Programming Initiatives (EU)
KCAP Kees Christiaanse Architects and Planners (Netherlands) KVR Kommunalverband Ruhrgebiet
Ruhr region cities
LAC Latin America and Caribbean
LDCF Least Developed Countries Fund (GEF) LED Light-emitting diode
LEED Leadership in Energy and Environmental Design (U.S. Green Building Council) LIC Low Income Countries (World Bank)
LMIC Low and Middle-Income Countries (WHO, World Bank) LPAA Lima-Paris Action Agenda (UNFCCC)
LPCs Local Popular Councils (Egypt) LPIG Landesplanungsgesetz
State Planning Act
LSE London School of Economics and Political Science MCGM Municipal Corporation of Greater Mumbai MCMV Minha Casa Minha Vida (Brazil)
Programme for Social Housing MDGs Millennium Development Goals (UN) MENA Middle East and North Africa
MHUUC Ministry of Housing, Utilities and Urban Development (Egypt) MIGA Multilateral Investment Agency (World Bank)
MINECOFIN Ministry of Finance and Economic Planning (Rwanda) MLD Million liter per day
MMP Macrometrópole Paulista São Paulo
MNRU Movimento Nacional da Reforma Urbana (Brazil) M-PESA M for Mobile, Pesa is Swahili for Money (Vodafone) MSEA Ministry of State for Environmental Affairs (Egypt)
MURIS Ministry of Urban Renewal and Informal Settlements (Egypt)
MW Megawatts (106 W)
NABEG Netzausbaubeschleunigungsgesetz Expansion of the grid in Germany
NAPA National Adaptation Programmes of Action (UNFCCC) NFHS National Family Health Survey (IIPS)
NGO Non-Governmental Organization
NOX Nitrogen oxide
NPZ Nationale Plattform Zukunftsstadt (BMBF) National Platform for the City of the Future NRW North Rhine-Westphalia
NSCCLCD National Strategy for Climate Change and Low Carbon Development (Rwanda) NSDF National Slum Dwellers Federation (Indien)
N2O Nitrous oxide, laughing gas
ODA Official Development Assistance (OECD)
O3 Ozone
OECD Organisation for Economic Co-operation and Development OUCs Operações Urbanas Consorciadas (Brazil)
Special Areas of Urban Renewal PDE Plano Diretor Estratégico (Brazil)
Strategic Master Plan
PLANASA Plano Nacional de Saneamento (Brazil) National Sanitation Plan
PM Particulate Matter
PM10 Particulate Matter with a particle diameter less than 10 µm PM2,5 Particulate Matter with a particle diameter less than 2,5 µm
