Upstream Planning For
Sustainable Infrastructure Projects
Urban 20 White Paper
An Inter-American Development Bank (IDB) White Paper for the Urban 20 (U20)

Authored by:About Urban 20•

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Upstream Planning For Sustainable Infrastructure
Projects is a White Paper prepared by IDB as a voluntary
contribution to enrich the discussions of the Urban 20
process. Buenos Aires, Argentina.

About the Authors
Cristina Contreras Casado, B.Arch, MLA.
Research Associate at Harvard University – Zofnass Program for
Sustainable Infrastructure at the Graduate School of Design (GSD)
Ms. Contreras’ work is focused on developing and applying
indicators to quantify sustainability in large-scale infrastructure
projects and urban areas. Her work has been presented innumerous national and international conferences and she has
contributed to several published books. Ms. Contreras received
her bachelor’s degree in Technical Architecture from Universidad
Politecnica de Madrid and a Master´s degree in Sustainability andEnvironmental Management from Harvard University.
Mariana C. Silva Zuniga, BBA, MIBF
Sustainable Infrastructure Planning & Finance specialist
Consultant at IDB
Ms. Silva Zuniga has ample experience in the planning andfinancing of sustainable infrastructure, with emphasis in project
finance, investment due diligence and Public Private Partnerships(PPPs). She has advised several governments on policies in amanner that provides for economic growth, social justice andstewardship of the natural environment. Ms. Silva holds a master’s
Degree (Hons) in International Banking and Finance from Hong
Kong Lingnan University.

The IDB is the main source of multilateral financing in Latin
America. It provides solutions to development challenges andsupport in the key areas of the region. We work to improve lives in
Latin America and the Caribbean. Through financial and technicalsupport for countries working to reduce poverty and inequality, we
help improve health and education, and advance infrastructure.
The Bank’s current focus areas include three development
challenges – social inclusion and inequality, productivity andinnovation, and economic integration – and three cross-cutting issues– gender equality and diversity, climate change and environmental
sustainability; and institutional capacity and the rule of law.

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Contents
Executive summary..................................................................................................................................... 5
Glossary......................................................................................................................................................... 6
1. Introduction............................................................................................................................................... 7
1.1 Why urban sustainable infrastructure?................................................................................... 7
1.2 The urban planning process................................................................................................... 8
2. Analysis.................................................................................................................................................... 10
2.1 The urban challenge............................................................................................................... 10
2.2 Sustainability considerations at the Upstream planning stage...................................... 122.2.1 Building institutional sustainability and cost-effective infrastructure.............. 122.2.2 Creating a more socially sustainable and inclusive infrastructure................ 14
2.2.3 Creating a more socially sustainable and inclusive infrastructure................ 16
2.3 Factoring innovation into the sustainable infrastructure planning process..................... 18
Recommendations.................................................................................................................................... 19
Bibliography............................................................................................................................................... 22
Acknowledgments................................................................................................................................... 26

The views, opinions, positions and recommendations expressedin this White Paper are solely those of the individuals and theirorganisations. They do not necessarily reflect those of Urban 20
or any of its chairs, conveners, partners and participating cities.

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Executive summary
Upstream planning and institutional strengthening are central to ensuring a sound pipeline ofinfrastructure projects that are well-conceived and well-orchestrated. However, significant
challenges exist, such as insufficient technical expertise, lack of reliable political frameworks, thesilo mentality, and lack of funding capacity at the city scale. These challenges, among others,
are preventing the integration of sustainability practices throughout the early phases of theinfrastructure planning.
The interconnected and dynamic nature of cities, the frequent discrepancies between local,
sub-national, and national requirements, in addition to cross-sectoral partnerships, add
complexity to this already complex planning process. As a result, in order to ensure theintegration of sustainability goals at the upstream planning stage, three strategic areas havebeen defined: (i) institutional sustainability and cost-effective infrastructure, (ii) social sustainability
and inclusive infrastructure, and (iii) environmentally sustainable and climate resilient
infrastructure; In line with the IDB framework to guide sustainability across the Project Cycle. 1
The Institutional sustainability and cost-effective infrastructure strategic area aims to enhance
multi-level government cooperation, to promote long-term territorial planning, and to enhancecapacity-building as essential components for promoting infrastructure sustainability in a
cost-effective manner. The social sustainability and inclusive infrastructure strategic area seeks
to enhance social integration, leverage cultural contributions, and to minimize urban
displacement. Additional consideration is given to ancillary goals such as providing affordable
services, creating healthy and safe environments, and leveraging urban areas to boost
productivity and development. Many of these matters have become more relevant in the last
few years as cities have been recognized as amplifiers of positive and negative externalities. The
third and last strategic area, environmentally sustainable and climate resilient infrastructure,includes goals related to further development of sustainable and renewable energy sources,
urban resilience, mitigation of climate change, protection of the natural environment, andpromotion of public transportation.
The use of interactive solutions, digital technology, and data-driven decision making areexpected to play an increasing role in the planning process of infrastructure projects while cities
seek potential solutions to these widely known challenges. To achieve the previously mentioned
goals and challenges, several high-level policy recommendations and context-based solutions
have been identified.

1

The IDB Sustainable Infrastructure framework forms the basis of the IDB Group working definition ofsustainable infrastructure as “infrastructure projects that are planned, designed, constructed, operated,and decommissioned in a manner to ensure economic and financial, social, environmental (including
climate resilience), and institutional sustainability over the entire life cycle of the project”.

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Glossary
Building Information Modeling (BIM):•

BIM is an intelligent 3D model-based processthat gives architecture, engineering, andconstruction (AEC) professionals the insightand tools to more efficiently plan, design,
construct, and manage buildings andinfrastructure (Autodesk).

National Planning

Territorial Planning for the whole territory of theState (UNESCO).

Nationally(NDCs)

Determined

Contributions

NDCs are at the heart of the Paris Agreement
and the achievement of these long-term goals.
NDCs embody efforts by each country to
reduce national emissions and adapt to theimpacts of climate change (UNFCCC).

determines requirements of development ofland and other exploitation (UNESCO).

Urban Areas

An urban area is the region surrounding a city.
Most inhabitants of urban areas have
nonagricultural jobs. Urban areas are very
developed, meaning there is a density ofhuman structures such as houses, commercial
buildings, roads, bridges, and railways. "Urbanarea" can refer to towns, cities, and suburbs.
(National Geographic).

Urban Resilience

The capacity of individuals, communities,
institutions, businesses, and systems within acity to survive, adapt, and grow no matter whatkinds of chronic stresses and acute shocks
they experience (100 Resilient Cities).

Natural Capital

Natural capital can be defined as the world's
stocks of natural assets which include
geology, soil, air, water and all living things. It isfrom this natural capital that humans derive awide range of services, often called ecosystemservices, which make human life possible(World Forum on Natural Capital).

Regional Planning

Territorial Planning for a part of a nationallysignificant territory of the State (UNESCO).

Sustainable Development Goals (SDGs)

The Sustainable Development Goals (SDGs),
otherwise known as the Global Goals, are auniversal call to action to end poverty, protect
the planet and ensure that all people enjoy
peace and prosperity (UNDP).

Sustainable Infrastructure

Sustainableinfrastructurereferstoinfrastructure projects that are planned,
designed,
constructed,
operated,anddecommissioned in a manner to ensure
economic and financial, social, environmental(including climate resilience), and institutionalsustainability over the entire life cycle of the
project.

Territorial planning

Project created for a defined territory, whichaccording to the Program of Social andEconomic Development and regularities ofdevelopment of society and environment,
forecasts exploitation of a territory and

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1. Introduction
1.1 Why urban sustainable infrastructure?
Throughout the last decades, cities have been referred to as the drivers of economic growthand productivity worldwide. As a result, promoting urbanization while bolstering infrastructure
and urban planning has the potential to provide for critical development in many areas of the
globe (UN Habitat, 2011). Investing in sustainable infrastructure is crucial to achieving threefundamental challenges facing society, all of which require adequate upstream planning. These
are: promotion of economic growth, meeting the targets of the Sustainable Development Goals(SDGs), and preparation for, and mitigation of, natural disasters. (New Climate Economy, 2016).
Solving these challenges will require a substantial increase in investment in infrastructure,
estimated to be US$90 trillion over the next 15 years (New Climate Economy, 2016).
According to the latest United Nations estimates, currently 55% of the world’s population lives inurban areas, a proportion that is expected to increase to 68% by 2050 (United Nations, 2018). The
urban populations of the world have been growing at a rapid pace, exemplified by 82% of North
Americans living in urban areas in 2018, and 81% in Latin America and the Caribbean. The levelof urbanization in Asia is now estimated at 50% and has been steadily increasing throughout thelast few years (United Nations, 2018). This growth is forcing cities to face unprecedented
economic, demographic, fiscal, and environmental challenges which prompt a need formodern, efficient, and reliable infrastructure (Puentes, 2015). Cities may provide an ideal setting
for sustainability-oriented innovation; however, if growth and development are not carried out
correctly, cities have the potential to become a focus for inequality, lack of access to basic
services, and the exploitation of limited resources. For this reason, it is important to consider that
if the current trajectory does not change, cities could soon become the largest concentration ofunsustainable and inequitable human activities across the globe (Allen et al., 2015).

Figure 1. World Urbanization Prospects: The 2018 Revision

Source: 2018 United Nations, DESA, Population Division.

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Source: BID Ciudades Sostenibles

The inevitable need for new infrastructure to support rapid population growth represents a hugechallenge, yet it also provides a unique opportunity for the creation of sustainable solutions.
Sustainable development relies on the effective management of rapid urban evolution. This isespecially true in countries with middle to low income economies, where the pace ofurbanization is expected to be accelerated and aspects such as “planned densification”, accessto services, and low-carbon and multimodal transportation systems play a much greater role.
The incorporation of sustainability requirements into policy, legislation, regulation, andorganizations will create opportunities to develop infrastructure assets that:
improve the quality of life of urban residents,
are inclusive,
identify and manage any potential social or environmental impacts,
take the impacts of climate change into consideration while incorporating resiliencestrategies, andhave adequate long-term management systems in place that can prevail throughout the
project's lifecycle.
From this perspective, it is the responsibility of planners, government leaders, and society tounderstand and accept this need so that sustainability becomes the only way to think, design,and operate infrastructure in order to ensure the habitability and long-term growth of a city.

1.2 The urban planning process
Improved sustainability outcomes along with more timely decision-making in terms ofinfrastructure planning processes is a goal in our current society. It is widely understood thatsustainability and quality project outcomes are, and should be, considered synonymous. The
greatest opportunities and ability to influence sustainability outcomes are at their highest levels
during the early stages of the planning process, but this potential decreases as the projectprogresses from the planning and design stage to that of construction and operation.
The importance of integrated planning for infrastructure projects has long been acknowledged,
however, it is important to recognize that the structure and planning, vital to infrastructure
production, requires a high degree of sophistication. The long-term lock-in effects ofinfrastructure, and the need to deliver on high-level global agreements such as the Sustainable
Development Goals (SDGs), should be a key consideration when defining an upstream planning
strategy. This strategy should help define programs and projects that address key questions,such as:Why is this project of merit?
How does this project contribute to achieving other high-level goals?

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What will provide the revenue stream throughout the lifecycle of the project?
Is this project affordable in the long-term?
What alternatives have been considered?
Numerous groups such as the OECD, the World Economic Forum and initiatives like the Global
Infrastructure Connectivity Alliance (GICA) hosted by the World Bank have highlighted theimportance of “multi-sectoral and multi-dimensional planning strategies”. As a result, the Global
Infrastructure Connectivity Alliance (GICA) recently published their Vision to Program to Projects
framework, also referred to as V2P2P. This framework aims to identify the different phases andsome of the existing tools to be used during the upstream level of an infrastructure project.
These phases are: (i) Infrastructure Planning, (ii) Enabling Policy Environment, (iii) Project
Prioritization and Screening, (iv) Project Transaction Support, and (v) Project Implementation andSupervision (Figure 2).

Figure 2. The five-phase Vision to Program to Projects (V2P2P) Framework
1. Infrastructure 2. Enabling Policy
3. Project
Planning
Environment
Priorization andScreening

4. ProjectTransaction
Support5. Project
Implementationand Supervision

Analytical Instruments
Financial Instruments
Source: Global Infrastructure Connectivity Alliance (GICA)

Infrastructure Planning: Strategic planning should start with identifying the need forinfrastructure, followed by defining the long-term vision of the area of influence. This phaseshould integrate sustainability principles and develop a sector master plan in which thedifferences between sectors are taken into consideration, as are the synergies among them.
Enabling Policy Environment: Improvement to the investment environment, regulatory
frameworks, and governance is central to attracting capital for sustainable infrastructure.
Several tools such as the Country Readiness Diagnostics (World Bank, 2016), which measuresthe country's “readiness” to implement PPPs or the Development Policy Financing (DPF) (World
Bank, 2015) which “provides rapidly-disbursing financing to help a borrower address thefinancing requirements and promote policy reform” are some of the tools that can assist in
identifying a more positive policy environment (GICA, 2018).
Project prioritization and Screening: This phase allows the government to select the most vitalprojects when multiple technical and economically feasible projects exist. Rigorous projectprioritization will ensure that the funds are used on the most strategic projects, thereby creating
the highest socio-economic impact. The planning process should also take into consideration
the risks and uncertainties inherent in project selection, future uses of assets, as well as thepotential positive and negative externalities generated by the selection.

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Project Transaction Support: Applied at the project level, this phase assesses the different
sustainability requirements, technical or otherwise, that would ensure a successful project
outcome. Adequate management of the infrastructure assets is necessary to elicit funding
and/or financing, and to guarantee long-term affordability of the project (GICA,2018). The UK
sustainable Infrastructure Program – administrated by IADB – is an example of a uniqueintegrated approach to include sustainability elements at the project structuring phase stage,by combining technical cooperation, blended finance investments, and investment grants to aid
throughout the project transaction and address barriers to investment for sustainableinfrastructure in a systematic manner.
Project Implementation and supervision: This phase will require the incorporation ofsustainability related performance indicators and management plans which would allow for themonitoring, management and supervision of a project consolidation. Specific tools andstandards have been created in recent years to help anchor the quantification of the project's
success in clearly defined objectives. These objectives can be financial, social, environmental, etc.

2. Analysis
2.1 The urban challenge
Cities are a large web of complex and interconnected systems. The connections and overlaps
between these systems need to be understood to take full advantage of their synergies and to
improve upon their efficiency (Figure 3).

Figure 3. Planning sustainable cities: An infrastructure-based approach (2016)
Guidelines that assit the system (FROM)

Guidelines that assit other systems (TO)

Source: Pollalis, S. The Zofnass Program for Sustainable Infrastructure

Sustainable infrastructure is vital to the creation of sustainable cities, and integrated planning isvital to the creation of sustainable infrastructure. However, significant challenges exist for theincorporation of sustainable practices in the early phase. The most relevant obstacles are (i) lackof technical expertise, (ii) lack of reliable political frameworks and standardized solutions, (iii) thesilo mentality and, (iv) lack of funding capacity.
(i) Lack of technical expertise. Medium sized cities (from 100,000 to 500,000) are experiencing

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the fastest rates of growth around the world (United Nations, 2016). However, these areas often
lack the technical and political expertise to ensure effective sustainable infrastructure planning.
This lack of capacity generates bottle-necks during project delivery, establishing a“business-as-usual” alternative, thereby limiting the capacity to incorporate sustainable
practices during the upstream phase.
(ii) Lack of reliable political frameworks and standardized solutions. The creation of awell-developed urban context requires frameworks that ensure an orderly planning process aswell as the possibility to replicate solutions in a consistent manner. The divergence among local,
sub-national, and national requirements and the lack of standardized solutions creates systemic
inefficiencies and adds unnecessary complexity to the incorporation of sustainability
applications.
(iii) The silo mentality. Considering the interconnected nature of cities, a cross-sectoral
approach is central to delivering on the common urban agenda. Recognizing obstacles which
prevent institutions from connecting, as well as establishing special incentives for collaboration,and identifying third-party intermediaries, are some of the strategies that can help to break downthese silos (Roth, R., 2015). Research shows that some of the main obstacles preventing
cooperation include ambiguity of roles, fear of conflict, blurry geographic boundaries, andleadership struggles, amongst others (Froy & Giguère, 2010).
(iv) Lack of funding capacity. Key decisions regarding sustainable infrastructure will bemade at the local level. However, lack of creditworthiness in addition to limited financial
resources generates a significant bottleneck in the development of well-executed infrastructure
projects. As a result, new financing mechanisms are needed to mobilize resources for the
project’s preparation phase, thereby ensuring the design of the most desirable alternative.

Source: BID Ciudades Sostenibles

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2.2 Sustainability considerations at the upstream planning stage
The definition of sustainability goals is oftentimes framed around the integration of triple bottom
line targets (social, environmental, and economic) within the project lifecycle. However, as
previously mentioned, the integration of policy and institutional guidelines is key to ensuring
compliance with the law and maintaining alignment with more ambitious strategic goals and along-term vision. The core sustainability considerations to be integrated during the early phaseof an infrastructure asset are divided into three main groups (i) building institutional sustainability
and cost-effective infrastructure, (ii) creating more socially sustainable and inclusive
infrastructure, and (iii) environmentally sustainable and climate resilient infrastructure.
2.2.1 Building institutional sustainability and cost-effective infrastructure:“It would be disastrous if bad planning policy
meant that today's new developments become
tomorrow's climate slums”.
Tim Yeo MP, chairman of the House of Commons
Environmental Audit Commission, 2007

In each of the numerous infrastructure systems, different players operate over broad spatial
scales including those existing at local, regional, national, and international levels. Added tothese complexities, every actor is driven by distinct interests and constraints, resulting in a very
complex task for those trying to optimize each system to provide economically efficient, spatiallyequitable and environmentally sustainable outcomes (Oughton and Tyler, 2013).
Municipalities have an extensive scope of functions, primarily regarding the conformity andenforcement of national policies, that encompasses planning management, comprising proper
allocation of licenses and permits, and the delivery of proper public services. Rigid policies andoverregulation are, amongst others, facets which inhibit the integration of sustainability practices
within local governments and prevent the establishment of common objectives between
different levels of governance (OECD, 2010). Ambiguity exists among the different levels ofgovernment. While policymakers at a national level consider pushing the boundaries of legal
and management frameworks to be appropriate, local level officials on the other hand areapprehensive about breaking rules to implement non-streamlined practices (Froy & Giguère,2010). As such, flexibility in the management of government policies has been identified by someas one of the key requirements for policy integration at the local level. This flexibility may include
the capacity to influence the design of policies and programs, the power to decide how
budgets are allocated, the facility to negotiate and define performance targets, and the ability todesignate frameworks to be applied during the process (Froy & Giguère, 2010). This flexibility will
also allow for the integration of sustainability goals as part of the infrastructure design and will
ensure coherence between sectoral policy targets.
To attain systemic change, a holistic approach to infrastructure planning should be achieved.
Nowadays, however, projects are optimized on a project by project basis, and insufficientattention is given to the analysis of the synergies between two or more infrastructure projects.
Because infrastructure projects tend to have an impact beyond that of the distinct sub-sector
for which they are designed, it is vital to identify, analyze, and plan urban infrastructure with asystems approach, thus integrating the different governance structures of all of the numerous
infrastructure sectors and sub-sectors. This will allow for the maximization of positive impacts ofmulti-sector projects from the early planning stages.

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Integration of innovative solutions and different procurement methods along with obtainment of
new skills will require increased levels of institutional capacity. This is recognized by the SDG 17:
Strengthen the means of implementation and revitalize the global partnership for sustainable
development, and is specifically acknowledged by its target, 17.9 in regard to capacity-building.
Effective-targeted capacity-building is necessary to support the implementation of sustainable
development (also applicable to infrastructure sustainability).
Early phase policy frameworks should ensure the most cost-effective allocation of resources toachieve sustainability outcomes. Therefore, project profitability, service affordability, andmaintenance cost should be considered from the early phase of the project while accounting
for positive and negative externalities. Each of these considerations should be grounded in along-term vision of the urban area to be defined, as exemplified in the case below (Box 1).

Box 1: Long-term institutional sustainability.
The case of Singapore
Sustainability has always been important to Singapore’s urban planning. In the
1960s, when the country was facing high unemployment rates with an unskilledlabor force, along with a lack of key urban assets that support public infrastructuresuch as adequate sanitation, decision makers chose to transform the country intoa green livable place. In lieu of the fact that Singapore was a newly industrializedcountry, several bold steps were taken towards this goal, thereby ensuring longterm sustainability. Starting in 1963, the Garden City campaign took a leading role.
This initiative was followed by a larger public cleaning plan, the Keep Singapore
Clean campaign, in 1968. Shortly thereafter, the Clean Air Act was introduced in 1971,
which helped to reduce air pollution.
Singapore’s sustainability efforts were integrated into a systematic framework
following three main principles: boost the country’s economy, maintain asustainable environment, and enhance people’s quality of life. Most importantly, theleaders were aware that solutions to achieve one outcome could create
opportunities for another, exemplifying the importance of a holistic approach
towards sustainable territorial planning.
The foundation of Singapore’s integrated urban planning is based on the use ofdigital planning tools which assist in the provision of future land use by merging
data from government entities at each level. The government and private
institutions have at their core a well-thought-out process for engagement andcooperation (MEWR, 2015).
To develop and implement integrated policies with sustainable approaches,
Singapore has adopted a Whole-of-Government approach, which helps toestablish a more creative and sustainable policy-making process. This method ofgoverning involves the sharing of information among all public agencies, thus
unveiling challenges and opportunities by widening decision-makers´ worldviews
early on. Accessing key aspects of the country from multiple perspectives
decreases the spillover effect that normally comprises policies developed bydifferent levels of government, in this way making the national policy framework
more robust and concise. Singapore has also designed the Inter-Ministry
Committee, which helps the country achieve its Sustainable Development Goals(SDGs) (MFA, 2018).

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2.2.2 Creating a more socially sustainable and inclusive infrastructure:“It is difficult to design a space that will not
attract people. What is remarkable is how
often this has been accomplished”.
The Social Life of Public Spaces, William H. Whyte (1980)
Source: Design for Social Sustainability. A framework for creating thriving
new communities, 2011.

Urban environments are considered melting pots of different cultures and traditions. Planning
processes should recognize this cultural diversity and create spaces where cultural identity canbe shared with a larger audience, in this way fostering vibrant urban communities and humanconnectivity. The attraction of residents from different ages or backgrounds is central tocreating communities where people will be willing to live in the long term (Caistor-Arendar, L. etal, 2011).
The creation of this social capital and the enhancement of urban diversity should also accountfor the preservation of rights of current and future residents. When looking at the futureoccupants of cities, several populations should be considered: those stemming from therural-to-urban migration that has been transpiring globally for decades, as well as those
displaced due to conflict, violence, or climate change. According to the United Nations (2009)
and, several years later, to the International Organization for Migration (2015), an estimated 3
million people are moving to cities every week (Caistor-Arendar, L. et al, 2011). Because of these
rapidly-changing demographic patterns, the planning process should design analyticalmethods which anticipate possible changes in infrastructure demand allowing for an adept
response. The integration of residents and other stakeholders in the decision-making process
is key to ensuring that the strategic long-term plan is aligned with community needs, and thatdifferent programs and projects are able to rely on public support. Stakeholder engagement
and public consultation should follow a clearly defined process where feedback is integrated
into the project design, construction, and operation of the asset.
Potential displacement of residents due to the creation of new infrastructure projects can also
create challenges, especially when existing communities are located within the area ofinfluence. The upstream planning process should anticipate the relocation that will accompany
the various alternatives considered, paying special attention to the risk of segregation,
gentrification, displacement and speculation. This is particularly important in areas with a large
concentration of minorities, those with a considerable aging population, and those in which
vulnerable groups are more prevalent.
The Creation of healthy and safe environments is central to the delivery of a more sustainableinfrastructure. Hence, the direct and indirect safety and health implications of an “unsustainable
solution” should also be considered. Exposure to air, water or soil pollution, as well as otherpoisonous hazards, can have a long-term impact on people's health and likewise can threaten
the safety of the community in other ways (UNOPS, 2012). Comprehensive planning should
encourage the adoption of healthy and active lifestyles by developing cities which are walkableand have ample outdoor recreational spaces. These spaces should integrate the aging
population together with other diverse groups.
Efficient and reliable access to basic services is necessary for a city to flourish, however, the factthat cities are growing so rapidly, the significant number of people living in irregular settlements,
the lack of sufficient financial resources, and poorly planned infrastructure systems makes

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access to these basic services inadequate, and unaffordable for certain groups, particularly thepoor (OHCHR, 2017). In many countries (principally non-developed or developing countries)
access to basic services such as water, energy, and transportation represents a significant
portion of the available household income. Consequently, access to safe and affordable quality
services should be considered during the early phases of the decision-making process.
Finally, according to the IDB's recently published report “Four Decades of Infrastructure
Project-Related Conflicts” (Watkins et al., 2017), it is worth noting that deficient planning, lack ofcommunity benefits, lack of adequate consultation, and impact on local values are listed as theprincipal drivers of conflict. Accordingly, the recognition of matters previously identified in thissection is important not just for the creation of more sustainable infrastructure, but also to avoid
the distress and potential conflict generated by an “unsustainable” planning process.

Box 2: Paradigm shift. The case ofMedellin, Colombia.
All the three dimensions of the triple bottom line- environmental, social andeconomic - are interlinked. An intervention in one dimension will inevitably haveconsequences on the others. For example, provision of affordable and qualitytransportation results in greater access to jobs, an increase in productivity andimproved levels of development. This multidimensional web of interconnectedfactors was examined in Medellin, Colombia. The city of Medellin is no longer
considered one of the most violent cities in the world, but alternatively it isconsidered inclusive and resilient. By properly implementing violence prevention
programs along with a deep commitment to higher livability standards, Medellin
has created opportunities for a better life for its inhabitants and has provided themwith pathways that lead them away from poverty, while at the same time generateurban assets as a means of economic growth.
Sense of belonging and genuine community participation is critical for developing
robust sustainable urban policies. The success of Medellin´s development
programs was possible because community input was taken into consideration
and was valued by the administration. Several programs were created to improve
quality of life, such as "Medellín Solidaria", which provided the population withhousing and water and likewise sought to enhance the health, economic situation,and development of the families involved. Access to inclusive and qualitytransportation was also approached in the development plan of the city. The
decision-makers understood that streets and public spaces were the mostdemocratic spaces within a city, therefore the plans always focused on the
improvement of such assets (e.g. pedestrian streets, parks, and urban
promenades). This approach resulted in the creation of 1.6 million square meters ofgreen space, therefore creating a more inclusive city with higher rates of quality oflife, as well as reduced violence (UN, 2012). Medellin focused on vulnerable
populations and transformed them by way of co-producers of safe streets andpublic spaces.

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2.2.3 Creating a more socially sustainable and inclusive infrastructure:“Climate change increasingly poses one of thebiggest long-term threats to investments”.
Christiana Figueres, Executive Secretary of the UNFCCC, 2015.

Numerous environmental and climate resilient considerations should be integrated during theearly phase of an infrastructure process. Some important factors are efficient use of limited
resources, protection of green spaces, promotion of urban resilience, mitigation of climatechange, as well as the reduction of pollution.
Urban densification is one of the most commonly known strategies traditionally associated withefficient use of resources at the city scale (Ahlfeldt et al., 2018). However, comprehensive
upstream planning and a long-term vision are necessary to ensuring that this is accomplishedin an orderly manner, while still safeguarding access to resources for all. When defining thevarious strategies, it is important that land be looked upon as a limited resource that must be
employed and developed efficiently. Medium to high build densities allow for more efficientpublic transportation systems while reducing cost per capita (Habitat, U. N., 2016). The promotionof efficient and multimodal transportations systems (including non-motorized options), cancreate a significant impact on the area´s sustainability, not just from the perspective of resource
efficiency, but also to drastically minimize overall greenhouse gas (GHG) emissions (Habitat, U. N., 2016).

Source: BID Ciudades Sostenibles

Adequate policy frameworks, incentive alignment, and upstream infrastructure planning are key
drivers to ensure the use of more renewable energy sources. This will enhance environmental
protection, reduce Greenhouse Gas (GHG) emissions and promote innovation. Public
commitment to energy-efficiency targets and behavioral change has been proven to be acentral driving force for a low-carbon transition (Barbu et, at., 2013). In 2015, 196 countries came
together under the Paris Agreement to transform their development trajectories towards one ofsustainable development. Nationally determined contributions (NDCs) are at the core ofincreasing each participating country´s ability to adapt to the adverse impacts of climatechange, and to foster both climate resilience and low-carbon development. Following this global
agreement, in the last years numerous initiatives have been developed as drivers of change at thecity scale such as the Global Covenant of Mayors, or the C40 Cities Climate Leadership Group.
Infrastructure development has been perceived as one of the core strategies towards climate

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change disaster risk reduction, mitigation, and adaptation. When planning and developing thesestrategies, special attention to vulnerable areas will be necessary, because these areas are likely
to be those most exposed to climate threats and be the areas with fewer resources for disasterprotection (Dorland et, at., 2003).
When considering environmental sustainability at the urban scale, access to green spaces andnatural areas is one of the core elements to be considered. Access to natural areas tends to belimited in urban settings; accordingly, recognizing the importance of its protection is vital.
Preservation of surface and groundwater, flora and fauna, as well as natural capital in general, iscentral to ensuring a sustainable outcome. Apart from the positive recreational value generated
in these areas, the mitigation and adaptation potential to climate change provided by green
infrastructure is notable. Solutions such as street planters, green rooftops, and permeable
pavements, among others, can generate significant positive effects on the reductions ofstormwater runoff, thereby reducing the risk of flooding. Countries like China have integrated
several of these strategies at scale with the aim of transforming their urban developments into
what have been referred to as “sponge cities”. This seeks to achieve a dual goal which aims to(i) guarantee sustainable water-use and (ii) control flooding (Chan et, at., 2018). Through acollaborative project, UN Environment, the Inter-American Development Bank, Acclimatise, and
UN Environment World Conservation Monitoring Centre (UNEP-WCMC) aim to understand thebarriers and enablers to private sector uptake of Nature-based Solutions (Green Infrastructure),findings will be published early 2019.
Pollution control is a topic intimately related to the preservation of the natural environment, as
well as health and safety which was covered in the section on social sustainability. In somecases, high levels of air pollution, water pollution and chemical compounds have been identified
as the downside of development. However, high levels of pollution, and inadequate solid waste
management are creating “non-livable places” all around the world. To minimize pollution, andpoor solid waste disposal and its potential risks for human health and the environment, it isimportant to design solid and transparent planning strategies in which specific goals andthresholds are identified. As well as to identify the possible effects of pollution or of methane
emissions coming from organic waste. Adequate monitoring plans and mitigation strategies
should be defined at the early phases of the project looking at the entire lifecycle rather thanany specific phase.

Box 3: New York as a living laboratory forresilience.
New York City (NYC) has tackled resilience in a holistic setting. According to One
New York, The Plan for a Strong and Just City, NYC will upgrade private and publicbuildings to ensure greater energy efficiency and resiliency in the face of climatechange. Adaptation to infrastructure (e.g. transportation, telecommunication, water,and energy) that would allow it to withstand possible disruptive events is also a key
aspect of New York’s resilience plan. In its city-wide campaign, resilient design isintended to become an integral part of the sequential project planning process forboth agencies and their designers.
The Office of Recovery and Resiliency in its Climate Resiliency Design Guidelines
proposes the following actions:1) Integrate “soft” resilience strategies (operational measures and investments within
the scope of green infrastructure) and “hard” resilience strategies (human-built,

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complex infrastructure)2) Address multiple climate hazards with single interventions
3) Reduce climate change risk in conjunction with other goals (e.g., energy
efficiency or reduction in greenhouse gas emissions)

2.3 Factoring innovation into the sustainable infrastructure planning process
Developing business-as-usual infrastructure is not enough to achieve the transformational
results necessary for a sustainable future (UN SDSN, 2016). While infrastructure development is
a continuous and long-term process, there are several instruments available to integrateinnovation and enhance sustainability performance during the infrastructure planning process.
The use of digital technology can help decision-makers deliver a more profitable and resilient
infrastructure while granting better supervision and transparency within the industry (UN SDSN,
2016). Technology aids in infrastructure by developing platforms that create, communicate, andevaluate options, hence making communities more connected and sustainable. Development
and proper use of digital technologies and processes (e.g. BIM) can have a large-scale impact
such as an annual global savings of 10-25% in the engineering and construction phases, and
8-13% in the operations phase (Autodesk, 2017). The use of digitalization (e.g. Building Information
Modeling (BIM), big data, cloud computing, and analytics) supports decision-makers during
each phase of the project- from planning to operation, powering collaborative process while
decreasing environmental burdens (Autodesk, 2017).

Box 4: Innovation for rapid sustainableurban growth in Shenzhen, China.
Known as the sustainable lab of China, Shenzhen is an example of rapid
sustainable urban growth, transforming from a fishing village in the 1950s, to the cityof 10-million inhabitants that it is today. One of Shenzhen’s most influential actions
towards a sustainable future has been its innovative transport sector planning. The
city was built using an infrastructure referred to as Transit-Oriented Development(TOD), in which all activities were prioritized and designed around the public transit
sector. Lofty achievements were reached using techniques such as innovative
financing, flexible zoning, integrated planning, as well as effective stakeholder
dialogue. The city implemented regulations, incentives and support measures thatenabled a rapid shift to low-low carbon, zero-pollution transportation.
The National Development and Reform Commission created a mandate which
provided even more force and fiscal incentive to the Low Carbon City concept
upon reaching a municipal level. Shenzhen has become the most successful city
in China to implement the low carbon city approach. Within this model lies spatialplanning, which assisted in eliminating car-oriented zoning and sprawl, thepromotion of multi-use urban fabric; the delineation of ecological baselines and thepromotion of green spaces to benchmark environmental protection and sequester
carbon (WWF, 2014).

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RECOMMENDATIONS

Based on research conducted for the elaboration of this paper, there are somerecommendations and lessons learned which can be applied at the upstream
planning phase to develop more sustainable infrastructure. These are divided into
high-level policy recommendations, and context-based recommendations.

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High-level policy recommendations:
Recommendation 1:
Standardized policy frameworks: Orderly planning process requires the standardization of
approaches towards better regulation and its enforcement. There is a need to bring together
the national and local levels of government for regular debate on issues of mutual interest, suchas a common upstream planning framework as well as breaking up silos among cross-sectoral
agendas. To help tackle these challenges and to deliver more sustainable infrastructure, theInter American Development Bank Published in May 2018 sustainable infrastructure principles
providing an analytical framework for incorporating sustainability elements into the project level.
The IDB is currently developing an upstream framework to provide guidance at the policy,
regulatory and planning stages

Recommendation 2:
Transparent and flexible decision-making: As previously specified, there is a significant needfor clear and transparent coordination among different levels of government, however thecultural diversity and multi-stakeholder nature that characterizes the urban context calls forflexible and inclusive processes where all the different parties are represented. These processes
should account not just for the profile of the current residents, but for future ones as well.

Recommendation 3:
Strategic territorial planning: Sustainability solutions should be cemented and aligned withlarger scale territorial planning strategies. These will include, among others, mixed-use
development aimed to achieve higher level principles such as social integration, poverty
reduction and economic development. Adequate territorial planning ensures a long-term
strategy while allowing for the development of synergies among different jurisdictional scales
and infrastructure systems (e.g., coordination among urban planning and transportation
systems, as well as recreational spaces).

Recommendation 4:
Capacity-building and innovation: Significant resources should be devoted to ensuring
institutional capacity-building, and know-how transfer in matters related to sustainableinfrastructure. Capacity-building should address technical and business innovation, as well assound data collection and monitoring strategies.

Context based recommendations:
Recommendation 5:
Clean energy technologies: Promoting supportive policies and increased sustainableprofitability can boost society’s progress towards a clean energy industry. National standards
that embrace energy-efficiency can increase social capital investments in energy and can

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launch financing channels for energy investment projects. Furthermore, adopting a
multi-energies model is an important approach for the future of clean energy growth.

Recommendation 6:
Promotion of urban resilience; A holistic approach along with improved collaboration amongplayers is needed to allow infrastructure sectors to properly allocate resources and to unfold
opportunities that could enhance infrastructure robustness and resilience, thereby preventing
human and economic losses.

Recommendation 7:
Innovative transportation techniques: An efficient transportation system is a key driver of
economic growth and productivity in densely populated urban areas. A multimodaltransportation system requires full integration with other infrastructure projects during its earlyphase. Additionally, the appropriate use of data is extremely important when it comes to mobility
efficiency. Understanding passenger flow and using available technology allows for the designof a fully customized and smarter network, while optimizing the use of available resources.

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Acknowledgments
Amin, Amal Lee
Watkins, Graham George
Soulier Faure, Martin Nicolas
Doherty Bigara Rodriguez, Jennifer
Fernandez Garcia, Luz
Aguiar Parera, Catalina
Chevalier, Ophelie
Carvalho, Julia

Conctacts for this report
Graham Watkins
gwatkins@iadb.org
Mariana C. Silva Zuniga
marianasi@iadb.org

The views, opinions, positions and recommendations expressedin this White Paper are solely those of the individuals and theirorganisations. They do not necessarily reflect those of Urban 20
or any of its chairs, conveners, partners and participating cities.

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www.urban20.org