Review of sustainability indices and indicators: Towards a new City Sustainability Index (CSI)

The purpose of this paper is to discuss conceptual requirements for a City Sustainability Index (CSI) and to review existing major sustainability indices/indicators in terms of the requirements. The following indices are reviewed: Ecological Footprint (EF), Environmental Sustainability Index (ESI), Dashboard of Sustainability (DS), Welfare Index, Genuine Progress Indicator (GPI), Index of Sustainable Economic Welfare, City Development Index, emergy/exergy, Human Development Index (HDI), Environmental Vulnerability Index (EVI), Environmental Policy Index (EPI), Living Planet Index (LPI), Environmentally-adjusted Domestic Product (EDP), Genuine Saving (GS), and some applications of composite indices or/and multivariate indicators to local or regional context as case studies. The key conceptual requirements for an adequate CSI are: (i) to consider environmental, economic and social aspects (the triple bottom line of sustainability) from the viewpoint of strong sustainability; (ii) to capture external impacts (leakage effects) of city on other areas beyond the city boundaries particularly in terms of environmental aspects; (iii) to create indices/indicators originally for the purpose of assessing city sustainability; and (iv) to be able to assess world cities in both developed and developing countries using common axes of evaluation. Based on the review, we conclude that it is necessary to create a new CSI that enables us to assess and compare cities' sustainability performance in order to understand the global impact of cities on the environment and human life as compared with their economic contribution. In the future, the CSI will be able to provide local authorities with guidance toward sustainable paths.     

Assessment of urban sustainability efficiency based on general data envelopment analysis: a case study of two cities in western and eastern China

Sustainable urban development focuses on enhancing urban well-being, while also balancing the demands of urban social and economic development, natural resource consumption, and environmental pollution. This work used general data envelopment analysis to assess the urban sustainability efficiency (USE) and sustainability potential (SP) in Lanzhou and Xiamen, two cities that are characteristic of urban areas in western and eastern China. The assessment indicator system included important natural and urban welfare factors as input and output indices, respectively. The results showed that overall urban sustainability efficiency increased in Lanzhou and Xiamen from 1985 to 2010, but that the sustainability of natural resources clearly decreased. The urban sustainability efficiency of Xiamen was higher than that of Lanzhou, and the sustainability potential of Xiamen was lower than that of Lanzhou; this indicates that Xiamen performed better in terms of urban sustainable development. The urban sustainability efficiency in Xiamen has increased with increasing urban population, and the rate and scale of economic development have been higher than in Lanzhou. The assessment and analysis performed in this study show that cities with different natural resources and development characteristics have different forms, patterns, and trajectories of sustainable development.     

Healthcare Building Sustainability Assessment tool - Sustainable Effective Design criteria in the Portuguese context

Tools and methods to improve current practices and quality in the healthcare building sector are necessary to support decision-making at different building life cycle phases. Furthermore, Healthcare Building Sustainability Assessment (HBSA) Methods are based on criteria organised into different levels, such as categories and indicators. These criteria highlight aspects of significant importance when designing and operating a sustainable healthcare building. To bring more objectivity to the sustainability assessments, the standardisation bodies (CEN and ISO) proposed core indicators that should be used in the evaluation of the environmental, societal and economic performances of buildings. Nevertheless, relying on state of the art analysis, it is possible to conclude that there are aspects of major importance for the operation of healthcare buildings that are not considered in the HBSA methods.Thus, the aim of this paper is to discuss the context of sustainability assessment methods in the field of healthcare buildings and to present a proposal for the incorporation of Sustainable-Effective Design (SED) criteria in a new HBSA method. The used research method is innovative since in the development of the list of sustainability criteria it considers the opinion of main healthcare buildings' stakeholders, the existing healthcare assessment methods and the ISO and CEN standardisation works in the field of the methods to assess the sustainability of construction works. As a result, the proposed method is composed of fifty-two sustainability indicators that cover the different dimensions of the sustainability concept to support decision making during the design of a new or retrofitted healthcare building in urban areas.     

Certification systems for sustainable neighbourhoods: What do they really certify?

Certification systems for sustainable neighbourhoods started to emerge around a decade ago. This study analysed the content, structure, weighting and indicators of two established certification systems for sustainable urban development – BREEAM Communities and LEED for Neighborhood Development. Several limitations of these systems were identified: both have a bias for procedure and feature indicators over indicators that assess actual performance; performance demands are set according to a relative understanding of sustainable development; the focus is on internal sustainability, while upstream and downstream impacts of construction are disregarded; the number and distribution of mandatory issues do not cover essential sustainability aspects; and the disproportionately large number of non-mandatory issues makes benchmarking difficult and signals that sustainability aspects are exchangeable. Altogether, this means that an area can be certified without being sustainable. Moreover, the lack of continuous development of certification requirements in the systems means that they risk exerting a conservative effect on urban development, rather than pushing it forward.     

Evaluating impacts of development and conservation projects using sustainability indicators: Opportunities and challenges

There has been an increased interest in using sustainability indicators for evaluating the impacts of development and conservation projects. Past and recent experiences have shown that sustainability indicators can be powerful tools for measuring the outcomes of various interventions, when used appropriately and adequately. Currently, there is a range of methods for applying sustainability indicators for project impact evaluation at the environment–development interface. At the same time, a number of challenges persist which have implication for impact evaluation processes especially in developing countries. We highlight some key and recurrent challenges, using three cases from Kenya, Indonesia and Brazil.In this study, we have conducted a comparative analysis across multiple projects from the three countries, which aimed to conserve biodiversity and improve livelihoods. The assessments of these projects were designed to evaluate their positive, negative, short-term, long term, direct and indirect impacts. We have identified a set of commonly used sustainability indicators to evaluate the projects and have discussed opportunities and challenges associated with their application. Our analysis shows that impact evaluation processes present good opportunities for applying sustainability indicators. On the other hand, we find that project proponents (e.g. managers, evaluators, donors/funders) face challenges with establishing full impacts of interventions and that these are rooted in monitoring and evaluation processes, lack of evidence-based impacts, difficulties of measuring certain outcomes and concerns over scale of a range of impacts.We outline key lessons learnt from the multiple cases and propose ways to overcome common problems. Results from our analysis demonstrate practical experiences of applying sustainability indicators in developing countries context where there are different prevailing socio-economic, cultural and environmental conditions. The knowledge derived from this study may therefore be useful to a wider range of audience who are concerned with sustainable integration of development and environmental conservation.     

A delphi-style approach for developing an integrated food/non-food system sustainability assessment tool

Sustainability assessment is a complex field and its uptake amongst agricultural producers limited. Furthermore, the scope of current sustainability assessment tools does not extend to systems in which food production is integrated with production of non-food biomass (e.g. agroforestry). Participatory approaches to tool development offer a means to overcome the subjectivity of researcher-led tool design and thus the potential to increase relevance and engagement. In this work we develop a Delphi-style methodology as a means to produce a sustainability assessment tool suitable to assess and feedback on an integrated food/non-food system. Using a widely accepted agricultural sustainability framework and an existing farm sustainability assessment tool as a base, stakeholders were engaged with across six countries and multiple stakeholder groups to identify key indicators to be added to the tool. The methodology developed is described in detail, framed in the setting of this tool development process but providing a novel framework applicable to any situation where indicators must be developed for a complex issue of interest across multiple perspectives and stakeholder groups. Feedback and learning from the experience is provided. It was found that, contrary to some opinion, the inclusion of a face-to-face discussion round as part of the Delphi procedure provides a valuable means for information exchange and a move towards consensus amongst stakeholders. By using a ‘snowball’ approach to the in person discussions, it appears too that the loss of the voices of more socially retiring individuals can be avoided. Final levels of agreement vary substantially across the different areas of sustainability, with indicators in some areas (e.g. environmental integrity) proving much less controversial than others (e.g. social wellbeing). Despite this, the methodology effectively reaches a level of consensus amongst diverse stakeholders sufficient to guide the selection of sustainability indicators with a good level of confidence.     

Capability Maturity Model (CMM) method for assessing the performance of low-carbon city practice

Carbon emissions are considered as major factor affecting sustainable urban development. Cities have been promoting low carbon city (LCC) strategies to reduce carbon emissions and various methods have been introduced to assess the performance of LCC strategies. However, most of the existing assessment methods focus on overall LCC performance at city level, but the effects of individual dimensions like industrial structure and energy efficiency are ignored. The research question in this study therefore is whether an alternative method can be established to measure both the overall and dimensional LCC performance. This paper introduces a method for assessing LCC performance by using Capability Maturity Model (CMM), which is called LCC-CMM. The proposed method of LCC-CMM can help identify LCC maturity grade through assessing the performance of individual LCC dimensions which contributes to overall performance. There are four procedures in applying LCC-CMM, including to identify the Key Process Areas (KPAs) in the context of LCC, denoted as LCC-KPAs, to define the indicators for measuring the performance of LCC-KPAs, to calculate the performance score for each LCC-KPA, and to define criteria for specifying different grades of LCC capability maturity. The proposed method is proven effective through a case demonstration. The method can help policy makers to identify weak areas in LCC practice and introduce tailor-made policy measures to improve the weak areas.     

Sustainability principles in strategic environmental assessment: A framework for analysis and examples from Italian urban planning

This paper presents a framework for analysing the degree of consideration of sustainability principles in Strategic environmental assessment (SEA), and demonstrates its application to a sample of SEA of Italian urban plans. The framework is based on Gibson's (2006) sustainability principles, which are linked to a number of guidance criteria and eventually to review questions, resulting from an extensive literature review. A total of 71 questions are included in the framework, which gives particular emphasis to key concepts, such as intragenerational and intergenerational equity. The framework was applied to review the Environmental Report of the urban plans of 15 major Italian cities. The results of this review show that, even if sustainability is commonly considered as a pivotal concept, there is still work to be done in order to effectively integrate sustainability principles into SEA. In particular, most of the attention is given to mitigation and compensation measures, rather than to actual attempts to propose more sustainable planning decisions in the first place. Concerning the proposed framework of analysis, further research is required to clarify equity concerns and particularly to identify suitable indicators for operationalizing the concepts of intra/inter-generational equity in decision-making.     

Environmental sustainability assessment in supply chain: An emerging economy context

Environmental sustainability is not being practiced in the supply chains of many industries. Previous studies on environmental sustainability have not outlined clear strategies to achieve sustainability across supply chains, particularly in the context of emerging economies, and have been of limited relevance in settings beyond the geographical region of their focus. To address these gaps, we have proposed a best worst method (BWM) as a framework to assess the environmental criteria for sustainability in select industries in Bangladesh. Different industrial activities or criteria affecting the environment in various ways were assessed and weighted using the BWM. To ensure the efficiency and accuracy of this framework, we sought the opinions of 34 experts to specify the most suitable indicators from our initial literature review. Findings from this study revealed that “waste management” was the most important indicator for establishing environmental sustainability in industries in Bangladesh, which was substantiated by a sensitivity analysis. This research will assist industry managers and entrepreneurs to work toward environmental sustainability across supply chains.     

Environmental and sustainability indicators and the concept of situational indicators. A systems approach

Through a systems approach indicators are shown to have the nature of variables, adopting different values or states, while other associated terms allude to special meanings assigned to specific values of the indicators. Practical implications are discussed. The concept of situational indicators of sustainability is introduced, representing a non-numerical function of both “pressures” or “driving forces” and “state” variables. A cost-effective multi-tiered approach to situational indicators is proposed. The concept of situational indicators is shown to be a particular case of indicators of systems behavior. A general systems formulation of the problem of sustainability highlights the importance of indicators of systems behavior and the central role of models in their definition.     

Geoprocessing applied to the assessment of environmental noise: a case study in the city of Sorocaba, S?o Paulo, Brazil

Noise mapping has been used as an instrument for assessment of environmental noise, helping to support decision making on urban planning. In Brazil, urban noise is not yet recognized as a major environmental problem by the government. Besides, cities that have databases to drive acoustic simulations, making use of advanced noise mapping systems, are rare. This study sought an alternative method of noise mapping through the use of geoprocessing, which is feasible for the Brazilian reality and for other developing countries. The area chosen for the study was the central zone of the city of Sorocaba, located in São Paulo State, Brazil. The proposed method was effective in the spatial evaluation of equivalent sound pressure level. The results showed an urban area with high noise levels that exceed the legal standard, posing a threat to the welfare of the population.     

城市绿色发展竞争力评价研究

提出城市绿色发展竞争力概念,探讨环境质量与经济社会发展水平之间的关系,从城市空气环境质量、地表水环境质量、声环境质量、集中式饮用水源地水质和生态环境质量等"硬环境"着手,结合衡量城市经济发展程度的工业GDP指标,构建评价指标体系,用单位工业GDP的环境代价来表征城市绿色发展竞争力水平,并以安徽省省辖市为例进行了实例研究。     

Framework for integration of urban planning,strategic environmental assessment and ecological planning for urban sustainability within the context of China

Sustainable development or sustainability has been highlighted as an essential principle in urban master planning, with increasing recognition that uncontrollable urbanization may well give rise to various issues such as overexploitation of natural resources, ecosystem destruction, environmental pollution and large-scale climate change. Thus, it is deemed necessary to modify the existing urban and regional administrative system so as to cope with the challenges urban planning is being confronted with and realize the purpose of urban sustainability. This paper contributed to proposing a mechanism which helps to make urban planning with full consideration of issues with respect to sustainable development. We suggested that the integration of urban planning, SEA and ecological planning be a multi-win strategy to offset deficiency of each mentioned political tool being individually applied. We also proposed a framework where SEA and ecological planning are fully incorporated into urban planning, which forms a two-way constraint mechanism to ascertain environmental quality of urban planning, although in practice, planning and SEA processes may conditionally be unified. Moreover, as shown in the case study, the integration of the three political tools may be constrained due to slow changes in the contextual factors, in particular the political and cultural dimensions. Currently within the context of China, there may be three major elements which facilitate integration of the three political tools, which are (1) regulatory requirement of PEIA on urban planning, (2) the promotion or strong administrative support from government on eco-district building, and (3) the willingness of urban planners to collaborate with SEA experts or ecologists.     

Framework for integration of urban planning, strategic environmental assessment and ecological planning for urban sustainability within the context of China

Sustainable development or sustainability has been highlighted as an essential principle in urban master planning, with increasing recognition that uncontrollable urbanization may well give rise to various issues such as overexploitation of natural resources, ecosystem destruction, environmental pollution and large-scale climate change. Thus, it is deemed necessary to modify the existing urban and regional administrative system so as to cope with the challenges urban planning is being confronted with and realize the purpose of urban sustainability. This paper contributed to proposing a mechanism which helps to make urban planning with full consideration of issues with respect to sustainable development. We suggested that the integration of urban planning, SEA and ecological planning be a multi-win strategy to offset deficiency of each mentioned political tool being individually applied. We also proposed a framework where SEA and ecological planning are fully incorporated into urban planning, which forms a two-way constraint mechanism to ascertain environmental quality of urban planning, although in practice, planning and SEA processes may conditionally be unified. Moreover, as shown in the case study, the integration of the three political tools may be constrained due to slow changes in the contextual factors, in particular the political and cultural dimensions. Currently within the context of China, there may be three major elements which facilitate integration of the three political tools, which are (1) regulatory requirement of PEIA on urban planning, (2) the promotion or strong administrative support from government on eco-district building, and (3) the willingness of urban planners to collaborate with SEA experts or ecologists.     

Assessment of transport performance index for urban transport development strategies — Incorporating residents' preferences

The performance of urban transport depends on a variety of factors related to metropolitan structure; in particular, the patterns of commuting, roads and public transport (PT) systems. To evaluate urban transport planning efforts, there is a need for a metric expressing the aggregate performance of the city's transport systems which should relate to residents' preferences. The existing metrics have typically focused on a measure to express the proximity of job locations to residences. A Transport Performance Index (TPI) is proposed in which the total cost of transportation system (operational and environmental costs) is divided by willingness to pay (WTP) for transport plus the willingness to accept (WTA) the environmental effects on residents. Transport operational as well as the environmental costs are derived from a simulation of all transport systems, to particular designs of spatial development. Willingness to pay for transport and willingness to accept the environmental effects are derived from surveys among residents. Simulations were modelled of Surabaya's spatial structure and public transport expansion. The results indicate that the current TPI is high, which will double by 2030. With a hypothetical polycentric city structure and adjusted job housing balance, a lower index occurs because of the improvements in urban transport performance. A low index means that the residents obtain much benefit from the alternative proposed. This illustrates the importance of residents' preferences in urban spatial planning in order to achieve efficient urban transport. Applying the index suggests that city authorities should provide fair and equitable public transport systems for suburban residents in the effort to control the phenomenon of urban sprawl. This index is certainly a good tool and prospective benchmark for measuring sustainability in relation to urban development.     

Landscape Change and Ecosystem Classification in a Municipal District of a Small City (Isernia,Central Italy)

Landscape changes taking place from 1954 to 1992 in the muncipal district of Isernia city (Central Italy) were described in relation to a system of ecosystem classification. Isernia municipal district was selected for study because recent historic changes in this area represent a typical example of landscape transformation similar to many small cities of Italy and other Mediterranean countries. To assess overall changes, three land cover maps (scale 1:25,000) were derived from panchromatic aerial photographs and field surveys. These were then digitalised in a Geographic Information System. A Land Facet (LF) map was derived by combining a phytoclimatic, a lithostatigrafic and a topographic map, and then digitalised as data layers in the same GIS. Results demonstrated two main landscape transformation trends: forest and semi-natural areas increased (8%), whereas agricultural areas decreased (12%). The urban area was relatively small during the entire analysed period, growing from 1% in 1954, to just 5% in 1992. Forest coverage was significant on reliefs, on hillside ecosystems such as limestone and on clay and marl hills LF. Arable land was particularly significant in flat ecosystems with deeper soils, such as on recent alluvial plain LF. These temporal changes were interpreted as being related to the replacement of traditional farming methods (grazing pastures) with more intensive methods (crop fields), especially on alluvial plains.     

A mixed model-based Johnson's relative weights for eco-efficiency assessment: The case for global food consumption

Eco-efficiency composite indicators are widely accepted as the ratio of environmental impact to created economic value. These indicators are realistic measures for assessing sustainability performance considering the economy and environment. The weights reflect the importance of indicators to the aggregated environmental impacts. Estimating the relative weight of indicators is highly subjective, and therefore the search for a single unique weighting method has been going on for years. The regression-based weights are one of the most recent trends in sustainability modeling. Since these methods are designed initially to investigate the impact of multiple variables on a response variable rather than to estimate weights, some drawbacks are associated with their potential to provide proper weights. This paper presents a novel weighting approach integrating linear mixed-effect models with Johnson's relative weights to address these drawbacks and provide meaningful relative weights for eco-efficiency composite indicators. The proposed approach's operational and computational procedures are illustrated using a real example, and the eco-efficiency of food consumption of 38 countries is estimated for the period between 1990 and 2012 using a consumption-based sustainability accounting method. The findings have shown that energy use and GHG indicators are the most critical contributor to global food consumption's environmental impacts. The country-based eco-efficiency performance in this work has shown that China, India, and Russia are located in the low eco-efficiency score class. The Spatio-temporal analysis downgraded the geographical location's significance on the trends of eco-efficiency behavior in time and space. On the other hand, it revealed the different types of emerging hot spots over the world.     

Addressing social aspects associated with wastewater treatment facilities

In wastewater treatment facilities (WWTF), technical and financial aspects have been considered a priority, while other issues, such as social aspects, have not been evaluated seriously and there is not an accepted methodology for assessing it. In this work, a methodology focused on social concerns related to WWTF is presented. The methodology proposes the use of 25 indicators as a framework for measuring social performance to evaluate the progress in moving towards sustainability. The methodology was applied to test its applicability and effectiveness in two WWTF in Mexico (urban and rural). This evaluation helped define the key elements, stakeholders and barriers in the facilities. In this context, the urban facility showed a better overall performance, a result that may be explained mainly by the better socioeconomic context of the urban municipality. Finally, the evaluation of social aspects using the semi-qualitative approach proposed in this work allows for a comparison between different facilities and for the identification of strengths and weakness, and it provides an alternative tool for achieving and improving wastewater management.     

Relationship between different size classes of particulate matter and meteorology in three European cities

Evidence on the correlation between particle mass and (ultrafine) particle number concentrations is limited. Winter- and spring-time measurements of urban background air pollution were performed in Amsterdam (The Netherlands), Erfurt (Germany) and Helsinki (Finland), within the framework of the EU funded ULTRA study. Daily average concentrations of ambient particulate matter with a 50% cut off of 2.5 microm (PM2.5), total particle number concentrations and particle number concentrations in different size classes were collected at fixed monitoring sites. The aim of this paper is to assess differences in particle concentrations in several size classes across cities, the correlation between different particle fractions and to assess the differential impact of meteorological factors on their concentrations. The medians of ultrafine particle number concentrations were similar across the three cities (range 15.1 x 10(3)-18.3 x 10(3) counts cm(-3)). Within the ultrafine particle fraction, the sub fraction (10-30 nm) made a higher contribution to particle number concentrations in Erfurt than in Helsinki and Amsterdam. Larger differences across the cities were found for PM2.5(range 11-17 microg m(-3)). PM2.5 and ultrafine particle concentrations were weakly (Amsterdam, Helsinki) to moderately (Erfurt) correlated. The inconsistent correlation for PM2.5 and ultrafine particle concentrations between the three cities was partly explained by the larger impact of more local sources from the city on ultrafine particle concentrations than on PM2.5, suggesting that the upwind or downwind location of the measuring site in regard to potential particle sources has to be considered. Also, relationship with wind direction and meteorological data differed, suggesting that particle number and particle mass are two separate indicators of airborne particulate matter. Both decreased with increasing wind speed, but ultrafine particle number counts consistently decreased with increasing relative humidity, whereas PM2.5 increased with increasing barometric pressure. Within the ultrafine particle mode, nucleation mode (10-30 nm) and Aitken mode (30-100 nm) had distinctly different relationships with accumulation mode particles and weather conditions. Since the composition of these particle fractions also differs, it is of interest to test in future epidemiological studies whether they have different health effects.