Sustainable Development and Planning

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International Journal of

Sustainable Development and Planning

Volume 12, Number 3, 2017 TM


Encouraging a unified approach to achieve sustainability

Objectives The International Journal of Sustainable Development and Planning responds on the necessity to relate the fields of planning and development in an integrated way and in accordance with the principles of sustainability. The Journal covers all aspects of planning and development including environmental design, planning and management, spatial planning and sustainable development. It is the aim of the editors of the Journal to create an interdisciplinary forum where all the issues related with the concept of sustainability (environmental, spatial, economical and social), are open for scientific discussion.

Coordinator C.A. Brebbia Wessex Institute, UK

International Editorial Board

K. Aravossis National Technical University, Greece A. Balducci AESOP, Italy J. Barnes University of the West of England, UK S. Basbas Aristotle University of Thessaloniki, Greece E. Beriatos University of Thessaly, Greece H. Bjornlund University of South Australia, Australia C. Booth University of the West of England, UK C. Borrego University of Aveiro, Portugal R. Brandtweiner Vienna University of Economics and Business, Austria S. Brody Texan A&M University, USA Ni-Bin Chang University of Central Florida, USA M.E. Conti University of Rome, Italy M. Cunha Universidade de Coimbra, Portugal L. D’Acierno ‘Federico II’ University of Naples, Italy

A. Gospodini University of Thessaly, Greece K.L. Katsifarakis Aristotle University of Thessaloniki, Greece H. Kawashima University of Tokyo, Japan E. Larcan Politecnico di Milano, Italy D. Longo University of Bologna. Italy G. Lorenzini University of Parma, Italy G.K. Luk Ryerson University, Canada I.G. Malkina-Pykh Russian Academy of Sciences, St Petersburg, Russia S. Mambretti Politecnico di Milano, Italy Ü. Mander University of Tartu, Estonia J.F. Martin-Duque Universidad Complutense, Spain M.A. Martins-Loucao University of Lisbon, Portugal J.L. Miralles i Garcia Universitat Politècnica de València, Spain M. Mohssen Lincoln University, New Zealand V. Pappas University of Patras, Greece F. Pineda Complutense University, Spain U. Pröbstl-Haider BOKU, Austria

D. Proverbs University of Birmingham, UK R.M. Pulselli University of Siena, Italy G. Reniers University of Antwerp, Belgium S. Riley Teritary Engg & Sustainable Technology Pty Ltd, Australia G. Rizzo Universita di Palermo, Italy G. Rodriguez Universidad de Las Palmas de Gran Canaria, Spain R. Rojas-Caldelas Universidad Autonoma de Baja California, Mexico F. Russo University of Mediterranean Reggio Calabria, Italy S. Samant National University of Singapore, Singapore M. Sepe University of Naples, Italy R. Sjoblom Tekedo AB / Luleå University of Technology, Sweden J.H.R. van Duin Delft University of Technology, The Netherlands J-Z. Xiao Tongji University, China M. Zamorano University of Granada, Spain

International Journal of

Sustainable Development and Planning Encouraging a unified approach to achieve sustainability

Volume 12, Number 3, 2017 SPECIAL ISSUE The Sustainable City

GUEST EDITORS Carlos A. Brebbia

Wessex Institute of Technology, UK

Antonio Galiano-Garrigos University of Alicante, Spain

Southampton, Boston


Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)

PUBLICATION AND OPEN-ACCESS FEE WIT Press is committed to the free flow of information to the international scientific community. To provide this service, the Journals require a publication fee to be met by the authors or the research funding bodies for each paper published. The fee in this Journal is €130 per published page and is payable upon acceptance of the paper. The paper will then be Open Access, i.e. immediately and permanently free to everybody to read and download. FREQUENCY AND FORMAT The International Journal of Sustainable Development and Planning will be published in eight issues per year in colour. All issues will be supplied to subscribers both online (ISSN: 1743-761X) and in paper format (ISSN: 1743-7601). SUBMISSIONS The International Journal of Sustainable Development and Planning is a refereed journal. In order to be acceptable for publication submissions must describe advances made in one or more of the topics listed on the right or others that are in-line with the objectives of the Journal. If you are interested in submitting a paper please contact: INTERNATIONAL JOURNAL OF SUSTAINABLE DEVELOPMENT AND PLANNING WIT, Ashurst Lodge, Southampton, SO40 7AA, UK. Tel: 44 (0) 238 029 3223, Fax: 44 (0) 238 029 2853 Email: [email protected] TYPES OF CONTRIBUTIONS Original papers; review articles; short communications; reports of conferences and meetings; book reviews; letters to the editor and selected bibliography. Papers essentially of an advertising nature will not be accepted. AUTHORS INSTRUCTIONS All material for publication must be submitted in electronic form, in both the native file format and as a PDF file, and be PC compatible. The text area is 200mm deep and 130mm wide. For full instructions on how to format and supply your paper please go to: SAMPLE COPY REQUEST Subscribe and request your free sample copy online at:

♦ Sustainable development ♦ Rural planning ♦ Urban planning ♦ Urban and regional design ♦ Ecosystems analysis and protection ♦ Natural resource management ♦ Coastal planning and policy ♦ Waste management ♦ Environmental infrastructure ♦ Air, water and soil pollution ♦ Remediation and recovery ♦ Geo-informatics and the environment ♦ Environmental impact assessment ♦ Environmental economics ♦ Environmental legislation and policy ♦ Tourism and the environment ♦ Social issues ♦ Resources management ♦ Planning in less favoured areas ♦ Regional economics ♦ Utilities and networks ♦ Energy resources ♦ Education and health ♦ Cultural heritage issues ♦ Visual impact and noise pollution

SUBSCRIPTION RATES 2017: Vol 12, Issues 1 – 8, Online and print access US$1900.00

ISSN: 1743-761X (on line) and ISSN: 1743-7601 (paper format) © WIT Press 2017. Printed in Great Britain by Printondemand Worldwide.

Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)


PREFACE The papers contained in this issue are a selection from those presented at the Urban Regeneration and Sustainability Conference held in Alicante, Spain, organised by the University of Alicante and the Wessex Institute of Technology. They address many multidisciplinary issues of urban planning, which result from the increasing size of cities, the amount of resources and services required and the complexity of modern society. The continuous process of urbanisation generates many problems, which need to be resolved by the cities becoming more efficient habitats, whilst improving the quality and standard of living of their residents. Most of the earth’s population now lives in cities and the process of urbanisation continues to generate many problems deriving from the drift of the population towards them. The rapid growth of cities has traditionally generated an unbalanced urban development where the centre of the city becomes neglected while its surroundings are anonymous spaces. The lack of adequate mobility between different parts of the city and a lack of balance between their uses generate functional instabilities in the urban context and situations of abandonment and insecurity. In response, the level of occupancy of the urban space diminishes and its inhabitants no longer identify with their built environment. Situations of abandonment and improper use show up in the decreasing quality of public spaces and well-being of residents. The strategy consists of finding solutions that allows restoring a balance between the different uses of the urban fabric, improving transport infrastructure and especially improving the quality of life in urban space so that all stakeholders develop a sense of ownership and belonging. The process however faces a number of challenges such as reducing pollution and improving transportation and infrastructure systems. New urban solutions are required to optimise the use of space and energy resources leading to improvements in the environment. Large cities are probably the most complex systems to manage. However, despite such complexity, they represent a fertile ground for architects, engineers, city planners, social and political scientists, and other professionals able to conceive new ideas and timely implement them according to technological advances and human requirements. The challenge of planning sustainable cities lies in considering their dynamics, the exchange of energy and matter, and the function and maintenance of ordered structures directly or indirectly supplied and maintained by natural systems. The papers published in this issue, as well as all others presented at the Wessex Institute Conferences are archived in the Institute’s eLibrary ( where they are permanently available to the international community. The Editors Alicante, 2016

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IMPROVING URBAN ACCESSIBILITY: A METHODOLOGY FOR URBAN DYNAMICS ANALYSIS IN SMART, SUSTAINABLE AND INCLUSIVE CITIES R. PÉREZ-DELHOYO1, C. GARCÍA-MAYOR1, H. MORA2, V. GILART-IGLESIAS2 & M.D. ANDÚJAR-MONTOYA1 1Department of Building Sciences and Urbanism, University of Alicante, Spain. 2Specialized Processors Architecture Laboratory, Department of Computer Technology and Computation, University of Alicante, Spain.

ABSTRACT Despite the improvisations of current urban accessibility regulations and their application in urban systems, it is a fact that our cities are not accessible. Both, the assessment of the effectiveness of urban accessibility and its maintenance over time are issues that require a more consistent approach. In order to address these aspects, it is necessary to have an accurate awareness of the existing condition of urban accessibility. Therefore, the way this information is transformed into specific data, which must be collected, stored and assessed, is one of the main challenges that smart cities face. This research helps implement an integrated system for urban accessibility analysis, combining the latest advances in the Information and Communication Technologies, such as RF & GPS positioning, smart sensing and cloud computing. The main goal of this research is to develop a reliable and effective method to assess public space accessibility with special focus on people with disabilities, by eliciting from users personal experiences. Consequently, the data obtained will enable a better design for improving pedestrian mobility. As a result, a computational architecture for urban dynamics analysis has been designed. Finally, technology and data processing have been validated as an effective system for data collection, and, as a first approach to users’ real experience, it has been proposed to have a testing scenario at the University of Alicante,. Keywords: accessibility, computation architecture, inclusive cities, smart cities, smart sensors sustainable cities, technology-aided urban design.

1  INTRODUCTION Despite the improvisations of current urban accessibility regulations and their systematic application in urban systems, it is a fact that our cities are not accessible in many cases. People with disabilities, either temporarily or permanently, are still facing an urban environment that is inaccessible, full of obstacles and indifferent to their daily problems [1]. The level of accessibility of urban public spaces absolutely affects the citizens’ standard of living and limits their possibilities of enhancing relationships and social integration [2]. That is why, both the assessment of effectiveness of urban accessibility and its maintenance over time, are issues that require a more consistent approach. In this regard, Information and Communication Technology – ICT – involved in the smart cities concept has much to offer [3, 4]. The large development of ICT allows us to interact with an urban environment providing a huge amount of data and information about the cities we live in [5]. A key aspect to deal with regard to the tasks of assessment and maintenance, as well as to detect and manage different problems of accessibility, is to have an accurate awareness about the current state of urban accessibility. This real and updated knowledge on This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-357-367


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urban accessibility will help in improving mobility and liveability of cities and, thereby, the quality of life and welfare of all citizens. In this context, the United Nations Convention establishes that states are responsible for formulating continuous assessing and monitoring programmes towards achieving equal opportunities for people with disabilities, developing and disseminating technologies related to disability [6]. This approach represents an important change in the understanding of disability and emphasizes the need to include disability as an objective of relevant strategies for sustainable development [7]. Thus, the European Disability Strategy 2010–2020 [8] is currently being developed within the framework of the Europe 2020 Strategy [9], which focuses on enhancing knowledge and innovation, integration and equality, as major pillars for achieving smart, sustainable and inclusive growth. Thus, smart cities concept can make the most of its human capital [10]. In line with this approach, this research implements an integrated system for the analysis of the urban accessibility by integrating it with the latest advances in ICT, such as RF & GPS positioning, smart sensing and cloud computing. The system proposed is part of the objectives of the European Disability Strategy and exposes the most vulnerable citizens as active participants. In short, the main goal of this research is to develop a methodology to evaluate the accessibility of urban public space from the knowledge of the citizen´s own experience, specially focused on people with disabilities. Consequently, the present work is structured as follows: Section 2 gives an overview of the related work on urban actions and technology used for the analysis of accessibility in cities; Section 3 describes the proposed methodology for improving urban accessibility; Section 4 explains the architecture of the proposed system, based on urban dynamics analysis, and shows the experimentation conducted; and finally, in Section 5, some conclusions are drawn. 2  RELATED WORK 2.1  Urban actions The actions carried out to improve urban accessibility have been greatly influenced by European guidelines. Broadly, the actions undertaken at the national, regional and local levels have been classified in three axes established in the European Disability Strategy, which are: awareness, education and information. However, urban accessibility is an independent matter at the local level. Although national and regional plans have served to define general guidelines and deadlines for action, competent institutions to develop these guidelines and address the specific problems of accessibility have been the city councils at a local level. Theoretically, local accessibility plans have been the most operative instruments. They have been responsible not only for cataloguing the existing barriers in the different municipalities, but also inmaking proposals for their elimination in accordance with current regulations. Increasingly, they are including citizen participation, taking into account social awareness, and have the support of better trained technicians. Nonetheless, the important legal and regulatory progress and the huge effort, both technical and economical, that has led to the development of local plans have not achieved the expected results. In fact, if we look at the example of Spain, substantial differences have not been reached by the municipalities that have had accessibility plans and those that do not have [11]. This makes it necessary and urgent for a review of the methodologies used up until now.

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2.1.1  Limitations of the methodologies employed and requirements for a new method to improve the accessibility of cities Basically, current methods have been applied in certain urban areas in isolation, without giving importance to maintaining their quality over time. The absence of comprehensive mechanisms to evaluate the effective accessibility of the urban environment, as well as monitoring its evolution, is one of the main weaknesses of the current methodologies. The local application of standards of accessibility is now a common practice. However, the evaluation of its effectiveness has not been consolidated as part of the process. Likewise, current methodologies have other serious limitations: (1) Many barriers have been identified but the causes or factors that contribute to these barriers have not been analysed. (2) Neither have the modes of behaviour of the different groups to compare and detect inequalities been contemplated. Current methods have been able to determine and quantify certain isolated problems but have not provided the mechanisms to deal with the diversity of citizens. (3) Only static methodologies are always implemented and, therefore, participatory processes have been integrated only partially. Therefore, they have lacked a global strategy. Thus, a new method to improve the accessibility in cities requires: (1) To move towards proposals with integral features, which are addressed not only to the removal of barriers but also to prevent their occurrence. (2) To provide mechanisms for assessing the current condition of accessibility, as well as monitoring and controling their effectiveness through time. (3) To allow to consolidate the transversal nature of accessibility, and tackle urban and social complexity. (4) To integrate citizen participation into all its mechanisms and processes. (5) To be flexible enough to suit social diversity and nature of the different cities. Although progress is being made towards models based on encouraging mobility, since the first accessibility plans where implemented, further research is still necessary to endow these models the ability to integrate multiple aspects that can affect urban accessibility. Accessibility can no longer be conceived separately. The concept of city itself demands an integrated approach that fits its spatial complexity and the diversity of its inhabitants [1]. 2.2  Technology used for the analysis of accessibility in cities Traditionally, the methods used to obtain information about the status of urban accessibility have been mostly based on surveys [12, 13], interviews [14] and audits or direct observation [15]. Other studies have provided mathematical or statistical analysis of these data [16]. In addition, self-reporting tools have allowed for obtaining information from certain places with the collaboration of users [17]. On the other hand, the evaluation of accessibility of urban environments has been mostly associated with processes for informing citizens about the number of urban opportunities. The higher the number of services, the greater the accessibility of an environment, regardless of the capabilities of the user citizens. These processes have been mainly based on the calculation of close relationships and intensities of use, and they have been primarily supported by Global Positioning Systems technologies – GPS – for positioning and Geographic Information Systems – GIS – for displaying data and spatial analysis. Progressively, the dimension of disability has been taken into account with the introduction of the concepts of absolute and relative access, for measuring time differences in the implementation of specific walks as well as the impact of the elimination of certain obstacles [18, 19]. The main limitations of these technologies have been associated with differences in scale; they have been valid in specific actions but not effective for the urban scale.


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Accessibility must be incorporated into the city becoming an automatism. Thus, at the present time we face a new challenge: to stop proposing additional technology to the existing design and to begin incorporating it as a part of the urban organism. In this way, urban accessibility finds an optimal scene of opportunity in the context of smart cities. The concepts of ubiquitous and smart cities make use of processing technologies, sensing and communications to provide intelligence to the city while offering connectivity resources, power supply and interoperability [20]. These conditions facilitate the deployment of interconnected smart elements that provide services to citizens for efficient decision-making and to make better use of resources [21]. Increasingly, the methods for assessing the aspects that affect the functioning of the city are based on evidence, i.e. the study of the citizens’ behaviours. A good example of this trend is the Information System on the public transport of London [22]. Actually, these participatory processes based on the analysis of urban dynamics are part of a challenging field of research to improve urban accessibility. 2.2.1  Technologies for urban dynamics analysis The most accurate technology to determine the position and deduce the movement is GPS [23], but it only works outdoors and requires the users to allow reporting their position through their devices to a third-party application. In addition, the GPS functionality requires high energy consumption, which means that although it is available on many mobile devices [24], in most cases it is disconnected. Other wireless communication technologies such as Global System for Mobile communication – GSM – or local area wireless computer networking – WIFI – and Worldwide Interoperability for Microwave Access – WiMax –, also have a high penetration rate in modern societies. Although these networks are not designed for tracking purposes, the paths of the connected devices can be calculated from one base station to another [25]. However, the accuracy offered by these technologies may not be enough. Low Energy Bluetooth beacons – BLE – also enable communication with mobile devices [26]. These latest spread systems require low energy but users also ‘have to give permission to access to their mobile devices’ can be rephrased as ‘have to give permission to access their mobile devices. An alternative to the above methods is Radio Frequency Identification technology – RFID – [27, 28]. RFID is increasingly being used in the design of user-centric applications, both indoors and outdoors. Furthermore, RF tags are distributed in several formats, such as prepaid plastic cards, tickets, electronic keys and even clothing labels. Several researches have used this kind of technology for tracking people [29–31]. RFID technology neither requires the cooperation of users nor involves energy costs as that of GPS technology. Nonetheless, its scope is not comparable to GPS, because it depends on the position of the antennas and its scope. The citizen track-and-trace issue is not new as evidenced by the number of researches made. In fact, there is some concern among users and authorities on maintaining the privacy of individuals, due to the large number of devices connected at the users’ hands. 3  PROPOSAL OF A METHODOLOGY FOR IMPROVING URBAN ACCESSIBILITY: OBJECTIVES AND STRATEGIES As it was previously specified, after a period of intense legislative development it is a challenge for modern cities to know whether the protection provided by the regulations on urban accessibility is effective or not; and whether its application guarantees people with disabilities the access to urban environments. In order to address this challenge, methodologies that

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recognize whether the implementation of these regulations meets the everyday needs of people with disabilities are needed. In this regard, the main objective of this research is to design a methodology for assessing the effectiveness of urban accessibility and to monitor its maintenance over time. For this purpose, a system has been designed to measure the real use of public spaces by people with disabilities as well as its evolution. This is an information system about routes, dynamics or patterns of behaviour, which can also be compared with those obtained from people without disabilities. As a result, not only do we have a real knowledge of the participation of people with disabilities in cities, but a mapping of effective accessibility is also obtained. The main functionalities of the system are described below. 3.1  Continuous assessment and monitoring of urban accessibility A proposed system that addresses the assessment and monitoring of urban accessibility according to three levels of approximation: 3.1.1  Identification of ‘accessible’ and ‘inaccessible’ public urban spaces In a first approximation, the system can identify the ‘inaccessible’ urban pathways and spaces that are either infrequently or never walked by people with disabilities; regardless of being or not adapted to a regulation on accessibility. As well, the system can identify the ‘accessible’ urban pathways and spaces that, on the contrary, are frequently chosen by people with disabilities. From this first identification, it is possible to determine the parameters that characterize and qualify, if any, these spaces that are perceived by people with disabilities as ‘accessible’ or ‘inaccessible’ spaces in their daily activities. 3.1.2  ‘Identification of ‘inclusive’ public urban spaces In a second approximation, the system can recognize the ‘inclusive‘spaces that are highlighted as magnificent integration environments in the city. These are spaces where people with and without disabilities converge. Such spaces and their characterization – that is, which elements define these spaces – interest us especially in order to reproduce models that are chosen by all individuals and can be applied in the construction and redevelopment of cities. 3.1.3  Identification of other possible scenes In more specific successive scales, the system can identify many other possible scenes. For example, the existence of urban spaces to which, despite intense activity being developed, people with disabilities can never obtain access; or spaces or urban areas where certain groups associated with a particular form of disability feel especially attracted. Or even accessible spaces that with certain frequency turn into inaccessible or just spaces that have permanently lost their accessibility. These three levels of approximation described are fundamental mechanisms for monitoring and control to ensure continuous assessment and maintenance of effective accessibility in cities. 3.2  Decision-making in prioritizing actions to improve urban accessibility The information recorded in the assessment and maintenance processes also allows addressing a second objective, to support the decision-making to set priorities for improvement actions in


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the public space in the short, medium or long term. A depth analysis not only provides information about the real situation of accessibility but also helps to identify priority elements on which interventions should be carried out because of their influence on the other urban elements and their ability to contribute to improving accessibility in nearby environments. 4  AN INTEGRATED SYSTEM FOR URBAN DYNAMICS ANALYSIS In order to address the assessment of urban accessibility and its maintenance, it is necessary to have an accurate and updated awareness of its current condition. Therefore, the way this information is transformed into specific data is currently a challenge faced by smart cities. In this regard, this research implements an urban accessibility monitoring system based on the urban dynamics analysis, i.e. the study of the movement habits of citizens and the knowledge of their own experience. Specifically, the work is focused on pedestrian mobility, particularly in the most vulnerable group of people with disabilities. As a result, an integrated system has been designed, which covers the following aspects: first, data collection, i.e. obtaining the citizens’ location and experience; secondly, structuring and storage of the information collected; and finally, the collection, comparison and analysis of the flow of citizens’ movement. The overall architecture of the proposed system is shown in Fig. 1 and the design aspects of the system are described in the following sections. 4.1  Method for acquiring citizens’ location and experience The method is based on the research works [32–34] previously carried out by this research group. The different parts are listed in the following text. The acquiring architecture corresponds to the distributed part of the overall architecture of the system. The main objective of this infrastructure is to obtain the locations of citizens when they are moving in indoor and outdoor environments of the city. For this purpose, two complementary technologies are used: (1) GPS positioning technology to take advantage of the wide park of phones and wireless devices that this technology incorporates. In this case, the users´ collaboration, as well as permission to give their location is required. (2) RFID communication technologies to track and trace citizens. These technologies have increasing implementation and many devices can incorporate it. The system is based on the automatic reading of citizens’ locations. It continuously obtains individual locations through both RFID and GPS technologies. The contents of RFID tags or GPS locations are received by the acquisition devices through the ‘Acquisition module’. When a location is received, it is sent to the ‘Optimizer module’ that is responsible for indicating if the data should be stored or discarded for being redundant. If the information is valid, single locations are stored in the local database –‘Persistent module’. The ‘Generating locations message module‘is responsible for monitoring and controlling the optimal number of single locations that are reached to create a message. If so, a location message is created and stored in the local database –‘Persistent module’. When ‘Location message sender‘detects new messages it starts transmitting by connecting to the central system. When the message is sent and stored in the central system, the system returns a message confirming the reception and the original message is finally deleted from the local system. Finally, through the ‘Time synchronization module’the synchronization problem of the system components is solved. In addition, an application for mobile devices has been designed to let users report in real time about their own experience [35]. It is possible to send comments, photos and reports anonymously through it.

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4.2  Method for structuring and analysing urban accessibility information In the central part of the architecture is located the ‘Accessibility middleware‘that enables the separation of the process of receiving and storing location messages from the process of transformation and information processing included in the messages. The analysing architecture implements the urban accessibility information service located in the centralized part of the overall architecture of the system. The urban accessibility information service is supported by the Enterprise Service Bus –ESB – integration infrastructure. The results are shown in two ways: according to the paradigm Business to Customer –B2C –, which allows the interaction of users with the system; and according to the paradigm Business to Business –B2B – that connects consumers with the system using Web services to improve decision-making. Both protocols can define search filters to supervise a specific urban area. When the system receives an information search, it begins the process of inference –‘Inference module’ – consisting of the following steps: (1) citizens’ location information, the‘Persistent module,’ is structured and completed to build movement flows of citizens –‘Citizens’ flow generation module’. (2) ‘Citizens’ flow classification module’analyses the generated routes and creates patterns of behaviour classified by type of disability. To accomplish this, disability types must have been facilitated by people with disabilities –‘Persistent module’. (3) These patterns are processed by the ‘Citizens’ flow comparison module,’which compares the paths of citizens with and without disabilities. In this last step, the final addition is the information of citizens’ experience of the application designed for mobile devices –‘Persistent module’. 4.3  Experimentation 4.3.1  Technology and data processing validation The capabilities of reading technology and data processing have been validated. The design of RFID smart sensor was based on previous researches carried out by this research group [33]. The functionalities to integrate different readings, both RFID and GPS, into the system have been implemented in the cloud using JAVA language. In order to provide data persistence, MySQL community version data base manager has been used. The B2C Presentation

Figure 1:  Overall architecture of the system proposed.


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module has been developed through Web technologies such as CSS, HTML5 and JavaScript using node JS framework. For GPS technology, the position messages are received in the service provider through the Internet. There is no problem with simultaneous readings and they are all processed correctly. 4.3.2  Testing scenario Finally, as a first approach to users’ real experience, a testing scenario at the University of Alicante has been proposed. However, it was preferred to run a pilot project in a controlled environment, like a campus, before offering more diverse contexts. The aim is to show the capacity of the proposed system to detect accessibility problems. The cases studied are all outdoors, so the location data have been collected with GPS devices. From this information, the system provides a range of spatial and temporal visualizations allowing the identification of areas with accessibility problems. To show the results, the service uses a web-based user interface from a third-party application – Google Maps ­JavaScript API v3. Figure 2 shows one of the environments studied: the path from the concierge of the Polytechnic IV building to the concierge of the Optics building (coordinates: 38.38288, −0.51063). The blue line (A) is the route followed by people with disabilities who need a wheelchair, and the green line (B) is the route followed by people without disabilities. The shortest way is not accessible (A-route length: 196 m; B-route length: 66 m). In the same way, Fig. 3 shows a second environment studied: the path from the concierge of the Germán Bernácer building (coordinates: 38.38288, −0.51063) towards one of the parking of the campus. There is a variation of 35 m in length between the (A) route in blue and the (B) route in green. The shortest way is not accessible again. The materials used in the construction of the pathway are not appropriate for easy access of people with disabilities who need a wheelchair. The results shown in Figs 2 and 3 have been obtained by analysing the GPS routes sent to the server through the citizens’ mobile devices. The route that is finally shown is the diagram resulting from the combination of the read routes during a period of time. For the purpose of experimentation, it is necessary to count on the cooperation of students with and without disabilities who voluntarily configure their mobile devices to communicate the paths followed inside the campus to our server. Thus, the privacy issues are also avoided.

Figure 2:  Different routes detected because of problems with movement (1).

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Figure 3:  Different routes detected because of problems with movement (2). 5  CONCLUSIONS In the present work a method has been designed, based on the urban dynamics analysis, which allows the evaluation of the effective accessibility in urban environments and the control of its maintenance over time systematically. The proposed system provides support in making decisions to prioritize improvement actions in public space. It also allows the collection, recording and analysis of spatial data and information about the real state of accessibility. These are all accomplished from the urban operation itself, by including mechanisms to give voice to people with disabilities. The obtained data will enable better design for improving pedestrian mobility in cities. In this sense, a challenge for future works is to develop this integrated system with channels of information and coordination towards different administrations, associations, professionals, technicians and people with disabilities and society in general. ACKNOWLEDGEMENTS We thank the Association for Integration of Mentally Ill in Alicante and Province – AIEM –, and the Association of People with Cerebral Palsy in Alicante – APCA – “Infanta Elena” Centers, for their support as the Observing Promoter of this project. REFERENCES [1] Joujje, I., Countering the Right to the Accessible City: The Perversity of a Consensual Demand. Cities for All: Proposals and Experiences towards the Right to the City, ­Habitat International Coalition: Santiago, pp. 43–56, 2010. [2] Clarke, P., Ailshire, J.A., Bader, M., Morenoff, J.D. & House, J.S., Mobility disability and the urban built environment. American Journal of Epidemiology, 168, pp. 506–513, 2008. [3] Macagnano, E.V., Intelligent urban environments: towards e-inclusion of the disabled and the aged in the design of a sustainable city of the future. A South African example. Proceeding of the 5th International Conference Sustainable City, 2008. [4] Dodgson, M. & Gann, D., Technological innovation and complex systems in cities. Journal of Urban Technology, 18, pp. 101–113, 2011.


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[5] Bohn, J., Coroama, V., Langheinrich, M., Mattern, F. & Rohs, M., Living in a world of smart everyday objects-social, economic, and ethical implications. Human and Ecological Risk Assessment: An International Journal, 10, pp. 763–785, 2004. [6] United Nations, Convention on the Rights of Persons with Disabilities, 2006. [7] Noga, J. & Wolbring, G., An analysis of the united nations conference on sustainable development (rio+20) discourse using an ability expectation lens. Sustainability, 5, pp. 3615–3639, 2013. [8] European Commission, European Disability Strategy 2010–2020: A Renewed Commitment to a Barrier-Free Europe, 2010. [9] European Commission, Europe 2020: A Strategy for Smart, Sustainable and Inclusive Growth, 2010. [10] Cossetta, A. & Palumbo, M., The co-production of social innovation: the case of living lab. Smart City. How to Create Public and Economic Value with High Technology in Urban Space, Springer, pp. 221–236, 2014. [11] Sala, E. & Alonso, F., La Accesibilidad Universal en los Municipios, Institute for Older Persons and Social Services (IMSERSO): Madrid, 2006. [12] Beale, L., Field, K., Briggs, D., Picton, P. & Matthews, H., Mapping for wheelchair users: route navigation in urban spaces. The Cartographic Journal, 43, pp. 68–81, 2006. [13] Inada, Y., Izumi, S., Koga, M. & Matsubara, S., Development of planning support system for welfare urban design - optimal route finding for wheelchair users. Procedia Environmental Sciences, 22, pp. 61–69, 2014. [14] Hashim, A.E., Samikon, S.A., Ismail, F., Kamarudin, H., Mohd Jalil, M.D. & Arrif, N.M., Access and accessibility audit in commercial complex: effectiveness in respect to people with disabilities (PWDs). Procedia - Social and Behavioral Sciences, 50, pp. 452–461, 2012. [15] Mackett, R.L., Achuthan, K. & Titheridge, H., AMELIA: making streets more accessible for people with mobility difficulties. Urban Design International, 13, pp. 81–89, 2008. [16] Church, R.L. & Marston, J.R., Measuring accessibility for people with a disability. Geographical Analysis, 35, pp. 83–96, 2003. [17] Shigeno, K., Borger, S., Gallo, D., Herrmann, R., Molinaro, M., Cardonha, C., Koch, F. & Avegliano, P., Citizen sensing for collaborative construction of accessibility maps. Proceeding of the 10th International Conferencce on Web Accessibility, 2013. [18] Comai, S., Kayange, D., Mangiarotti, R., Matteucci, M., Ugur Yavuz, S. & Valentini, F., Mapping city accessibility: review and analysis. Studies Health Technology and Informatics, 217, pp. 325–331, 2015. [19] Ford, A.C., Barr, S.L., Dawson, R.J. & James, P., Transport accessibility analysis using gis: assessing sustainable transport in London. International Journal of Geo-Information, 4, 2015. [20] Yigitcanlar, T., Empirical approaches in knowledge city research. Expert Systems with Applications, 41(12), pp. 5547–5548, 2014.

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[21] Neirotti, P., Marco, A.D., Cagliano, A.C., Mangano, G. & Scorrano, F., Current trends in smart city initiatives: some stylised facts. Cities, 38, pp. 25–36, 2014. [22] Ferrari, L., Berlingerio, M., Calabrese, F. & Reades, J., Improving the accessibility of urban transportation networks for people with disabilities advances. Transportation Research Part C: Emerging Technologies, 45, pp. 27–40, 2014. [23] Bajaj, R., Ranaweera, S.L. & Agrawal, D.P., GPS: location-tracking technology. Computer, 35(4), pp. 92–94, 2002. [24] Moloo, R.K. & Digumber, V.K., Low-cost mobile GPS tracking solution. Proceeding of the International Conference on Business Computer and Global Information, IEEE, 2011. [25] Zhang Y., Li, L. & Zhang, Y., Research and design of location tracking system used in underground mine based on WiFi technology. Proceeding of the International Forum on Computer Science-Technology and Applications, pp. 25–27, 2009. [26] Gómez, C., Oller, J. & Paradells, J., Overview and evaluation of bluetooth low energy: an emerging low-power wireless technology. Sensors, 12(9), 2012. [27] Chawla, V. & Ha, D.S., An overview of passive RFID. IEEE Communications Magazine, 45(9), pp. 11–17, 2007. [28] Ni, L.M., Zhang, D. & Souryal, M.R., RFID-based localization and tracking technologies. IEEE Wireless Communications, 18(2), pp. 45–51, 2011. [29] Matic, A., Osmani, V. & Mayora, O., RFID-based system for tracking people: ­approaches to tagging demented patients. Ambient Media and Systems, 2nd International. ICST Conference, Springer, pp. 60–65, 2011. [30] Xiong, Z., Song, Z., Scalera, A., Ferrera, E., Sottile, F., Brizzi, P., Tomasi, R. & Spirito, M.A., Hybrid WSN and RFID indoor positioning and tracking system. EURASIP Journal Embedded Systems, 6, 2013. [31] Lin, X., Lu, R., Kwan, D. & Shen, X., REACT: An RFID-based privacy-preserving children tracking scheme for large amusement parks. Computer Networks, 54, 2010. [32] Mora, H., Gil, D., Lopez, J.F.C., Pont, M.T.S., Flexible framework for real-time embedded systems based on mobile cloud computing paradigm. Mobile Information Systems, 2015. [33] Mora-Mora, H., Gilart-Iglesias, V., Gil, D. & Sirvent-Llamas, A., A computational ­architecture based on RFID sensors for traceability in smart cities. Sensors, 15(6), pp. 13591–13626, 2015. [34] Gilart-Iglesias, V., Mora, H., Perez-delHoyo, R. & Garcia-Mayor, C., A computational method based on radio frequency technologies for the analysis of accessibility of disabled people in sustainable cities. Sustainability, 7(11), pp. 14935–14963, 2015. [35] Mora, Higinio. et al. Interactive cloud system for the analysis of accessibility in smart cities. International Journal of Design & Nature and Ecodynamics, 2016.

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ABSTRACT The development of Neighbourhood Sustainability Assessment (NSA) tools has contributed to the ­planning and design of better urban environments. Some of these systems aim to be universal through the use of standards, while paradoxically contributing to the certification of projects in culturally diverse contexts. This practice, however, is inconsistent with the notion of sustainability that advocates for a planning and design process adapted to a specific location. Therefore, this study examines how some national NSA tools adapt or not to other countries’ cultures while using standards as a mean of evaluation. It provides an analysis of four NSA systems, the LEED-ND v2009 rating tool, the HQE-A label, the AQUA Bairro e loteamento label, and HKTS green architecture award, conceived by American, French, Brazilian and Vietnamese organisations, respectively. It examines through the survey and classification of evaluation parameters to which extent an assessment culture is sometime contradictory to the assessment of neighbourhoods developed in other cultural contexts. The study ultimately leads to the characterisation of distinct NSA tools cultural profiles. Finally, it discusses the factors (such as contextual adaptation, planning and design ideology, and green construction market growth) that drive the conception of NSA tool. Keywords: assessment culture, eco-neighbourhood certification, standards, sustainable neighbourhood assessment system, urban sustainability.

1  INTRODUCTION Since the 2000s, Neighbourhood Sustainability Assessment (NSA)tools have increasingly contributed to the certification of projects worldwide [1]. This trend responds to the need of establishing a common framework for future community planning and design, following the release of the 1987 Brundtland report defining the concept of “sustainability” [2, 3]. The present study considers an NSA system as a specific type of impact assessment, which estimates the difference between what would happen if a neighbourhood were built sustainably in comparison to if it were not. NSA tools can also constitute rating systems and are often associated with the delivery of certificates, labels or awards. They can either be applied regionally, or on the contrary, aim to be universal. In the latter case, NSA tools are mainly based on standards, which is contradictory to sustainability principles advocating for a design and planning adapted to a specific local context and culture [4]. So how do these assessment systems that inform the planning and design processes of sustainable neighbourhoods get adapted to a specific context while responding to international norms? What are the evaluation parameters that inform a given NSA culture? And is such an assessment culture consequently adapted to a specific local context? This article addresses these questions first through the historical and cultural explorations of what constitutes the assessment of sustainable neighbourhoods. Second, it presents the

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-368-378

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analysis of four certification systems originating from France, the United States, Brazil and Vietnam. It is based on a systematic survey and characterisation of assessment parameters used by those rating tools. Even though many comparisons of certification systems exist in literature [5–8], it seems that no previous work concentrates on what constitute their cultural specificities. Finally, the article discusses which factors drive the establishment of such ­characteristics, and therefore explains their relative influence on the design of NSA tools at a global scale. 2  HISTORICAL, CULTURAL AND METHODOLOGICAL PERSPECTIVES 2.1  Historical developments The assessment of urban environment is not a recent process. After the 1950s, urban planning practices shifted from the paradigm associated with Patrick Geddes’s survey-analysis-plan to rational planning. Ever since, evaluation was considered as a part of the planning process, leading to the design of many impact assessment tools [9]. The concept of impact assessment relates to a very common form of evaluation used in the context of urban planning, and is largely the product of the last fifty years. In the late 1960s, several environmental crises emerged, especially in the United States, as unrestrained economic development following World War II raised concerns among scholars [10]. However, most industrialized nations addressed these crises, and in 1969, the United States was the first country to enact environmental impact assessments as a mandatory practice for evaluating planning projects. Further developments involved the creation of The International Association for Impact Assessment in 1981 to facilitate communication between scholars involved in the theory and practice of such assessments. The development of similar organisations around the world contributed to the release of several practical evaluation systems over the years [11]. However, the establishment of sustainability assessment tools contributed to a major shift in the field of impact assessments. This new movement rose during the early 1990s, following the global recognition of the sustainable development concept. Sustainability assessment systems then encouraged the planning and design of more socially equal, economically viable and environmentally friendly communities [3]. However, this movement focused first on the building scale. It started when BREEAM, launched in 1990 in the United Kingdom, began to provide guidelines and a set of standards to the construction industry for the design of ­sustainable buildings [12]. The expansion and multiplication of building assessment tools around the world preceded another movement, which leaned towards the evaluation of the intermediate level of neighbourhood. This trend, which began a decade ago, can be explained by two main factors. First, the neighbourhood unit is the minimum scale to take the social, economic and institutional dimensions of sustainability into account. Second, even though the use of NSA tools is a more challenging task, it does not face the problem of socio-spatial heterogeneity that the municipal and metropolitan scales present [13]. 2.2  Standards versus culture: perspectives Consequently, many NSA tools were conceived over the last 10 years, and some of the ­organisations that designed those tools exported them to develop their activities internationally. LEED is for example the world market leader, as it certified 143 neighbourhoods in


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7 countries as of 2015 [14]. To successfully export their assessment model, organisations such as LEED designed those tools based on standards. A standard is considered here as a document that “provides requirements, specifications, guidelines or characteristics that can be used consistently to ensure that materials, products, processes and services are fit for their purpose” [15]. However, the exportation of such NSA tools is paradoxical, as sustainability principles advocate for local design and planning strategies that cannot be “used consistently” all the time. Moreover, sustainable urban practices are comprehended and assessed through culturally specific forms of knowledge, a dimension that remains under-researched today. To successfully design and assess neighbourhoods, it is necessary to understand the cultural reasons that lead to unsustainable urban development. Therefore, NSA tools are here addressed and ­discussed as cultural expressions, as they were designed by different sets of stakeholders from different geographical locations. These stakeholders apprehend space and the practice of sustainable assessment through the lens of the culture in which they have been professionally active. However, they might neglect the importance of their own cultural viewpoint when designing an evaluation model susceptible to being adapted to various contexts. Indeed, organisations such as LEED and BREEAM that export those systems claim to consider all local situations, while still using normative tools to rate projects [4]. Therefore, to achieve an assessment adapted to any regional context, those NSA tools present a mixed structure both based on the use of international standards and on more local and culturally specific evaluation parameters. 2.3  Methodological approach This article explores the structures of several NSA tools through the lens of both standardized and culturally specific evaluation parameters. We confronted four different certification systems: the American LEED-ND v2009 rating system, the French HQE-A rating tool, the Brazilian AQUA-Bairros e loteamento assessment system, and the Vietnamese HKTS Green Project Award. These NSA tools were chosen for the following reasons:

• •

They were all designed and implemented after 2005 by organisations located on four continents, therefore maximising the tools’ cultural differences; They either tend to be exported and used as they are abroad (LEED-ND), or are the product of another NSA tools local adaptation (AQUA-Bairros e loteamento based on the HQE-A rating tool), or present no official lineage with other NSA tools and do not pretend to be exported (HKTS Green Project Award).

The study evaluates the structure of each NSA tools through the survey, characterisation and classification of each parameter involved in the assessment of projects. As all NSA systems consider sustainability as a driver to their certification approach, the first step of the research entailed the classification of their criteria through an assessment grid taking into consideration environmental, social and economic aspects. As environmental parameters were overrepresented, we split the related dimension in two sub-categories: resources and livability. We also established a fifth category that included criteria that could not be classified according to sustainability principles (for instance the degree of project completion or the hiring of a LEED professional).

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Second, we also analysed the nature of each indicator according to the following categories: the evaluation criterion constitutes (1) a standard, (2) is a standard, but includes a contextualized component (e.g. assessment parameters such as “the local population must be included in the design process”), (3) does not respond to the previous (1) and (2) definitions. Third, we classified the characterized assessment parameters in relation to their degree of cultural specificity. These therefore are (1) not culturally specific, as all NSA tools include that criterion in their assessment model, (2) presenting degrees of cultural similarities, as two or three out of the four studied NSA systems share this parameter, (3) cultural singularities, as only one NSA tool uses this indicator to assess projects. Finally, we calculated the percentages representing the number of points allocated to each category when it was statistically relevant. 3  NSA TOOLS CHARACTERISTICS AND TYPES 3.1  Results from the survey Using the above methodology, our study identified several NSA tools profiles when comparing common, partially shared, and culturally specific criteria. First, we identified 10 non-culturally specific parameters common to all NSA systems. These, while representing on average 23% of the criteria used for each assessment tool, only constitute 9.5% of all surveyed parameters. Moreover, the findings demonstrate that most of these common parameters relate to the two environmental sub-categories, which is consistent with previous results presented in literature. These environmental parameters are also the most standardized, especially in the case of the LEED-ND and AQUA rating tools. On the other hand, only three social and economical assessment parameters are common to all rating systems. This result is logical as social and economic parameters only represent 17% and 8%, respectively, of all considered criteria, while also being less standardized. See Table 1 for more details. The second analytical category relates to assessment criteria that are used by two or three NSA tools but not the four of them. As demonstrated in Fig. 1, most of the rating tools present between 29% and 39.6% of partially shared criteria, once again mainly environmental. However, there is an exception to this observation, as both AQUA and HQE-A profiles exceed this range. Indeed, most of their evaluation parameters are similar, even though the HQE-A system presents two criteria that the AQUA tool does not consider. These are the “area of solar panels used per project” and the “proportion of green spaces associated with ecological corridors”. The lineage between both systems is here very clear in terms of parameter selection. However, even though they use the same framework, they do not adopt the same proportion of standards to assess projects. Indeed, while AQUA evaluations are mainly based on norms, it is the opposite for the HQE-A rating tool. When it comes to the proportion of standards used, the LEED-ND and AQUA systems present more standardized parameters than the HQE-A and HKTS tools. Furthermore, when looking in detail, environmental parameters are more normalized than the ones classified in the socio-economical and “Other” categories. The analysis of the standards two sub-categories repartition reveals that those including a contextual component are mainly used to assess parameters related to livability. On the other hand, standards that do not are better considered for evaluating the use of environmental resources. This examination supports observations made earlier for non-culturally specific criteria.


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Table 1: NSA tool common assessment parameters characterisation. LEED-ND HQE-A AQUA HKTS Environment resources

Energy efficiency Water management Waste infrastructure Biodiversity preservastion

● ● ○

Environment livability

Density Access to public transportation Architectural quality Heritage preservation Social mixity Mixed-use environment

● ○ ● ●

Social Economic

● ●

● ● ● ● ○ ●

● Standard ○ Standard with a contextualized component

Figure 1: Characterisation of NSAT degrees of shared assessment parameters.

● ●

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Figure 2: Characterisation of NSAT culturally specific parameters.

The investigation of the last category, related to criteria that represent assessment culture singularities, finalizes the results exposed above. The outcome of our survey is presented in Fig. 2. As the HQE-A and AQUA systems derive from one another, no culturally specific parameters are observed here. However, this is not the case for LEED-ND and HKTS that respectively present 24.5% and 35% of such parameters. Most of the considered indicators are then environmental and classified in the “Other” category. However, when looking more closely at those criteria, a paradox emerges. Indeed, even though those are only used by one NSA tools and consequently categorized as culturally specific, those parameters are not necessarily relevant to the tool’s geographical origin. This fact is clear when looking at the LEED-ND parameters, two of which are “visitability and universal design”, as well as “regional priority credits”. In the first case, the notion of “universal design” contradicts the notion that a culturally specific criterion is inevitably relevant to a given local context. Such a statement is also supported by the case of the “regional priority credits”, which requires a selection of a flexible set of criteria that can be adapted to several regional contexts. However, this observation is not always true, as an indicator adopted by a given assessment culture can also be completely relevant to its related cultural context. For instance, the HKTS system does present culturally specific criteria that are adapted to the Vietnamese context, especially in the field of intangible urban practices and social relationships. 3.2  NSA tools profiles The analysis of the parameter characterisation sheds light on the several strategies NSA tools use to adapt to a given cultural context. Therefore, this study led to the establishment of the following profile types:

• • • •

MSCS: Mostly Standardized, Culturally Specific (LEED-ND); MSNC: Mostly Standardized, Not Culturally specific (AQUA); RSCS: Rarely Standardized, Culturally Specific (HKTS); RSNC: Rarely Standardized, Not Culturally specific (HQE-A).

NSA systems that present an MSCS profile are similar to the LEED-ND rating tool. LEED’s strategy to export their model is based on the use of standards that can be contextual-


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ized. This tool, designed through the lens of the American assessment culture, is used as it is, whether a project is assessed in the United States or abroad. However, as expressed before, the fact such tools are culturally specific does not necessarily imply that the parameters involved to assess projects make it particular to a specific geographical region. The “regional priority credit”, a flexible pool of assessment parameters chosen by the project managers, is then the main factor that contributes to the adaptation of the model to other local contexts and cultures. MSNC profiles, represented here by the AQUA model also adopted a majority of standardized parameters. However, contrary to the one chosen by LEED, these are specifically adapted to the Brazilian context, and consequently constitute an NSA tool that is not meant to be exported. Moreover, these profiles do not necessarily present a specific culture of assessment, as they are the by-products of another country’s assessment tool. Organisations such as HQE, which also tend to export their assessment system, use a different strategy involving NSA tools presenting a RSNC profile. They are not culturally specific when it comes to the selection of parameters involved in the assessment. However, those parameters are mainly not standardized, which allows project managers abroad to apply their own country’s norms to the system criteria, as demonstrated through the AQUA case. In the nation where this model is designed, such as France for HQE-A, the NSA tool has to comply with the country’s norms. However, the project managers have to define themselves higher performance objectives to get certified. Finally systems presenting RSCS profiles such as the HKTS award operate another assessment strategy. The goal of the organisation that designs them is to only assess national projects which, while complying with the country’s norms, have to perform better in terms of sustainability objectives. 4  DRIVING FACTORS This last section concentrates on the significance of NSA tool international developments and framework transfers. How can we understand these trends and demands for neighbourhood assessment? Answers can be found in the combination of the following three factors that apparently drive such a phenomenon: contextual adaptations, urban design and planning ­ideology, and marketing strategies. 4.1  Contextual adaptation Because NSA systems by definition anticipate what would happen if a neighbourhood were built sustainably, they consequently consider the (non sustainable) context in which the project is built. As a sustainable project is defined through its environmental, social and economic dimensions, experts need to consider those aspects when designing a NSA tool for a given context. As we saw, not only do all studied NSA systems put greater emphasis on environmental parameters, but those criteria are also the ones that present the most similarities. Energy ­efficiency, water management, biodiversity preservation and density are some of those equally considered by each assessment culture. However, the way they are evaluated depends on the geographical context in which they are applied. For instance, Brazil is one of the world’s main biodiversity hotspots, and cities such as Rio de Janeiro present high proportions of preserved natural areas [16]. Consequently, the AQUA tool did not consider the criterion “proportion of green spaces associated with ecological corridors” included in the HQE-A

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system, as it is not as relevant to evaluate as it is in French more mineral urban environments. Another example: the AQUA tool does not present the same normative thresholds as LEEDND in terms of heating and energy consumption. The tropical climate of Brazil is indeed not the same as the climate of the United States’ North East for instance. Energy consumption not only depends on climatic and geographical conditions, but it is also linked to socio-economical pressures. As developed countries consume and produce more in terms of GDP, they rely more on devices and urban processes that require more energy than population from developing countries [17]. Furthermore, socio-economical variables can be more complex to evaluate, and sometimes be the source of politically oriented debates when it comes to their interpretation. Consequently, they are less considered by NSA tools, which concentrate more on parameters that relates to the scientific measurement of a given environmental urban ­condition. 4.2  Urban planning and design ideology Planning ideology and education also play a role when coming to the different NSA tools design and deployment strategies analysed earlier. As developed and western countries were historically the first to design impact assessments tools, they are still today orienting the discourse about NSA system design [12]. Out of the 21 most well-known and cited NSA tools in literature, 16 were designed in developed countries, 12 of which are considered as western [5]. NSA systems though developed through the lens of the globally adopted concept of sustainability, are consequently the product of a certain sustainable planning and design ideology coming from developed, Western countries. One explanation could be that those nations have at their disposal the capital, as well as present a more favourable environment for building costly projects than conventional neighbourhoods. However, this article argues that education could play a subtler role. Indeed, the theorisation of sustainability at the scale of the neighbourhood is the result of various movements established by Western scholars since the early 20th century [10]. These experts historically contributed to develop NSA tools, while also spreading knowledge about sustainable neighbourhood design and planning through two main channels. First, by teaching in design, planning and engineering schools, sharing theoretical insights and techniques susceptible to be deployed by future practitioners. Second, through the intervention of the same organisations that designed NSA tools. For instance, the USGBC provides LEED credentials to professionals willing to be involved in the assessment of sustainable projects. It is today the market leader, as 200,500 LEED professionals contribute to the certification of sustainable constructions globally. These professionals are however mostly accredited for projects developed at the building scale. When it comes to neighbourhoods, 211 professionals, mainly architects engineers and urban designers practicing in 21 countries, got their LEED-ND accreditation as of 2016 [18]. Consequently, these practitioners contribute to spread the LEED assessment culture, while working in other cultural contexts. 4.3  Green construction market growth The development of NSA tools responds to the growth of the sustainable construction market worldwide. Few scholarly studies, however, concentrate on the subject, and analyse trends at the architectural scale more than at the scale of the neighbourhood. Moreover, they mainly focus on the environmental aspect of sustainable construction. The World Green Building


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Trends 2016 report, one of the most comprehensive surveys of the global green construction markets to date [19], focuses on this topic. It presents the analysis of the global green construction market evolution, based on the results from a survey sent to respondents in 69 countries. Today, 17% of the construction firms from these nations certify more than 60% of their projects by organisations such as LEED. By 2018, it is estimated that this percentage will double and reach 33%. However, countries with developing markets such as Asia, the MENA region (Middle East/North Africa), Sub-Saharan Africa and South America are the main drivers of this anticipated growth. These are also the regions that do not necessarily dispose of their own NSA tools and are susceptible to using existing tools. Such regions could constitute markets providing new opportunities for organisations that assess projects, as certification fees constitute an important source of their revenue. Furthermore, professionals involved in the assessment of projects respond to factors related to local populations and governmental institutions [12]. Even though the increased cost of building green represents the main obstacle to sustainable construction, recognition by property owners that it is more beneficial for society is critical. The difference between developed and developing countries is important here, as the latter present a lack of public awareness about those questions, which is not necessarily the case in more western mature markets. Finally, environmental regulations suggested by experts and enforced by different national governments globally, pushed construction firms and their clients to call for specialists to help with the assessment process [19]. 5  CONCLUSION The analysis of NSA tools through the lens of standards and cultural specificities demonstrate they inform the planning and design of neighbourhoods adapted to a specific context by using different strategies. An NSA tool can for instance mainly use standards in order to easily export a set of fixed guidelines, to which a set of flexible criteria can eventually be added. Or on the contrary, they can be made up of parameters whose evaluation is more flexible, while making the assessment process more complex for project managers. Moreover, the selection of criteria adopted by NSA tools informs the evolution of several assessment cultures. Most of them appear to originate from a western urban planning and design tradition, which tends today to evolve according to regional actors. Those experts, pushed by government regulations, local population interests and business opportunities, go through the cultural appropriation of a given rating tool. They consequently adapt it to the cultural area in which they practice. However, we need to mention that the design of a culturally specific NSA tool does not necessarily imply that the latter is particular to the same cultural region, as demonstrated in the case of LEED-ND. Consequently, future research needs to expand on those assumptions by analysing other NSA tools, as well as the sustainable neighbourhood projects they evaluate. Knowing that most of those tools are still designed in western developed countries, it is worth asking what will be the future trends in terms of NSA tool development. Several possibilities appear. One is that western NSA tools will probably be exported toward developing markets, therefore restraining the diversification of assessment systems and cultures. The other option is that developing countries will develop their own NSA system, therefore expanding their number and evaluation cultures. The question that comes next is: according to which different intellectual processes and strategies? Will those new tools derive directly from others such as the AQUA/HQE-A case? To which degree will they get inspired from existing tools, or present innovative approach to neighbourhood assessment? Research should then inquire

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into how those dynamics will contribute to the construction of more sustainable environments. Beyond establishing cultural profiles, our article questions the assessment of sustainability as a practice susceptible to be exported in other countries. Indeed, the American sustainable neighbourhood model of today might contribute to the construction of the unsustainable Asian or African neighbourhoods of tomorrow. Moreover, the standards and concepts contributing to the design of a given NSA tool not only will have to be contextually adapted, but also to evolve over time. These adaptations and evolutions require the upgrade of these tools by culturally diverse experts who will have to consider practices that go beyond the ones promoted by rating systems. ACKNOWLEDGEMENTS This study was supported by a grant from the Palladio Foundation (France). REFERENCES [1] Komeily, A. & Srinivasan, R.S., A need for balanced approach toneighborhood sustainability assessments: a critical review and analysis. Sustainable Cities and Society, 18, pp. 32–43, 2015. [2] Brundtland, G.H., Report of the world commission on environment and development “Our common future”, United Nations, 1987. [3] Jabareen,Y.R., Sustainable urban forms their typologies,models, and concepts. Journal of Planning Education and Research, 26(1), pp. 38–52, 2006. [4] Kyrkou, D., Taylor, M., Pelsmakers, S. & Karthaus, R., Urban sustainability assessment systems: how appropriate are global sustainability assessment systems. Preceeding Of the 27th Conference on Passive and Low Energy Architecture, Louvain-la-Neuve Belgium, PLEA 2011. [5] Bond, A.J., Morrison-Saunders, A. & Howitt, R., Sustainability Assessment: Pluralism, Practice and Progress, Routledge, 2012. [6] Sharifi, A. & Murayama, A., A critical review of seven selected neighborhood sustainability assessment tools. Environmental Impact Assessment Review, 38, pp. 73–87, 2013. [7] Reith, A. & Orova. M., Do green neighbourhood ratings cover sustainability? Ecological Indicators, 48, pp. 660–672, 2015. [8] Wangel, J.,Wallhagen, M., Malmqvist, T. & Finnveden, G., Certification systems for sustainable neighbourhoods: what do they really certify? Environmental Impact Assessment Review, 56, pp.200–213, 2016. [9] Oliveira, V. & Pinho, P., Evaluation in urban planning: advances and prospects. Journal of Planning Literature, 24(4), pp. 343–361, 2010. [10] Sharifi, A., From garden city to eco-urbanism: the quest for sustainable neighborhood development. Sustainable Cities and Society, 20, pp. 1–16, 2016.


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[11] Glasson, J., Therivel, R. & Chadwick, A., Introduction to Environmental Impact Assessment, Routledge, 2013. [12] Sharifi, A., Sustainability at the Neighborhood Level: Assessment Tools and the Pursuit of Sustainability, Diss. Nagoya University, 2013. [13] Berardi, U., Beyond sustainability assessment systems: upgrading topics by enlarging the scale of assessment. International Journal of Sustainable Building Technology and Urban Development, 2(4), pp. 276–282, 2011. [14] United States Green Building Council (USGBC), Directory: project, available at http:// [15] ISO, Standards, available at [16] Giulietti, A., Harley, R.M., De Queiroz, L.P., Wanderley, M.G.L. & Van Den Berg, C., Biodiversity and conservation of plants in Brazil. Conservation Biology,19(3), pp. 632–639, 2005. [17] Asafu-Adjaye, J., The relationship between energy consumption, energy prices and economic growth: time series evidence from asian developing countries. Energy ­Economics, 22(6), pp. 615–625, 2000. [18] United States Green Building Council (USGBC), Directory: people, available at http:// [19] Buckley, B. & Logan, K.,World Green Building Trends 2016: Developing Markets ­Accelerate Global Green Growth, Dodge Data & Analytics: Bedford Massachusetts, 2016.

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ABSTRACT Rethinking the way to distribute goods and services in the view of the Rights of the City and the Transfer of Development Rights requires the analysis of the original premise of equivalency values and rights at Transfer of Development Rights (TDR), as well as how cities that adopt urban plans as rule have reached this role. The right to build through the principle of equivalence values serves as an appropriate guide for the rights to build transacted. That is this equivalence is based on the importance of equalizing the values per square meter between the sending and receiving zones. The main objective of this paper is to demonstrate what parameter values should be considered in the transaction of TDR and how this contributes to the rights of the city. Specifically, this work aims to understand which methods of values should be considered in land management and to demonstrate the impact of inequality in the distribution of goods and services in unplanned urban areas in the face of such a transfer, taking as a case study of city of Natal, Brazil. The methodology follows the qualitative method based through bibliographical documents, legislative revisions and quantitative data from Natal. As a result, problems arise around the differences in values between the prices in urban land management in the various areas of the city. Working with equivalence criteria with TDR is an arduous task for many cities, whether in Brazil and abroad. Keywords: development, environment, floor area ratio, land management, quality of life, right to the city, technology, transferable of development right, urban strategies.

1  INTRODUCTION Among the multiplicities of urban space, to understand the interaction between urban law and regional urban planning in the current social context makes us rethink urban planning regulations, especially in the use of Property Law in relation to urban space management. The regulations of Urban Law, until now, are advancing toward a greater and better understanding of the Social Function of the Property and not just the property as an economic asset. With this, what was once seen as an exclusive right (and almost ‘sacred’) evolved to incorporate this social role, i.e. implementing social interests. One of the urban instruments of this new phase is called the Transfer of Development Rights – or TDR, thus becoming one of the answers to such regulations incorporated into urban planning. In this sense, there is still a field of study and research that aims not only to explain this instrument, but especially to expand its assessment in order to signal the effectiveness in the light of urban management. The TDR is a tool that is being used in several cities in Brazil and abroad, as a way to expand the capacity for public investment without necessarily invoking the powers of expropriation, i.e. without financially burdening the public purse. The basis of the concept is the disruption of the right to build on a portion of private or public land combined with a ­guarantee

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-379-387


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to the owner to the use of building potential elsewhere – a sort of financial and economic compensation. Thereby, the TDR rejects the traditional assumption that property means full mastery of private land. Instead, the concept is based on the idea that property is only a ‘bundle of rights’ that is not necessarily tied to a unique piece of property. As a result of this transfer of values and rights, the municipality can place restrictions on land use by the owner in preference of public interest projects, as long as established at urban legislations and specific zoning areas. The goals will be achieved in the chapters of this paper, firstly structured in the importance of recognizing the Transfer of Development Rights and conceptual issues. The second part is based on the principle of equivalence values in TDR, bringing understanding the assessment methods of property in Brazil and what should be considered in the search for sustainable cities and social justice, and finally, it will show the case study of Natal. 2  THE TRANSFER OF DEVELOPMENT RIGHT: CONCEPTUAL ISSUES In urban terms, in North American cities since the 1970s, the Transfer of Development Rights has been used to compensate the land transformation of rural to urban (loss of agricultural potential), or in highway projects and in the preservation of historic buildings. These more or less complex models depend on the state to practice transfer in the US, but most relativize the transfer by weightings in price per square meter of the land or allowed number of real estate buildings. [5] In its features, the TDR instrument allows the owner of a particular property (land or building) to donate or dispose in part or in whole of the potential levied on their property, and bind this property to a social order. When such public purpose cannot be achieved at the site, the government allows their transfer to another part of town as compensation for this owner. In these cases there is an interlocutory transfer – the same owner exercises the right to build in another location, and intersubjective transfer – the owner disposes of another or donates to another constructive potential incident in their property. So the original purpose of the instrument was possible with the preservation of historical and environmental areas. In Brazil, some municipalities – before the City Statute (Federal Law 10,257/2001) – have inserted the TDR in its legislation, such as Natal and Porto Alegre in 1994 and Belo Horizonte in 1996. 3  THE PRIVATE’S PROPERTY VALUE AND THE PRINCIPLE OF EQUIVALENCE VALUES IN TDR The construction potential boundary is related to the basic floor area ratio, whose limit may also be a denominated natural area. With this, the urban property owner (private or public) needs a higher limit to build their property. There may be an additional right to build, which belongs to the government. Because of this extension is going to appear adrift space (air rights) with a limit denominated maximum floor area ratio. On closer examination, realizing that the natural area is intrinsically linked to the property, the right to build above the basic limit belongs to society. However, there are parameters imposed by Brazilian law, for example, the city statute establishes in article 28, paragraph 3 is not enough respect to the limit of maximum floor area ratio, within this extension to the right to build, it must be taken into consideration the available infrastructure to support urban density that the use of adrift space provokes. Insofar as the level of the basic land use has the premise of an equalization of rights according to the letter of Embu, one must search for just distribution of burdens and benefits generated by the urbanization. This principle is buoyed by the general guidelines by the Law

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10.257/2001. In contrast, the ceiling occasioned by the result of adrift space is conditional on the carrying capacity and density of a certain area or delimited area in order to protect environmental, cultural, and historical assets of the city landscape. In fact, the interest of the private sector emerges as the key factor from the moment that the marketing of adrift space occurs and the value of real estate, which is in ‘game’ over the passing of constructive potential. Doubts persist, even for applicators of the instrument, how to get the desired calculation and it does not generate an imbalance in the distribution between public and private sectors. With this, assuming that rethinking the way to distribute goods and services to the rights of the city from TDR also requires analysis of the original premise based on the equalization of values in TDR, in how the Brazilian cities that adopt the master plan and urban development rule has reached this role. The right to build through the principle of equivalence values serves as a guide for amount of the property transacted. That is, this equivalence is based on the importance of equalizing the values per square meter between the sending and receive area. Problems arise around the differences in values between the urban land prices in different regions of the city. To work with equivalence criteria in the transaction of the right to build, it is a difficult task for many Brazilian cities. This is because the misapplication of the urban instrument in question provokes benefits and burdens of urban goods and services to some over others. With these initial fundamentals, the City Statute and several master plans in Brazil provide the principle of equivalence values in order to avoid reducing the significant value and disproportionate increase in the transfer of the right to build where the value per square meter is high and low. Hypothetically, assume that, at the origin of the indexes to be transferred, the land is worth 100 value units per square meter and that one wants to take them to a region where the value is 200 value units per square meter. Admittedly even if any developer wants to transfer the rates of 100 square meters (affected area that suffered the operation). If there was no adjustment, the right would be acquired for 10,000 value units ($100 × 100 square meter) and could be materialized at a value of 20,000 units value ($ 200 × 100 square meter) an unjustified wealth increment. In equivalence, the land of origin suffers applying a coefficient of 0.5 that adjusts the final value. It turns out that the source of 100 square meter are multiplied by the equivalence factor, i.e. 100 square meter × 0.5 = 50 square meter and can be materialized in the destination without any increment value. Then 50 square meter × $ 200 = $10,000 at destination = $10,000 paid at the origin. [11] Differently, in the city of Belo Horizonte, Decree n. 9.616 of 1998 regulates the instrument of TDR and provides the equivalence between values per square meter of the sending and received property and it should be based on the Square Meter Values Plant of Land and through the tax laws. [8] Later this decree was repealed by Decree n. 15.254 of 04 July 2013 and in regard to equivalency values are laid down in Article 4 that in cases where the basic floor area ratio differ according to the category of use liable to installation in the property, the higher value of the urban parameter as a reference for the calculation of TDR will be adopted. [9] From this viewpoint it is interesting to notice that in Belo Horizonte City has as reference the permeable area and does not use the basic floor area ratio of higher value in order to balance the amount to be transferred. This means that there is the lack of a parameter to establish a balance of values through indicators in TDR in Brazil, taking controversial points.


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In this sense, a related question for discussion is how to evaluate the right to build as part of any development plan of TDR? The purpose of this text does not involve an attempt to estimate or calibrate these values; this is largely a moot point. The value of sales to be adopted is a controversial topic: some argue for the use of more generic indicators, such as the market value of property or a percentage of this value in order to facilitate this procedure. Others conclude that the adoption of general criteria can lead to a decrease in sales value since the market values are admittedly lower than those charged by the real estate market, defending an analysis in each case. Others still intend to achieve general criteria from values practiced by the real estate market, but this stumbles, with the specific differences of each property, as well as the need for a permanent and responsive monitoring of the functioning of this market. Regardless of the adopted criteria, this must be established in a clear and transparent manner in the plan, leaving no scope for negotiation. [10] In Brazil, there are several methods; however, what is the best method that should be considered in property value when applying the TDR? Could we consider a single method in TDR in different zoning? The Brazilian Association of Technical Standards (ABNT) by NBR 14653-2: 2004 provides for the evaluation of urban property presenting two methods and their various subdivisions, namely, methods to identify the value of an asset, its fruits and rights (direct comparative method of market data, involution method, the income method, evolutionary method) and methods for the cost of a property (method of quantification of cost and direct comparative cost method). [1] Direct comparative method of market data identifies the market value of the property by means of technical criteria applied to attributes of comparable elements that comprise a given sample. While the involution method identifies the market value of the asset, based on its efficient use, based on a study model of technical and economic feasibility, through hypothetical compatible undertaking with the property’s characteristics and the market conditions in which it is inserted, feasible scenarios for the implementation and commercialization of the product must be considered. The evolutionary method identifies the value of the asset by the sum of the values of its components. If the intent is to determine the market value, the market factor should be considered. The method of income capitalization identifies the value of the asset, based on capitalization present, and its expected net income, considering feasible scenarios. The methods to identify cost use the direct comparative cost method that identifies the cost of goods by means of technical criteria applied to attributes of comparable elements that comprise a given sample and the cost quantification method that identifies the cost of a property or parts through synthetic or analytical budgets based on the quantity of services and respective direct and indirect costs. Of all of these, the most common method in the Brazilian real estate market is the comparative model; the method is considered more generic. However, when it used in urban instruments of land regulation, such as the TDR, differences arise about how to apply these methods, especially when we recognize that the universe of urban planning law has several peculiarities. In this sense, factors relating to the nature of the property, the purpose of the TDR, availability, quality and quantity of information collected on the market in different zoning in the production and reproduction of the city, shows us that is not possible, in principle, to adopt a general theory. This is because, like many cities in the world, each city has its own features in relation to the forms of urban development. In Brazil, every city space is marked by its economic

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heterogeneity, social and legal, which means that this urban contrast causes growth gaps and supply of goods and services to citizens, i.e. cities are fragmented, poor, unequal and segregated. In fact, to elucidate the principles and methods of property valuation for urban properties in general and in relation to the TDR, it also seems clear that the involution method tends to be the most suitable for use, whether in private or public property. Some residual deductive factors, to consider as essential in the transfer of the right to build, are: (a) the receiving area will be based on its efficient use, based on a study model of technical and economic feasibility; (b) upon hypothetical compatible undertaking with the right characteristics and the market conditions in which it is inserted; (c) considering the viable scenarios for running and marketing the product. (d) At transaction of urbanized areas through real estate development, this method establishes the maximum permissible price of land transaction. According to Pedro Jorgensen every, TDR assumes, there is batches of origin and batches of building potential destination. The batch of origin is the object of public action. In the destination batch, it is the action for its implementation [7]. Evaluation of the TDR must keep compatibility with the characteristics of the area sending and receiving and local market conditions. These requirements can be applied by the involutive method and thus be regarded as the virtual ground method (hypothetical) valid in the application TDR [6]. Therefore, determining the TDR value affects both the portion size of the receiving area or sending, as the use of land that is intended to be preserved (undeveloped), the distance between the two areas (donor-recipient), the availability of right to use (shortage), the appropriate value of property in the receiving area and the definition of the amount of the TDR to be created in the real estate market is also related to the carrying capacity of the receiving area and the future benefits the owner to transfer will receive for transferring their right to urbanize. Thus, the most appropriate price in TDR will be in the amount of equal distribution these rights and values. According to Mauricio Garcia, the United States of America (USA) presents itself as one of the propellant countries in the operationalization of the transfer of development rights, mainly in establishing simple evaluative methods based on specialists. [4] The examples are academic exercises in various parts of the United States by renowned experts. The first in North Kingstown, Rhode Island, in Washington County; the method used for valuation of TDR is premised on the expected density equal to the potential of the area to urbanize between the ratio of the amount of land for commercial and industrial uses. The second case deals with parameters used by Professor David Mills, from New York City, one of the first to analyze the TDR on theoretical models in 1980. The method applied in this urban instrument, in his understanding, should be optimization, i.e. analyze the redistributive effects of the benefits of TDR, as well as the effects on administrative costs. For Mills it is still possible to work with alternative forms of zoning. The third example is based on the authors Peter Gordon and James Elliot Moore, both professors at the University of Southern California, Los Angeles, which support the thesis that through the general equilibrium method, you can determine the value of TDR, considering, among other variables of interest, the value of productive activities externalities, transport costs, and the distance between the receiving and sending zone. Interestingly, Gordon and Moore suggest that values in the conservation area (sending zone) may be smaller than the values assigned to externalities (receiving area). Therefore, the


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ideal solution to the maximization problem can have a double value for the price of TDR and its value and can help mitigate the extraordinary gains and externalities. The fourth example with the methods of assessments in TDR refers to studies of Theodore Panayotou that part of an environmental analysis of the instrument should consider the areas of environmental protection. He proposed a biodiversity conservation tax on income and land ownership, combining them with an explicit goal: to finance the conservation of biodiversity in the tropics. It is noted that this model assumes that the owner is willing to pay. The fifth example includes the contributions of Cynthia Nickerson and Lori Lynch, both are professors at the University of Maryland. They address the TDR from the optimization and probability methods, i.e. estimated selling prices as well as a number of scenarios are simulated by restricting the constructive potential of the parcels that are not allowed to be used for conservation. The estimates obtained with this model show that prices from TDR may be low in the medium term, which is influenced by the voluntary nature of the urban instrument. Within these analyzes it is possible to analyze the economic purpose that the transfer of development right has had and rethink the method to determine the value of TDR. The market value in this way, unlike the methods outlined above based on NBR 14653-2, follows subjectivity levels, mainly the deductive residual (involutive) method; by economic theory, TDR assumes an objective value, i.e. the price most likely it could be obtained within a reasonable time (usually represents the expectations of those involved in TDR). On the other hand, when law regulates the TDR to grant this right, it establishes a value of such a similar market in which it is expected that the value of property in this transfer corresponds to equal rights to the value of the right to urbanize in the receiving area, within an expected value that does not cause disequilibrium and disproportion in transferability of the constructive potential. [3] When evaluating the property with rights of TDR or any of the components separately, the evaluator must understand the TDR concept, have a determination that it is real or personal property, understand the principles of applicable assessment, have local knowledge of the functioning of TDR, and apply realistic valuation techniques that reflect the market value. Thus, the market value in Brazilian regulation is an estimated value of an asset and should match the expected value with the TDR to the receiving area. Here there is a particularity of the urban instrument in question that refers to the right to build to be transferred corresponding to the expectations of the local urbanization. I.e. the equalization of values in the application of TDR are of importance so that there are not imbalances in the distribution of burdens and benefits. Research in Florida indicates that the market value of TDR does not necessarily reflect the value of the predominant land at the sending or receiving area of constructive potential. Moreover, there is the possibility that partial interest can leave a property with the same highest and best use and the same market value that it had before the TDR. [3] So the comparative method of market data does not seem to be the most ideal to use in TDR, given that this method assumes that sending and receiving areas must have compatible elements, or similar features and the Brazilian experience shows the operation of the TDR has different impacts in different areas, assigning values differently, according to the economic use. 4  THE CASE STUDY OF NATAL, BRAZIL From the previous readings, we can realize that the principle of equivalence values in TDR takes a redistributive way, in which the focus is to promote a redistribution of rights to build

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between those owners according to local criteria, to ensure equitable way to distribute this form wealth. From the data provided by SEMURB (Environment and Urbanism Department), it was observed that the building potential to be transferred into five administrative proceedings in the city of Natal - between 2008 and 2011 - was 617,712.23 square meters and of this total a single field represented 80.81% (449,168.03 square meters), localized in the ZPA (Environmental Protection Area) 01, whose authorization has not generated further transfers. The rest of the building potential was ceded land in the neighborhood of Capim Macio (80539.00 square meters), involving three owners, and Ponta Negra neighborhood (38,005.20 square meters) in a single part of the land, localized in the ZPA (Environmental Protection Area) 05, the latter with transfers already processed. Twelve transfers were authorized for a total of 69,205.20 square meters (remaining balance of 548,507.00 square meters) to the neighborhood of Capim Macio (66453.11 square meters), Tirol (572.09 square meters) and Lagoa Nova (2,180.00 square meters), namely Capim Macio was responsible for sending and receiving 96.02% of the building potential transacted (authorized and transferred) from 2008 to 2011 in Natal. Importantly, the Capim Macio neighborhood does not have ZPAs (Environmental Protection Area), even in the compacting zone, and the reason for such transfers was based on the interest of the Municipality by land on which occurs drainage projects, with construction catchment ponds. Whereas at the three parcels of land donated in Capim Macio, it is observed that the gross floor areas of the same amounts to the total 31976.33 square meters while the area allowed to be transferred was 80539.00 square meters, i.e. a coefficient was applied the use of the average for the three land, 2.56. Thereby, creating more adrift space (air rights). Otherwise, the neighborhood of Capim Macio is not a compacted zoning, according to local legislation, which does not permits the application of the coefficient above the basic (that is 1.2 since the Municipal Law n. 082 of 2007 – Direct Plan). What would be the criteria of potential for increasing in a Term or administrative Protocol? To resolve such doubt, it was necessary to observe the documentation provided by SEMURB to this case study, in the form of “Terms of expropriation agreement” still open in 2008. The documents are similar in their approach and understanding of the potential transfer, reaching values always above the basic land area by as much a coefficient of 1.8 (in one of them the public prosecutor recommended a decrease to 1.2), due to the acquired owner right, plus an additional constructive potential for possible commercialization loss of building potential, and further order (in percentage) as compensation for the loss of monetary value, i.e. there is a ‘cascade’ of building potential that falls on the transferors land, expanding its basic potential, even in a non-compacting neighborhood. The five documents provided are a few variations of this modus operandi adopted by the Municipality of Natal in the processes involving the TDR. In terms of economic compensation, three of the five cases involve – in addition to the authorization of TDR – additional payment of money (in the form of damages), only one of them involves the building potential (although with 1.8 of basic floor area ratio) and the other with a coefficient (1.2 of basic floor area ratio). The resources totaled public payment of 3,074,216.97 Brazilian money. Still, considering the owners of the three lands that have received potential and compensation in money, if they were to sell the total square meters for others, paying market value (as


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established in the Agreement of Terms) - around R$ 480.00 in Capim Macio. This would represent an additional gain of R$ 38,658,720.00 as well as the compensation of money already contained in the agreements. Now, the TDR itself is the legal way to compensate for possible losses, needing no other financial compensation and if there is any, it should be a discount on the total transferred and not sum the two values. Finally, we believe that building potentials transacted (authorized and transferred) with permission from the Municipality of Natal are not consistent with the best expected effectiveness of the instrument expressed in the City Statute and the Direct Plan by the Law n. 082/07 by act to override damages in money above the basic coefficients in non-compacting areas and the absence of specific legislation to authorize it. 5  CONCLUSIONS The approach of TDR in Brazil does not consider the broader question of equity of consumers in a built area. Instead, the traditional value method passively accepts the transfer of wealth from consumers to the owners and holders of the right to build and deals only with aspects of redistribution of control of land use within these narrow limits. [2] One of the central issues in the application of TDR refers to the need to equalize values between the property that sends the potential and the one that receives. If such equivalence is not occurring or is not established in the formula, the built area increases the transacted value, depending on the difference of property localization. The formulas of TDR in several master plans and local laws in Brazil bring reference to the relationship VTC/VTR (ratio between sending and receive area). In fact, one of the solutions to these problems is recommended to use the equivalence method of hypothetical values of consideration regarding land located both in areas directly benefited by the sending area as the receiving areas, using the criterion of virtual ground; both should be developed based on research of average values for land in the region. This method has been working in this paper as involutive method, in which one gets the residual value of the land by deducting from the sales price expected construction costs, financial and profit. It is recommended to use preferably the Real Estate Transfer Tax (ITBI) as a reference market value. ITBI is charged using rate on the financial transaction at the time of sale based on assessment of market value. The difference for the Municipal Property Tax, in this case, is the largest capacities in ITBI update the values per neighborhood, extracted by the current amount (daily) transactions that should feed the database of City Hall. As a another propose, cities working with TDR could establish, for example, CI = ((AT/AR) −0.01)*AR, being IC – correction index, AT– ratio between transferor and basic floor area ratio, and AR – potential area to be transferred. Another possibility is that the specific Law of TDR indicates an equivalence value table created from parameterization between ITBI values for real estate area. Generally, the transferor value is less than the receiver area due to the lowering of assessed value and the impossibility of extra edificability of property. However, there are cases where the transferors still have assessed value greater than the receiver, for example, as occurred in the case of the buildings in Capim Macio in Natal. Finally yet importantly, as another result, problems arise around the differences in values between the prices in urban land management in the various areas of the city, such as the case of Natal. Working with equivalence criteria with TDR is an arduous task for many cities, whether in Brazil and abroad.

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REFERENCES [1] Associação Brasileira de Normas Técnicas., NBR 14653-2:2004: Avaliação de bens Parte 2: Imóveis urbanos. Rio de Janeiro: ABNT. pp. 9–15, 2004. [2] Berry, D. & Steiker, G., An economic analysis of transferable development rights. Natural Resources Journal, 74, 1977. [3] Danner, J.C., TDR’s—great idea but questionable value, The Appraisal Journal; Chicago, 1997. [4] Garcia, M.L., Análisis Económico Legal de los Permisos Transferibles de Desarrollo. Secretaría de Medio Ambiente y Recursos Naturales. Fevereiro, 2003. [5] Grau, E.R., Direito Urbano. São Paulo, RT, 1983. [6] Jorgensen, P.A., Transferência do Direito de Construir vista dos lotes de destino: apenas uma modalidade de aplicação dos recursos da outorga onerosa. Disponível em, available at (acesso em 10 de dezembro de, 2015). [7] Jorgensen, Pedro. O Zoneamento Inclusivo e a Outorga Onerosa do Direito de Construir. Disponível em available at Acesso em 10 de dezembro de, 2015. [8] PREFEITURA DE BELO HORIZONTE, Decreto n.º 9.616 de, 1998. [9] PREFEITURA DE BELO HORIZONTE, Decreto nº 15.254, de 04 de julho de, 2013. [10] Rolnik, R., Outorga Onerosa e Transferência do Direito de Construir. Estatuto da Cidade e Reforma Urbana: Novas Perspectivas para as Cidades Brasileiras/ Organizadora Letícia Marques Osorio. Porto Alegre: Sergio Antônio Fabris Editor, p. 209 e 210, 2002. [11] Uzon, N.C., Lincoln Institute of Land Policy. Transferência do Direito de Construir: A Experiência de Porto Alegre, Brasil, Cambridge, 2013.

C. Cellucci & M. Di Sivo, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017) 388–394

SHAREABLE CITY, REGENERATED BY MAKING C. CELLUCCI & M. DI SIVO Department of Architecture, G.D’Annunzio University, Chieti-Pescara, Italy.

ABSTRACT Today, most theories on the regeneration of the territory and the built environment are based on the paradigm of scarcity, i.e. the conviction that all the resources already exist, and are scarce, and that the choices only concern how to allocate said resources. The same word – economy – comes from the Greek word οικονομία, which doesn’t only contain the ‘management of a house or a household’, but also a sense of ‘parsimony’. The sociologist and philosopher Feyerabend adopts a very different approach with his theory on the ‘Conquest of Abundance’, in which he suggests that individuals ‘conquer’ abundance and manage such abundance with others, through the creation of production strategies based on principles of cooperation among the various players of the process, on the willingness of all involved parties to implement virtuous cooperation in the organisation of local construction chains. According to this theory, there is no separation between producers and consumers anymore, but today we talk about Prosumer, citizens become responsible for the space they live in and organise to ‘make’ the space in the first person. The paper identifies some useful paradigms to guide the methodological and operating choices in the regeneration processes based on the creative skills of the inhabitants. Keywords: abundance, col‌lective intelligence, prosumer, resilience, sharing economy.

1  INTRODUCTION For most part of history, the transformation of the environment was an integral part of people’s lives, the inhabitants were in contact with each other and the knowledge of the community life, its culture and its territory made them all ‘designers’ and able to understand the meanings of building in all respects. Today the inclination for homologation in the transformation of the territory results in urban interventions being performed by parties that are not part of the community for which the design is being made, as a consequence the true needs of the inhabitants, as well as the sense of community and belonging that are essential in the creation of a sustainable and resilient city, are often unspoken. After all, urban life is constantly evolving, and so are the needs and use of the common property of its inhabitants. Community spaces, which used to be made up of parks, libraries, markets and schools, funded and managed with public funding, evolve toward forms of organisation that still promote the community identity, the cultural expression, the learning, and a feeling of belonging, but they do so through a new management model. Such a model does not burden public budgets, but is based on the principles of active community participation and the coordination of multi-disciplinary groups. The main approaches to the management of a territory and its resources are analysed below in order to define the main paradigms of the participated regenerative process.

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-388-394

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2  FROM SUSTAINABILITY TO RESILIENCE – FROM SCARCITY TO ABUNDANCE In a matter of a few years we have moved from the age in which everything was labelled as ‘sustainable’ to an age whose main concept is ‘resilience’. At the base of sustainability, there’s the idea to strike a balance, through an effective management and control of change – according to a ‘fail-safe’ mind-set. The more recent thinking about resilience on the contrary comes from the idea that many systems, including cities, are ‘safe to fail’ systems and tackles uncertainty through adaptability, which allows the system to suffer a shock and/or perturbation without causing significant alterations in its functional organisation [1]. Where sustainability aims at balancing the world, resilience searches ways to manage an unbalanced world. The dichotomy between sustainability and resilience refers to another dichotomy between the two approaches to the management of the planet’s resources: Scarcity and abundance. Achterhuis [2] suggests that in the western world humankind confronts itself with ‘abundance’, but experiments the opposite: There’s opulence of abundance, but at the same time the discomfort of scarcity. He refers to a feeling that ‘it is never enough’, the choices are so many that we are immersed in a permanent feeling of scarcity. Thinking in terms of ‘scarcity’ and ‘abundance’ may be considered as a continuum with two extremes. These are made up of two contradictory paradigms on the natural distribution of (tangible and intangible) resources on earth. Scarcity is based on the principle that all resources already exist, and are scarce, and that the choices concern how to allocate them in order to strike a balance. Such an approach refers to sustainable development theories, according to which the current needs of users can be met without compromising the possibilities for enjoyment of future generations. It is clear that, today, the interaction of humankind and territory is based on the paradigm of ‘scarcity’ which has fed the sustainable development theories, the same word – economy – comes from the Greek word οικονομία, which doesn’t only contain the ‘management of a house or a household’, but also a sense of ‘parsimony’. Feyerabend [3] adopts a very different approach with his theory on the ‘Conquest of Abundance’, in which he suggests that individuals ‘conquer abundance’ and manage it with others, through the creation of organisations. The concept of ‘abundance’ refers to the unlimited availability of possibilities, by which all the current needs of people can be met, through the creation of production strategies based on cooperation principles among the various players of the process [4], on the willingness of all the involved parties to implement virtuous cooperation in the organisation of local Table 1:  A vocabulary of scarcity – sustainability and abundance – resilience.




Scarcity – sustainability

Abundance – resilience

Structured Fear Control Closed Fact Quantity Output Position Clearly defined

Unstructured Vision Curious Open Experience Quality Outcome Possibility Endless


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construction chains [5]. According to this theory the separation between producers and consumers does not exist anymore, but today we talk about Prosumer, citizens become responsible for the space they live in, and organise to ‘make’ the space in the first person. Civic compliance, active and cooperative citizenship, develops urban resilience abilities and opens up to a culture of designing and building whose strength is the reference to what in sociological and anthropological research was recently defined as ‘collective intelligence’ [6]. In this respect, Jane Jacobs [7] wrote that what our cities need more ‘is a richer and more complex diversity and a higher number of interacting functions’, adding that such diversity cannot be created save thanks to the incredible number of individuals and organisations, with diversified ideas and objectives, that plan and act outside the official structures. 3  MULTIDISCIPLINARY NETWORKS – COMMUNITY WITHOUT PROPINQUITY In their theory of Spiral Dynamics, Beck and Cowan [8] present a spiral model to describe human development (referred to as Meme), starting from the stone age ruled by nature and by the primitive instinct of survival, to a more complex holistic vision of the world. If the approach to scarcity dominates the base of Beck and Cowan’s spiral, this fades away at its higher layers, corresponding to the current stages of development. Currently the western world seems to be living mostly in the transition phase between the fifth and sixth level (from orange to green), where personal achievement which leads individuals to act rationally for their own advantage disagrees with the care for the community and personal growth, equality and the focus on the environmental problems. Here the mind-set of scarcity loses its influence. The issues tackled in the green layer of the spiral require different problem-solving strategies, hierarchies are less important, while personal contact, learning from others, belonging to a (virtual or real) community become appropriate strategies and the mind-set of abundance comes into play. After all, the new experiences of online platforms of sharing economy, prove how the economic and social value is not just produced through the contents but also through participation and cooperation. This model provides the ability to change the use of goods and services instead of owning them, as stated Jeremy Rifking [9] defining the sharing economy the ‘third industrial revolution.’ The Internet and the digital environment are not just changing the rules of power distribution, promoting a more decentralised system based on the sum of all the minor potentials of networking, but also the sense of community. Traditionally the word community refers to a group of people with something in common and living in the same place. With the development of a technological society the second part of this definition has weakened and then faded away [10]. The concept of community without propinquity states that individuals, despite being far from each other, have different things in common and are organised in communities, exchanging information, processing and accomplishing projects. Levy again argues that ‘the collective intelligence refers to this ability of the virtual community to stimulate the combined competence of its members’. As a consequence, with Peter Walsh [11], competence and knowledge become increasingly interdisciplinary through the aid of a diverse community. Urban planning is about open source urban planning, representing the shift from a topdown planning vision, of traditional urban planning, to a bottom-up vision, proposing the central role of self-organisation as a consequence of the interaction and collaboration of large and diverse groups of people like those who live in the city. Accordingly, participation

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becomes the driver of the process, understood as debate and resolution, but in particular as direct action in the ‘building’ of the city [12]. From what has been said above, it emerges that all the local intervention processes, including urban regeneration strategies, today should be aimed at promoting actual processes of Collective Intelligence, which bring citizens back to the centre of transformation and management processes of the territory they live in; in this way the citizen is back to playing the leading role of local culture and identity. Citizens can participate in a multidisciplinary network to implement a collective creation process, changing the space they live in to adapt it to their needs. A shift from delegation to participation, from choosing to make recreates a new bond of people, resources and spaces. 4  THE PARADIGMS OF PARTICIPATION Despite the predominance of models – typical of traditional urban planning – which have made community participation marginal, we can retrace some counter-current experiences developed by movements of citizens who have taken back the decision-making process, both at a community and urban level (see projects Nevicata 14, Yorokobu, Park(ing)Day, Leefstraat etc.). Such examples were useful to identify some useful paradigms to guide the methodological and operational choices for regeneration processes based on the creative abilities of the inhabitants. 4.1  Co-responsibility of users – evolutivity of the functions The speed at which the market changes, the uncertainty of the tastes and the interests of consumers make spaces unable to be rigidly characterised based on a function, but need to be flexible to be readapted to the needs that users are faced with from time to time. The failure of functional zoning seems to fall, at the building scale, within the intended uses of the spaces,

Figure 1:  Example of regeneration processes based on the creative abilities of inhabitants.


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which today are too subject to the fast-changing market and the uncertainty of the tastes and interests of consumers, to be submitted to rigid functional rules. After all the ambiguity of relationships that humankind weaves within a community is such that the space that materialises these relationships reflects their own ambiguity. This is why spaces cannot be rigidly characterised based on the function they currently host, but should be able to adapt to different uses and configurations over time. This results in a new ‘evolutive’ concept of service, based on a time programming and management in progress of the human and physical intervention of the building. Where today a space is defined a priori for the positioning of an activity or a service, a new programmatic flexibility model is based on a ‘logistically open’ structure, programmable by subsequent additions and ‘self-evolutionary’ from an organisational point of view (in which the evolution of a part leads to the evolution of the whole). In reclamation activities of existing buildings it is necessary to enable a process in which the community strengthens its sense of community through a civic commitment to manage reclaimed spaces. An interesting example is the PARK(ing)Day project, an annual worldwide event where citizens, artists and activists work together to temporarily transform pay and display parking spaces into temporary public spaces. A typically ‘open source’ project, started from the transformation of a parking lot into a temporary public park in a San Francisco area, it was then adopted to tackle a number of social issues in various urban contexts, making free health clinics, art installations, bike repair shops etc. PARK (ing) Day is held every year on the third Friday of September, in hundreds of cities all over the world. 4.2  Localism – prosumer Historically, development is only considered possible if associated with economic growth. Today the word ‘development’ is often followed not just by the word ‘economic’, but by other adjectives such as ‘auto-centric’, ‘endogenous’, ‘integrated’, ‘authentic’, ‘autonomous and of the people’, ‘fair’, adding a social dimension to economic growth, establishing the central role of humankind in the economy. Today we talk about social, local, human and durable development or about ‘micro-development’. Outside traditional circuits, relational relationships are promoted, based on multi-disciplinary networks, on the creation of economic and ‘social drawers’ compared to family strategies, but transferred to a broader social group [13].

Figure 2:  From rigid space to flexible space.

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In these new clans, citizens start being prosumers, a concept associated with that of collective intelligence, because the result of a work of people who are prosumers is produced and consumed according to such obligation of giving, receiving and reciprocating as analysed by Marcel Mauss [14]. The numerous attempts, everywhere, of short production chains of organic products, local buying groups, farmers’ markets in the city are an example of this, aiming at creating a self-sustainable management model of common property and the territory and its farming resources with the direct participation of the local community, to increase the level of resilience, autonomy of external socio-economic unbalances and turn the village or the neighbourhood into an integrated space of recreational, teaching and production activities, in which people of different ages and conditions can meet and work together, producing and consuming social capital. 4.3  Co-creation – Networking – Crowdfunding The relationship between these paradigms means forgetting the public development and thinking in terms of ‘cultural citizenship’ and of collective sense process. The public space is not a stage, but a co-creative space, whose success does not depend on the initiative of a few, but on the collective thinking and action of many, who implement a collective creation process with a few resources and contribute to the creation of a smart user-centred territory. At the base of this cultural development process, there’s the networking of citizens and professionals with different skills, able to obtain funding and other resources to support their initiatives. An example is the Spanish cooperative Basurama, established in 2001 at the Higher Technical School of Architecture of Madrid, today it exports its provocative projects in Europe and Latin America. It is an alternative architecture firm or a social design enterprise, as its founders define it, aimed at recovering deteriorated urban spaces, by recycling non-reusable objects and materials and with the participation of local communities. Another interesting project is WiMBY (Welcome into my back yard!) by Crimison Architectural Historias, that since 1999 works on the requalification of Hoogvlielt, a 60’s New Town near Rotterdam. The main objective of the project is requalifying Hoogvlielt through a multi-­ disciplinary group of architects, residents, entrepreneurs, institutions, researchers, through the development and implementation of a series of architecture, urban-planning and sociology projects and programmes.

Figure 3:  Evolution from consumer/producer to prosumer.


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CONCLUSIONS The implementation of participatory processes based on these paradigms implies:

at a user’s level, that every citizen/user involved in such processes, despite lacking disciplinary or technical knowledge, can propose criticisms or useful suggestions to improve the quality of interventions or be directly involved in the making phase. The implementation of such processes also helps the citizens build their identity, acquire new faith in their ability to act and change reality, generating new social, intellectual and political abilities. at an operational level, the adaptability of times, ways and tools to the personal and professional characteristics of the parties involved and the context in which the process is performed, as a consequence, even if driven by one method, each project has a profile and gives outcomes. at an urban level, the development of a city model characterised by a programmatic complexity. This territorial organisation is based on the principle of ‘easy change’ over time, in relation to the variable needs of the users, and a simple interface, through technical and procedural solutions able to trigger a profitable exchange between those who live in the city and those who design it. at a territorial level, a multiplying effect propagating the application of these strategies to other contexts, too.

REFERENCES [1] UNEP, Climate Change. The Role of Cities, Nairobi, 2005. [2] Achterhuis, H.J., The empire of scarcity, from thomas hobbes to michel foucault. In Dutch: Het Rijk der Schaarste: van Thomas Hobbes tot Michel Foucault, Ambo Baarn, 1988. [3] Feyerabend, P., Conquest of Abundance, a Tale of Abstraction Versus the Richness of Being, ed. B. Terpstra, The University of Chicago Press: Chicago and London, 1999. [4] Del Nord, R., Does the market demand a different kind of research? Techne – ­Journal of Technology for Architecture and Environment, n.1, Florence University Press, pp. 70– 75, 2011. [5] Campioli, A., Architectural quality: innovation, technological research and design. Techne – Journal of Technology for Architecture and Environment, n. 1, Florence University Press, 61–68, 2011. [6] Lévy, P., L’intelligence collective. Pour une anthropologie du cyberspace, Editions La Découverte, Paris, 1994. [7] Jacobs, J., The Death and Life of Great American Cities, Random House: New York, 1961. [8] Beck, E. & Cowan, C., Spiral Dynamics: Mastering Values, Leadership and Change, Blackwell Publishing, 1996. [9] Rifking, J., La terza rivoluzione industriale, Mondadori: Milano 2011. [10] Raymond, L., La città sostenibile, partecipazione, luogo, comunità, Elèuthera: Milano, 1998. [11] Walsh, P., That withered paradigm: the web, the expert, and the information hegemony. In Democracy and New Media, eds. H. Jenkins & D. Thorburn, MIT Press, 2004. [12] Freire, J., Urbanismo emergente. En Deseo de ciudad: Arquitecturas revolucionarias, ed. Cristina García-Rosales, Mandala EdicionesPeter Walsh, 2010. [13] Latouch, S., Breve trattato sulla decrescita felice e Come sopravvivere allo sviluppo, Bollati Boringhieri: Torino, 2015. [14] Mauss, M., Saggio sul dono. Forma e motivo dello scambio nelle società arcaiche, Einaudi: Torino 2002.

R. Barelkowski, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017) 395–405


ABSTRACT Spatial conditions cannot fully determine the quality of social or human life, but are significant factors influencing both the present and the future. The spatial aspect of the city is always accompanied by other aspects, more ephemeral, intangible, yet detectable and socially active. Thus, the condition of social identity is related to the spatial identity used by a particular community. A small-scale community of about 14,000 people lives within an agglomeration of Poznan in the Rokietnica administrative area. Its very core, once a large farming complex, located at the heart of the town, is almost void in terms of urban structures and continuity of urban tissue. This gap is 12 hectares large and is exactly equidistant from the main existing and significant objects: multipurpose/sports hall, commercial center, the set of local authorities, the church, primary and secondary schools, among others. Filling this large area is a unique task and to assure social sustainability it cannot be performed otherwise than with social participation. The paper will present the application of spatial planning and urban design efforts implementing multiple stage social participation and the experience from the first, conceptual, programmatic project. Its ultimate goal—new Rokietnica center for citizens and renewed spatial identity. Keywords: social sustainability, spatial identity, spatial planning, sustainability.

1  INTRODUCTION Rarely an undertaking of creating a town center occurs in Europe, where the urban development has been so strong for so many centuries. The main network of cities, towns, and villages is already established, and its supplementation comes in the form of expansions or annexes to existing structures. While this means that the present is expected to correct the errors of the past and adapt to the future, the ongoing processes of urban improvement relies on gradual progress of the city (or the settlement). Slow but sure process of accommodating social, technological, and spatial changes is as optimal as it can be taking into account various factors responsible for establishing the quality of urban life—and it strongly profits from historical accumulation of meanings, establishing community habits related to spatial configuration, influencing envisioning of mental maps by the members of the community, thereby contributing to the very significant aspect of urban environment, which connects people to the places they live in [1, 2]. Working on spatial identity in such places focuses on subtle corrections, refurbishment, and gradual synergic actions [3]. Rokietnica, a community located within the limits of agglomeration of the city of Poznan, is a different case. Evolving from rural settlement for several centuries it did not produce a visible and comprehensible center, which could play a role of an integrating node for a growing population. Located on flatlands, rarely sculpted by post-glacial formations, it has its housing mainly developed along principal routes leading from Tarnowo Podgorne to

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-395-405


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Oborniki, and from Poznan to Szamotuly. The central part of the village was once arranged as a noble’s mansion with accompanying buildings and farm buildings, but this orderly cluster of buildings has been substantially diminished, and the mansion itself is almost a sole remaining witness of the glory of the past. Socialist/communist times brought conversion into collective farming that was governed and managed by the administration, resulting in the loss of connection between the community and owned property, and ultimately in today’s total destruction of material components that once constituted the farm infrastructure. Interestingly, a significant part of the area, which totals around 12 ha, is located along the trench that once held the stream collecting waters from nearby fields. Contemporarily only the small pond remains, with the level of water far below the surrounding terrain, but clearly mirroring relatively high soil waters. This particular disadvantage is a direct consequence of a communist administration’s ill-fated decision to improve everything what ‘the wrong’ past has brought—the drainage system, once operational, has been badly damaged and currently causes difficulties at every building enterprise undertaken in the area. The case of Rokietnica will provide the insight into how special conditions of center founded in cruda radice alters sustainability standards, if it does at all. 2  THE SUSTAINABLE CONDITIONS FOR COMMUNITY GROWTH While this paper focuses on the example of Rokietnica, it is important to relate it to the generic case of settlements missing features of central urban structures. It is quite obvious that a central location does not guarantee adequate significance and does not imminently encourage the accumulation of necessary and appropriate services and infrastructure. Thus, unattended, the process of generation of the center is usually far from being efficient and leads to several deficiencies that impede the sustainable development of a local community— it is not the lack of center itself, but the absence of several key features of built environment this particular state depicts (with the lacking center being at the same time one of the causes and strong symptoms). The local center acts as a specific node within an urbanized space. There are several tasks, and the so-called center is expected to deliver the majority of the below-mentioned functions [4]: 1. The availability of distinguished urban functions (administrative, commercial, cultural, etc.), 2. The accessibility, being socially rated between optimum and average, 3. The integrative potential—exemplified by public spaces and/or public or cultural institutions (buildings) located assuming that they are able to and that they do perform related tasks, 4. Balanced flexibility, 5. Higher saturation of nonresidential functions, 6. Established reference point (stability node) combined with safety, 7. Visual recognition—spatial identity build. The term ‘social sustainability’ has a wide variety of meanings exceeding the abovementioned list, but in the case of a settlement center seen as physical urbanized space its application may be limited to those key elements. Availability is related to the presence of significant functions or objects. These objects may be different, but they should relate and reinforce social ties, improve social comfort or attractiveness, or serve local

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c­ ommunity—having a permanent or frequent link to common life of community itself. Accessibility means not only to allow community members to get there (and back) to the center easily, but to be handicapped persons-friendly, and to provide orientation and easy access to diverse facilities. Integrative potential corresponds to connectivity and direct identity reinforcement (or creation in cases there is no identity prior to intervention). Balanced flexibility stands for flexibility in opportunities to use a particular space, but at the same time maintaining balance in its fluctuations, transformations, where changes are moderated to assure possible future developments and adjustments according to unpredictable patterns of social expectations [5]. In times of globalization this seeming paradox appears to expose itself even stronger, seeking explicit or implicit connection between abstracts and solid spaces [6]. The saturation of nonresidential functions is meant to facilitate the process of attracting users—community members, and offer extended opportunities to exchange information, provide or receive services, perform sports and recreation activities, profit from cultural services, among others. This is intended to act as a site (or area) to fulfill human expectations of social paradox of parallel requirements of stability and change; safety, but in evolving; and thus unable to eliminate risks impossible to fully anticipate [7]. The center of the settlement is expected to build visual representation of what community sees as their aspirations to found their integrity on, and how the image of the community is represented in an urbanized space. 3  THE THEATRE OF EVENTS The central part of Rokietnica is developed along its main roads connecting Poznan with major towns of its second settlement circle, in this case particularly Szamotuly, Wronki, Oborniki, Tarnowo Podgorne. One of the roads leads from Oborniki via Zlotniki to Rokietnica and further to Tarnowo Podgorne. This route provides the northern and western borders of the site, in some places offset by random buildings, mostly of rural type or detached single family houses. Another road leads from Poznan going parallel to the main railway line (PoznanSzczecin) and diagonally from southeast to northwest. Another road connects Poznan with Szamotuly marking the southern limits of the 12 ha area. The latter leads through the area of higher density of housing, introduced in the second half of the first decade of 21st century— mainly 3 level multiapartment housing designed in a typical suburban manner of geometric repetitive and anonymous space. The area around the site is almost flat, but as mentioned above the site itself has several clearly visible features—a large pit with a pond, with extremely steep slopes, several points recognizable as former backwaters, now dried, but still maintaining high saturation with ground waters, line of high poplars indicating trench where once water flew, and significant wedge distinguishing the eastern part of the area, located higher, separated and evidently forming a section of the area detached and destined to accommodate different functional profile than the remaining, more privileged part. The main component of the area touches two regional roads to the north and to the south, being irregular, someplace wider, especially to the north, in other places more narrow. The northern plateau falls to the south reaching its lowest level in the middle distance between the mentioned roads and then slightly rising to fall again and expose the stream, continued outside of the analyzed space, south of the road to Szamotuly (Trakt Napoleonski). Recently, the buildings once existing in this area has been demolished providing space for new developments, one of which already introduced and, unfortunately, due to land ownership geometry, standing in the way of the most apparent possible northern entry to the area.


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A study on spatial development including the conditions and encouraged processes expected in the environment has undertaken the problem of the area, distinguishing three different zones: the North Zone, the South Zone, and the East Zone. The study tackled multiple actual problems and aimed at providing more flexible and multiple scenario-oriented mechanisms allowing for longitudinally and more meticulous planning within strategically important zones. A planning team has introduced methodological approach leading to several key concepts being approved and implemented successfully by local authorities between 2010 and 2014—it is scenario-based planning, unification of planning conceptual system, standardization of master plans, but the most significant was the ideological contribution laid by the preamble of the study: mainly the concept of flexible spaces, anti-sprawl policies, and establishing nonexistent spatial identity, which should rely on reforging the concept of bedroom community (dormitory town) into a fully self-conscious and distinct community, with independent assets and an autonomous potential to develop. The central area in the main settlement (among total of 17)—Rokietnica—was seen in the study as beneficial to convey those ideological, programmatic, and social concepts. It was defined as an area of multithreaded development, giving the authorities many possible ways to deal with this temporarily void area. Prototype solutions opened multiple perspectives including the concept of continual space of single family houses (abandoning the idea of local center), strong densification of multifamily buildings, and various concepts of center starting from multiapartment buildings with commercial space and services located on the ground floor, through mixed-use, to the prevalence of services and extensive recreational infrastructure aimed to profit from a significant percentage of greening in the area.

4  PLANNING FOR SPACE OR PLANNING FOR COMMUNITY There is a fundamental difference between the conceptual aspect of making space livable and sustainable, and technical or procedural approach as established by the legal framework, and fulfilling the ideological assumptions within planning requires some significant interpretation skills and mechanisms that go beyond what is usually expected from the administration—as practical implementation requires acting with real plan or study, and cooperating with local authorities to be able to observe applied methodologies at work. According to what was presented in 2012, the framework to establish sustainable suburban development postulated the application of a strategy for the edge of the city [8]. The scheme involved six main components of sustainability: reduction of resources consumption (RRC), prioritizing urban development (PUD), adaptability of urban nodes (AUN), integrity of urban tissue (IUT), proportions among types of spaces (PTS), and coordinated management and development (CMD). Despite the information policies and evident link between the local communities, as it can be easily discerned, only half of the above-mentioned elements are directly perceived by the members of local communities, while the remainder is related to policy and organization imposed by the authorities. While the AUN, IUT, and PTS are influencing experiences of people, RRC focuses on global resource balances being quite far from individual understanding of energy savings. The PUD and CMD are related to decision making and then to the implementation of selected guidelines, not necessarily resulting in detailed analysis of social preferences, ordering of preferences of the community, and creating permanent mechanisms of confidence and additive continuity between authorities and the community, which most often results in social participation. It is important to notice, however, that legal reference for planning activity privileges legal approach to conceptual/ ideological approach, and thus may miss the purpose with tools serving the implementation

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and execution of the purpose [9]. Therefore, the social component in the PRS method is always recommended and the multiple benefits from social participation including early conflict recognition, information exchange (communication of planning process, its limitations, entitlements, and benefits), and particularly in the ultimate goal behind a satellite type of urban structure which is either the creation of an autonomous identity or reinforcing this identity by spatial means. The strategy has been furthermore developed and presented while researching less complicated cases within the agglomeration of Poznan, although the case of Rokietnica was not directly analyzed [10]. This time the center of Rokietnica has become a major issue—the process of development of nearby areas convinced the local authorities to act in order to secure controlled and harmonious arrangement of this strategic site. As explained above, the principal idea of the intervention is related to today’s perception of community identity—this conclusion has been made clear with the results of inquiry assessment. But the research team got it clear that there are more tasks and more problems to be solved: increasing development activities, counter-balancing the inflation of urban structures, local discontinuity of urban tissue, and opportunity to consolidate multiple living aspects—living, working, shopping. It seems possible to achieve appropriate results of urban transformation without the community, but the risk of misplacing the goals of such transformation is quite high and there are no benefits of getting the community involved in the process. As this kind of relationship (or lack of) results are unpredictable, the inclusion of community support and feedback is indispensable. For the Rokietnica center, the research program assumed three alternative spatial solutions, but spatial solution was programmatically meant to be the end product of a socially engaging process, starting with primary recognition of community preferences, concepts, and spatial identity recognition in the first inquiry, then preparation of primary programs for the center, followed by inducing public discussion with the inclusion of local media, public meetings, and ultimately the second inquiry performed in cooperation with another university, the Adam Mickiewicz University in Poznan. While the research team prepared the questions for the inquiry, AMU team elaborated an interactive platform to allow respondents to use information and telecommunication technology to provide their feedback, referencing implementations of participatory public GIS in Seattle and Toronto [11]. Public consideration of a spatial shape of the center, undetermined and presented as the subject of social consensus on the programmatic component of this specific planning process, has led to both the emergence of identity issue and clash between competing visions of what the center of Rokietnica should become. Particularly, older inhabitants of the commune prioritized the strategy of blending (continual tissue of low, mainly single family, houses mixed with some public and commercial services), but the significant majority opted for stronger manifestation of central properties of the site, indicated three-floor and higher buildings as more appropriate, and generally accepted necessary increase in saturation of the area, even higher to bargain more recreation and greening areas in exchange for incentives for developers. It became possible to adjust the preliminary programming of the area and elaborate three different visions for the site – entitled to facilitate connection between members of community with different scenarios proposed as alternatives. Instead of a preservative approach leading to a strategy of blending, the strategy of reconfiguration has been approved (Table 1 and 2). The table of impacts has been generated accordingly to distinguish the case from other cases researched previously. The idea of independent performance of Rokietnica urban environment relied on several assumptions related to cultural content and spatial semantics, functional profile, day cycle imprint, and environmental output.


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Table 1:  Sustainability indicators and its impact: Rokietnica center. Groups of indicators /properties/ interactions

Strategy (rate of impact)

Strategy type


autonomous economic potential

average to high (usually average, but due to central location of the area may result in high potential) high (this is particularly suited to exemplify the power of central zone of the settlement or town) average to high (close location of railway station assures easy access to basic and quick transport between the center and the downtown of the agglomeration) high (privileged location, multiple possible connections despite apparent problems for traffic organization may improve the usual average result) low to none (nonapplicable due to lack of cultural quarters outside of the area (and the area is expected to develop cultural function in time), low due to limited access to cultural infrastructure in the agglomeration) low to average (there is significant amount of greenings in the area; however, the area has little to no connection to other green areas—the only one with external links is the terrain to the south) average (despite the significant impact on the environment the area is located at the heart of urbanized district and, therefore, negative environmental average (contrary to usual high impact this abandoned and unused area converted will not dramatically affect the spatial comfort, but definitely will affect the way of life, and the quality will improve) average (the center not only presents an opportunity to introduce cultural function, but existing elements in the vicinity are improved due to better accessibility and connections) n/a

autonomous social potential

accessibility and connectivity local center < > city core

accessibility and connectivity local center < > other local centers accessibility and connectivity local center < > cultural/leisure/ commercial quarters (nodes)

environmental capacity and potential of self-recovery

environmental impact

impact on nearby communities—mutual interactions and influences


(urban) form related— harmonious space

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Groups of indicators /properties/ interactions


Strategy (rate of impact)

(urban) form related—safety (urban) form related—local comfort (urban) form related—adaptability (urban) form related—integrity

n/a n/a n/a n/a

n/a – nonapplicable Table 2: Strategy profile. Strategy (rate of impact)

Profile element

Element interpretation

identity (ID)

meaning / cultural content

average to high

mono vs multifunctionality (SF vs MF)

users (also PTS)

day cycle (DC) environmental output (EO)

program / flow parametric performance (e.g. emissions)

MF average to high variety of users full complex mixed guidelines


As it appears the concept of town/settlement center imposes different or increased strength effects on space and its properties: the stronger and more positive, the more interaction with the local community reflects a conclusive vision of the area. Previously, a research team had an opportunity to acknowledge the patterns of developments in Kiekrz, also implementing a reconfiguration strategy. However, while in the latter case urban tissue was devoid of commercial space required to serve the community, and it had to be remodeled and supplemented with the local center, becoming a yet new coherent element of local identity which is expected and required by the local community, in the former one (Rokietnica) the significance and the scale of intervention is drastically larger, making the range of possible impacts and effects much wider (Table 3). Spatial effects of the intervention and potential (spatial) identity build have been tested in three alternative designs becoming another subject of social consultancy oriented toward elaboration of a final proposal, the most relevant to what is the resultant of multiple factors diagnosed during the execution of the program. These three alternatives proposed diverse configurations of public spaces, discussed different locations of important public buildings and facilities, and adopted various typologies of common buildings’ infill. The first of the projects assumes the construction of traditional European quarter-like components, which in the case of Rokietnica had to be slightly adjusted because of narrow areas and limited quarter depth. The core of this concept was constituted by a central urban square, rectangular in shape and programmed to host public events, feasts, exposing the hierarchy of gradually culminated space. The second project assumed more streamlined public space in the shape of


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Table 3:  Strategy program and benefits. Area no.

Area 16

Area name Strategy Neighboring structures Users Program

Rokietnica Center reconfiguration mixed use average variety mixed-use > primary: residential (multiapartment housing), commercial, retail secondary: sports and recreation, cultural, offices, administrative significant increase reduction (RRC) prioritizing (PUD) adaptability (AUN) integrity (IUT) proportion (PTS) providing basic services at comfortable distance, consolidating the use of infrastructure, improving urban space use (positive densification strong incentive to develop high to average density of housing high potential of adaptability restoring dispersed structure of Rokietnica complete variety of types of space: public (integrative), public, semi-public, semi-private cultural content is defined by: - introduction of multiple public functions, - dedicated cultural objects, - commercial objects for the whole community of Rokietnica town and Rokietnica community (administrative), - creating currently nonexistent public spaces to accommodate social integration as well as local commercial activity.

Parametric performance Instrumentalization of planned solutions (priorities)



a spindle and curved pseudo-axis connecting the northern access to the site with the southern one. Instead of closing the main street along which a quarter-like structure of the first project was organized, the second one forms a one-sided wall. The western side of the street close to the green stripe and recreation zone is limited with structures enclosing the spindle-like square, which is geometrically organized to visually mark the main cultural building, commercial hall, and arrangement of open, public space. The third concept refers more to modern ideas of new articulation of urban space. Series of connected interiors (squares, plazas) of diverse character, one representative, the other one recreational, next one filled with greenery, etc., intertwines spaces dedicated to pedestrians only with those for all users, including car-, bike- or bicycle users as well.

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Table 4:  Conversion table: from a generic to particular case. Generic case sustainability measures

Sustainability elements in conversion

Rokietnica case sustainability measures

> availability of distinguished urban functions

prioritizing (PUD) proportion (PTS)

> average to high density development > variety of urban forms of development

> average to optimum accessibility

adaptability (AUN)

> high potential of adaptability

> integrative potential

adaptability (AUN) integrity (IUT)

> high potential of adaptability > restoring dispersed structure

> balanced flexibility

reduction (RRC) adaptability (AUN)

> saturation of nonresidential functions

adaptability (AUN) proportion (PTS)

> providing basic services at comfortable distance, consolidating the use of infrastructure, improving urban space use (positive densification) > high potential of adaptability > high potential of adaptability > saturation of nonresidential functions

> reference point (stability node) + safety

integrity (IUT) management + development (CMD)

> restoring dispersed structure

> visual recognition: spatial identity build.

prioritizing (PUD) integrity (IUT)

> restoring dispersed structure

Particular implementation > 3 levels and up (220 inh. per ha min.) > public squares and spaces, various articulation of typical buildings > integration of multiple transportation modes and connection routes, nobarriers policy > clear distinction of public and semi-public spaces > connecting and gradually bridging scales of surrounding areas > multiple functions implemented in site > ability to change functions, to adjust to changing requirements

> capacity to absorb and/or remove functions > relatively high rate of accompanying functions > introducing proportional system of services and commerce distribution > adaptation of current mental map of the area with maintaining connections > safety-oriented formation of public areas > monitoring of the development > spatial accentuation (dominants) > clarity of spatial disposition


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Currently, a report from a secondary inquiry has been elaborated, this time due to the implementation of participatory public GIS, and a second project has been selected to be redesigned according to findings resulting from both analyses and recognition of social preferences (Table 4). 5  THE URBAN CENTER FOR THE IDENTITY: CONCLUSIONS When an identity is to be built or re-built, social acceptance as a minimal response, and social co-creation as optimal contribution to the process is required. After all, the identity is a construct and common notion, which must be adopted and positively received. Building spatial solutions in cruda radice eliminates the possibility to employ long tradition, or a historical background of the site, or of local community. Instead, an artificial, yet powerful process may be set in motion, but its artificiality bears the risk of social rejection or uncontrollable reinterpretation, or even misinterpretation. The case of Rokietnica was, and still is, because it is an ongoing project, very informative and allows for studying peripheral agglomeration processes related to communities of 10,000 to 30,000 people. Not only does it disclose the relationship between generic process of suburban intervention and particular intervention, in which a nonexistent center (quarter, district, area) is to be established, it also reveals the influence on social understanding and perception, as well as its limitations, when it comes to this abstract concept of identity. It became evident and was proven that several elements comprising the strategy of sustainable development of a local center require thorough control. There are more triggers initiating or contributing to shaping the spatial identity and all those require coordination. Unlike the case of Kiekrz, described a few years ago [12], Rokietnica employs practically all elements, not just two. The complexity of configuration of a central area forces to extend social participation in order to reflect the multifaceted nature of both social integration and spatial emanation of local community manifested in expected and unexpected, but accommodated constructions. The functional program must resonate within a community, but at the same time it must allow for change and retain some potential for future adaptations. The ideological program must convey at least partially familiar concepts that are understandable and rooted well in tradition and the continuity of people, regardless of generation or depth of ties with history of the place or the region. The structures must form clear boundaries for public, semi-public, and semi-private spaces with varied accentuation of courses leading through the area. The final result is generated by the process of consensual conclusion, not a power play and lobbying by open discourse and adjustment of social opinions, instead of imposed ‘best’ solution. Getting local people involved in the process of formation of the center on a scale that is being tested in Rokietnica expands the timeline the image of the center is built in the imagination of the community. While everybody has the opportunity to know, or even to co-create, the space becomes ‘domesticated’, assimilated, and, regardless of differences between imagined and built, it is obvious that the built structure will be different from subjective, individual conceptualization. The story of the center begins humbly yet anchors itself in the common projection of not only physical space to come, but also social interactions, meaning transfers and ‘social infrastructure’. Planners learn from this kind of application, how to facilitate the process, but not attempt to appropriate it; the results of the process should not be generated, but evolved, grown, moderated, and first of all discovered in situ. In this way, the project of identity will have the chance to become the identity itself, an artificial creation transformed into natural, absorbed in society. The research team hopes that these highlights and conclu-

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sions will be maintained in the remaining stages of intervention—in the final project selection and its construction, in several stages, for years to come. REFERENCES [1] Crowhurst Lennard, S.H. & Lennard, H.L.,Livable Cities Observed, Gondolier Press: Carmel, pp. 7–8, 1995. [2] Shortell, T. & Krase, J., Place, space, identity: a spatial semiotics of the urban vernacular in global cities. In ESA Research Network Sociology of Culture Midterm Conference: Culture and the Making of Worlds, pp. 29, 2010. [3] 8 – Urban and Spatial Planning and Design, Habitat III Issue Papers, Habitat III, United Nations Conference on Housing and Sustainable Urban Development, New York, p. 10, 2015. [4] Ghafoor Al Ani, M.Q.A., He identity of place ... and memory of time ... define spacetime of human architecture. In Proceedings REAL CORP 2013, eds. M. Schrenk, V.V. Popovich, P. Zeile & P. Elisei, Tagungsband:Rome, pp. 927–943, 2013. [5] von Ungern-Sternberg, S., Ten guidelines for the planning and development of a new urban neighborhood. In Making Cities Livable, eds. S.H. Crowhurst Lennard, S. von Ungern-Sternberg & H.L. Lennard, Gondolier Press: Carmel, pp. 237–243, 1997. [6] Choudhary, B.K., Formation and (re)formation of spatial identities under globalization. Journal of Regional Development and Planning. 3(1), pp. 35–48, 2014. [7] Op. cit., Ghafoor (2013: 934). [8] Barelkowski, R., The Edge of the [dis]Order. In The Sustainable City VII. Urban Regeneration and Sustainability, Wessex Institute of Technology, eds. M. Pacetti, G. Passerini, C. A. Brebbia & G. Latini, WIT Press: Southampton & Boston, pp. 765–767, 2012. [9] Kaczmarek, T. & Wojcicki, M.,Uspolecznienie procesu planowania przestrzennego na przykladzie miasta Poznania, print, Instytut Geografii Spoleczno-Ekonomicznej i Gospodarki Przestrzennej, Uniwersytet im. Adama Mickiewicza w Poznaniu, pp. 8–9, 2015. [10] Barelkowski, R., Strategies for identity of sustainable suburbs. In The Sustainable City IX. Urban Regeneration and Sustainability, Vol. 1, WIT Transactions on Ecology and the Environment, Vol. 191, Wessex Institute of Technology, eds. N. Marchettini, C.A. Brebbia, R. Pulselli & S. Bastianoni, WIT Press: Southampton & Boston, pp. 667–679, 2014. [11] Op. cit., Kaczmarek and Wojcicki (2015: 18-19). [12] Op. cit., Barelkowski (2014: 679-680).

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L. LAZZARINI1 & C. CHIARINI2 Department of Regional and Urban Studies and Planning, Turin Polytechnic, Italy. 2Milan Polytechnic, Italy.

ABSTRACT The paper deals with the issue of inter-municipal urban planning in Italy, exploring in particular the technical procedures used by inter-municipal plans to achieve the objectives established by the involved municipalities, including an effective land-use forecast. Among the planning tools, the transfer of development rights (TDR) is particularly relevant, in fiscal terms, for the form and degree of sophistication characterizing the exchange of monetary sources between local authorities, and in territorial terms, because of the effects that new settlements produce on the territory. The case study investigated by the research is the Seriana Valley, in the province of Bergamo, in the north of Italy, a territory characterized by a low degree of cooperation connoting the municipal level. The research has proposed the identification of some criteria aimed at determining the potential problematic nature of the transformation areas and the movement of the annexes development rights. The exchange of development rights among municipalities has been carried on according to different scenarios, taking into account different possibilities of political agreement between municipalities for a shared and coherent inter-municipal land-use forecast. The research has also explored the role of the so-called “Compensation Fund”, a tool for collecting the monetary resources coming from the actors involved in the process, studying in particular its role in balancing the externalities produced by the new settlements. Keywords: building rights, inter-municipal planning, land-use forecast, planning tools.

1  INTRODUCTION The Seriana Valley territory represents a challenging ground on which experimenting ­hypothesis of inter-municipal urban planning with a particular attention to the application of the Transfer of Development Rights (TDR), which can be considered a peculiar tool of ­large-scale urban planning practice [1, 2]. This is mainly due to two reasons. On one hand, the scarce level of political collaboration connoting the municipal level reveals a panorama where municipal choices regarding land-use forecast are not shared with the surrounding municipalities. Therefore, municipalities are competing for attracting real estate developers to implement urban regeneration projects. On the other hand, since the mid-20th century, this territorial field has hosted extensive processes of urbanization, particularly in the valley floor, with a dramatic loss of high-value agricultural soil. At present, Seriana Valley is a context in which the industrial divestment processes generated by the economic crisis have been ­generating a large amount of empty and marginal spaces for which there is not a strategy of reuse or reconversion yet. The degree of marginality connoting this territory is coloured of different nuances: large brownfields, unbuilt lots, abandoned agricultural areas are describing

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-406-415

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a geography of residual [3], for which small municipalities have no the financial sources to deal with. The tangible reality of this urban landscape seems to ask for a change in direction, stating a new vision for both existing dismissed spaces and new foreseen areas, according to an alternative and more sustainable land-use forecast, that could frame a common interest between municipalities to reduce soil consumptions and to deal with the new real estate conditions. The paper is organized as following: a first chapter investigates the current ­planning framework, underlying its weaknesses and critical factors. A second chapter ­examines the core of the research, the inter-municipal reorganization of land-use forecast, which has been done taking into account different scenarios of political agreement between municipalities. The last chapter focuses on a more detailed investigation of one of the three scenarios, the one expressing the highest level of cooperation between municipalities, which is considered the most advisable in terms of an efficient horizontal governance. 2  AN ATTEMPT TO INVESTIGATE PLANNING TOOLS’ DEGREE OF EFFICACY 2.1  Problems and incoherency at provincial level The planning tools survey has revealed some crucial issues about the relationship between different planning levels; it was noticed a lack of coherence in planning prescriptions between the municipal and provincial planning tools. In its “Environment and Landscape” section, the provincial plan of Bergamo [4] adopts a classification of different types of green areas that are associated with a number of requirements aimed at defining the permitted urban t­ ransformations. In particular, the regulatory system of the plan (in Italian “Norme Tecniche di Attuazione”) states that “in the mainly undeveloped areas located in proximity to urban contexts, the expansion and the urban transformations oriented to the re-composition of the built fringe areas are admitted” (art. 62). Similarly, for “agricultural areas with protection and conservation aims”, the plan, while identifying their borders in a map, specifies that “the perimeters of these areas are indicative and they may be subjected to modifications by the municipal planning tools” (art. 65). Finally, despite the fact that the provincial plan underlines the high naturalistic and agricultural values of the slopes of the hills and foothills, then it specifies that “these areas could be the ground of completion and building expansion interventions, provided that they will involve urban fringe areas, discontinued or marginal agricultural areas” (art. 59). Finally, the provincial plan identifies the “areas with high landscape value” where “there may be admitted interventions that provide building and planning transformations of the territory only if directed to activities necessary for the agricultural, farm tourism and agro – forestry – pastoral management”. In the reality, what was noticed according to the official maps of the provincial plan, is the fact that the extension of hill and foothill zones and of the high-value agricultural areas is consistent. Moreover, they have a crucial role from the ecological and environmental point of view. These two groups of areas stand in between the urbanized sectors of the valley floor and the mountain areas endowed with high landscape value. They can be considered as some sort of filters, since they are the spaces of the relationship between valley floor and mountains. As a matter of fact, the provincial plan seems to promote the idea that settlement expansion is more relevant and necessary than the preservation of high-environmental valued areas, despite their significant role. Nevertheless, what this context has experienced in the last 10 years can be expressed as a devolution of responsibilities about planning issues from the provincial level to the municipal one, as already experienced in other


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European contexts [5]. This sort of shift-to-local makes municipality a more powerful actor in urban planning. The municipalities can, for example, legitimately change the perimeters of the “agricultural areas with protection and conservation aims”, in order to carry out the building expansion, undermining the high-environmental value of some portions of valley landscape. 2.2  The geography of the transformation areas of municipal plans In this uncertain panorama connoting the provincial level, each municipality has been free to foresee its expansion, legitimately changing the perimeters the areas endowed with highenvironmental value. A varied set of municipal land-use forecast policies has been developed, in absence of meaningful forms of inter-municipal cooperation, Fig. 1. The research has analysed the various municipal planning tools to investigate the land-use forecast of each plan. Every transformation area was mapped and surveyed to specify functions, surfaces, volumes and number of future inhabitants. This survey found that the vast majority of the transformation areas regard medium-small size development projects (between 800 and 15,000 sqm). This widespread geography of small-medium transformation areas is a proof of a municipal political will which has expressed a local urban planning by forecasting small expansion interventions, without carrying on an attempt to create an overall large-scale expansion framework in Seriana Valley.

Figure 1:  Current land-use forecast in Seriana valley.

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3  THE REORGANIZATION OF LAND-USE FORECAST: WORKING BY SCENARIOS The aim of the inter-municipal reorganization of land-use forecast carried out by the research is to limit the dispersion of the valley urban settlements and to establish an overall coherency in the urban expansion of Seriana Valley municipalities. Moreover, the aim of this operation is to reduce the overall soil consumption and to establish an inter-municipal shared design framework aimed at concentrating the development rights in few strategic areas. To reach this purpose, three criteria have been identified according to which analysing the current land-use forecast. The criteria concern aspects dealing with environment (compatibility of the transformation areas with the preservation of ecological transversal corridors of the valley), accessibility (compatibility of the transformation areas with the analysis of generators and attractors of mobility) and coherence with higher level planning tools [4]. Through the intersection of these three criteria, the research brought to a table drafting through which the compatibility (or acceptability) of each transformation area to the criteria framework was established. Next to the presence of some “acceptable areas” with respect to the three criteria, we observe a quite varied panorama in which the land-use forecast present weaknesses depending on some transformation areas. The so-called “non-acceptable areas” are the ones which are not compatible with one or more criteria. Thus, it is proposed to move the development rights of these areas elsewhere, according to an overall inter-municipal reorganization of development rights. The planning tool to be used in this case is the “Territorial Transfer of Development Rights” (TDR) (in Italian “perequazione territoriale”) which concerns the exchange of development rights between different municipalities [1, 2, 6]. 3.1  First scenario: high degree of cooperation between municipalities The first scenario envisages a broad political cooperation between the municipalities in Seriana Valley for designing a shared land-use forecast. In this case, it has been experimented the case according to which all municipalities in Seriana Valley could establish an agreement in the field of urban planning, aimed at reorganizing the development rights at inter-­municipal level, as it happened recently in other Italian contexts [7–9]. The first step of the agreement is the retrieval of a transformation area where concentrating the development rights coming from the “non-acceptable transformation areas”. It was chosen to concentrate the volumes in Albino, the most populous town in Seriana Valley; this municipality is placed in a central position with respect to the valley territory. Moreover, the choice of the landing area within Albino was done according to a variety of factors including the proximity of the area to the built environment, the coherency of the new volumes with the urban context conditions and the transport supply conditions in relation to the demand generated by the foreseen inhabitants to optimize the accessibility conditions in relation to existing public mobility network. The TDR has carried out by maintaining the original functions of the transformation areas. Therefore, the three receiving areas correspond to three distinct (predominant) functions: a residential area (with minor commercial), a tertiary area (with minor commercial) and an industrial area (with minor tertiary). Although this scenario represents from the political point of view a reasonable opportunity, is a remote possibility in this specific context, since it represents a political choice connoted by a high degree of collaboration between municipalities, while in the current Seriana Valley context we currently detect a lack of cooperation between municipalities in urban planning sphere.


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3.2  Second scenario: low degree of cooperation between municipalities The second scenario explored the hypothesis according to which small groups of m ­ unicipalities establish agreements for the reorganization of development rights at inter-municipal level. In this case, the level of cooperation between municipalities is lower than in the first case; it leads groups of two or three municipalities to work together for a common land-use forecast. The receiving municipalities were chosen thanks to the place-node status analysis, an assessment methodology, [10], aimed at quantifying the transportation functional value (“node​​ status”) and urban functional value (“place status”) of the stations of the tram line “T1” Bergamo-Albino in Seriana Valley, fig. 2. This line is considered the most important and efficient public infrastructure of the Valley mobility. It was opened in 2009, exploiting the existing but disused tracks of the Seriana Valley railway. The place-node status analysis ranking methodology has been applied through the identification of 800 m buffer zones (the centres of the buffer zones are the tram line stations). For the calculation of place-status of each station, the following elements were taken into consideration: the population and activities around the stations in terms of inhabitants and uses, the number of residents, commuting workers and students, the degree of attractiveness of existing polarities in terms of the number of generated trips. For the calculation of the node-status of each station, the following elements were considered inside the buffer zones: the infrastructural facilities of the stations in terms of available inter-connections, the number of train trips per day, the number of bus trips per day, the number of interchange parking lots and the existing meters of cycle path. The place-node status analysis has identified a number of stations (Ranica, Pradalunga and Albino) for which the values​​of place status are comparatively lower than those of other stations. In order to balance the current situation and, therefore, to increase the values of place-status of those lacking municipalities, it was decided to transfer the development rights from the “not acceptable” transformation areas to those transformation areas located inside the buffer zones of the stations, which were ranking lowest in place-status analysis. Consequently, according to the new land-use forecasts, previously low-place status municipalities increased their ranking; as can be observed in the diagram, the corresponding points of Ranica, Pradalunga and Albino move their locations to the right.

Figure 2: Diagrams of the place-node status analysis for the classification of tram-stations in Seriana valley, made considering 800 m buffer zones. On the left: the current situations; on the right: the situation considering the new land-use forecast.

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3.3  Third scenario: lack of cooperation between municipalities In the third scenario of development rights’ reorganization in Seriana Valley, it has been explored the hypothesis that the municipalities decide not to cooperate in the field of landuse forecast, and they produce by themselves their expansion framework. This assumption represents the natural evolution of the political-administrative current reality: a context in which each municipality has been developing independently and with its own resources the municipal plan, identifying autonomously the areas where to build within its municipal boundaries. Thus, the development rights corresponding to non-acceptable transformation areas are transferred in other areas of transformation within the same municipality. Only in the case of Torre Boldone, a small town located in the southwest portion of the Valley floor, the two foreseen transformation areas (one residential and the other one commercial/tertiary) are both in contrast to the previously identified criteria; thus development rights are transferred in the neighbouring municipality, Ranica. In this scenario, all municipalities (except Torre Boldone) maintain the share of building rights foreseen by the municipal plans unchanged. 4  INTER-MUNICIPAL REORGANIZATION OF LAND-USE FORECAST The first scenario is the most likely if we do want to think about hypotheses of reorganization of development rights at inter-municipal level [1, 2, 6]. It was decided to think in detail about this option since the ten municipalities of Seriana Valley represent an optimal ambit for an inter-municipal redefinition of land-use forecasts which would be effective and that would lead to a real reduction of soil consumption. This reasoning is meant to describe a drawing of inter-municipal cooperation in the field of urban planning and to carry out hypotheses of TDR among municipalities. It must be specified that the three landing transformation areas located in Albino, whose development rights are distinguished into residential, tertiary and industrial, have been identified on the basis of compatibility regarding the three criteria previously identified. Firstly, the landing areas do not contrast with the environmental performances of transversal ecological corridors; then, they are in favourable positions with respect to the system of generators and attractors of mobility; last but not least, they are coherent with the requirements of the provincial plan of Bergamo, [4]. 4.1  Estimating the missing amounts of services Taking into account quantitative aspects, we have examined what could happen in the landing residential area. At this purpose, we chose the area AT2 from the Albino Municipal Plan [11]; residential volumes coming from the inter-municipal reorganization of land-use forecast will be concentrated in this area. The goal is to estimate the amount of services required by the foreseen residents who will settle down in AT2. In AT2, the Albino plan currently foresees 214 new residents. According to the reorganization of development rights, further 2,528 inhabitants are going to be settled down in AT2. This large amount of new inhabitants ­corresponds to all the residents foreseen by the transformation areas taking off from the other municipalities of the valley. For what concerns the foreseen internal floor area (in Italian “superficie lorda di pavimento”), this amounts to 137,120 sqm, to be distributed on a portion of land equal to 19,454 sqm. The new inhabitants who will settle down in AT2 will bring the inhabitants of the City of Albino to grow from the current 18,218 to the expected 20,960 inhabitants. The current estimation of services is 505,358 sqm for the whole municipality;


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this amount is able to guarantee 28 sqm of services per inhabitant. It’s relevant to underline that this service ratio is higher than the minimum provided by the Regional Law n.12/2005 (18 sqm per inhabitant). It was decided in this case to maintain the current service ratio (28 sqm/inhab.) to guarantee to the new residents the same amount of services that the Albino residents have right now. In this respect, it is estimated that other 76,787 sqm of services must be realized to maintain unchanged current service ratio. 4.2  The impact of the new settlement on the urban surroundings The first step to understand the impact of the new settlement on the urban surroundings is a functional analysis, aimed at analysing which features characterize the close urban environment, in terms of practices and uses of urban space. The landing transformation area AT2 is located in a filter zone between the historical settlement of Albino, characterized by historical buildings of 3–4 storeys, and a more recent industrial district close to the Serio river banks. The concentration of development rights in AT2 takes place according to two possible cases, fig. 3. In the first case, the building surface (Sf) is equal to the plot area (St). Therefore, the receiving internal floor area (equivalent to 137,000 sqm) has to be distributed in a portion of 19,454 sqm. The resulting building is made of 7 floors, three more than the average height of the urban surroundings. The second case considers that the building surface Sf, equal to 13,560 sqm, is less than the plot area St; in this sense the aim is to take into account the Municipal Plan prescriptions about AT2 concerning the preservation of an historical building and a green area located within the AT2. By considering these guidelines, the resulting urban ensemble is highly discordant from the surroundings; the foreseen building will be made of

Figure 3: Two cases of arrangement of the volumes in AT2 transformation area considering St = Sf (on the left) and St > Sf (on the right).

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10 floors above ground, 6 of which beyond the maximum height of the surrounding buildings. Although none of these cases does integrate with the surrounding urban landscape, such reasoning is useful to understand the urban repercussions arising from the concentration of residential building rights in one area, in this case the AT2 located in Albino. It follows that the most desirable political scenario at inter-municipal level, namely a political agreement between all the municipalities of Seriana Valley for the reorganization of development rights and their concentration in one area, clashes with the need to choose an appropriate landing area that could get the volumes moderating the impact on close surroundings, and avoiding discrepancies at the level of urban landscape. 4.3  Estimation of the monetary compensations for each municipality The amount of sqm and inhabitants foreseen in AT2 in Albino, besides producing a strong impact on urban surroundings, requires the creation of a so-called “Compensation Fund”, a tool whose role is to collect and distribute the monetary resources coming from the actors involved in the process; it is finalized to estimate the financial compensation due to each Municipality yielding development rights. The formula chosen to estimate the compensation to be allocated to each municipality has been taken from one of the most recent and innovative inter-municipal plans (PATI) elaborated in Italy. In the PATI of Camposampierese [12], carried out by a group of eleven municipalities in the province of Padova in the north of Italy, the regulations’ document (“Norme tecniche di attuazione”) makes use of the TDR tool for the inter-municipal land-use forecast. As stated in the plan, the TDR (“perequazione ­territoriale”) is defined as the “process that carries on the rebalance and the equitable ­redistribution between the involved municipalities of the monetary benefits and costs resulting from the settlement concentration defined by inter-municipal planning decisions”. The formula for the redistribution of monetary benefits coming from the TDR application is the following:  a b c  Compensalion Municipalityi = ValoreTAB × 1 +  i + i + i   × SAT _ given i   aT bT cT   Compensation Municipality =  Compensalion due to every municipality giving SAT (surface of transfomation area) ai = SAT given by i Municipality aT = a1 + a2 + a3 + a4 + a5 bi = Inhabitants of i Municipality bT = b1 + b2 + b3 + b4 + b5 ci = surface of the i Municipality cT = c1 + c2 + c3 + c4 + c5 ValoreTAB = avarage market value The formula produces a proportional distribution of benefits arising from the new s­ ettlement to the Municipalities participating to the inter-municipal reorganization of building rights. Therefore the monetary values take into account not only the surface of the taking-off ­transformations areas, but also the number of inhabitants and the surface of the Municipalities. The so-called “ValoreTAB” indicates the current status of the land of the taking-off transformation areas. This was extracted from the document reporting the average values of agricultural land of 2014 drawn up by the Province of Bergamo. Therefore, depending on the


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status of the land (arable land, lawn, woods, etc.) of the areas, a given market value of the land influences the compensation due to each municipality. 4.4  Benefit and cost factors resulting from the new land-use forecast After having established the system to be used for distributing the monetary benefits arising from the inter-municipal reorganization of development rights, the following step provides the identification of the resources constituting the benefit factors. The development of the AT2 transformation area will produce primarily a share of planning obligations which are estimated around 49 million euro, obtained by multiplying the total internal surface for 200 Euros (average market value). Since every municipality has given varying amounts of buildable surface, these benefits must be redistributed proportionately among all the municipalities on the basis of the percentages obtained previously. In addition to the planning obligations, also the taxes the new residents will have to pay a source of revenue. The research has therefore referred to TASI (municipal tax on “indivisible” services) and TARI (municipal waste tax). Considering their national average values of 2014 (156 euros per family for the TASI and 284 euros per family for the TARI), it is estimated that the 2,084 foreseen residents, which will go to settle down in AT2, will produce revenues amounting to 305,653 euros. This share of monetary benefits will be destined to Albino Municipality since this money will be used to balance the cost factors referring to the new transformation area: the most important shares of these costs relate to the adjustment of existing infrastructure, the public services’ improvement (see paragraph 4.1) and the environmental rehabilitation of the neighbourhood with reference to new settlement expected impacts. 5  CONCLUSIONS The three scenarios have been able to describe a range of possibilities that municipalities, especially small ones, can go through in order to develop their land-use forecast. The first scenario describes the most viable hypothesis concerning an effective and efficient intermunicipal reorganization of development rights. In this case, a form of political agreement between the ten municipalities of Seriana Valley allows to foresee new residential and ­industrial areas at inter-municipal level; the suggested tool is the “Compensation Fund”, which can collect, manage and distribute the resulting cost and benefit raised by the new development. Moreover, a crucial phase of the process is the estimation of the impacts produced by the high concentration of development rights in the landing transformation areas, and by the population weight of the new settlements. Indeed new inhabitants will produce a new demand for services and public transport which must be taken into consideration. The second scenario has expressed a political agreement between small groups of two / three municipalities for an inter-municipal planning of land-use forecast. As in the first case, a form of compensation will be necessary to distribute among the municipalities the cost and benefit factors resulting from the new development areas. An assessment of the amount of services required by the foreseen inhabitants should be made to ensure that new inhabitants will have sufficient public facilities and infrastructures to guarantee fair life conditions. The third ­scenario, denoting a lack of cooperation between the municipalities for the land-use forecast, is the more likely case considering the current forms of localism and the absence of cooperation between Seriana Valley municipalities in urban planning sphere. At the same time, it represents the least desirable case, because of the current high soil consumption values and the weakened real estate conditions characterizing the Seriana Valley context. The

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case-­studies chosen for the reorganization of the development rights at inter-municipal level draw a panorama of methods and tools municipalities can chose to reach a more sustainable vision of urban development. The scenario making process [13], even if sometimes evidently visionary and unattainable, can offer a useful answer to the current reality of dispersed and incoherent geography of the land-use forecast in Seriana valley. Nevertheless working by scenarios aims at producing and experimenting innovative solutions which could orient local urban planning towards alternative directions of development. REFERENCES [1] Adobati, F. & Ferri, V., Perequazione territoriale. Tavoli di concertazione e misure di compensazione. Commercio e politiche territoriali: quattro temi emergenti, eds. F. Adobati, A. Oliveri & L. Tamini, University Press: Bergamo, pp. 15–19, 2005. [2] Gibelli, M.C., Extended transfer of development rights in Urban Planning: a singularity within the international context. Diritti edificatori e governo del territorio: verso una perequazione urbanistica estesa?, s.i. of Scienze Regionali, eds. R. Camagni, E. Micelli & S. Moroni, 13(2), pp. 45–58, 2014. [3] Clément, G., Manifesto del Terzo Paesaggio, Quodlibet: Macerata, 2005. [4] Piano Territoriale di Coordinamento Provinciale di Bergamo, Province of Bergamo (approved by the Board Resolution n. 14 of April 22, 2004). [5] Allmendinger, P. & Haughton, G., Moving on – from spatial planning to localism and beyond. Town & Country Planning, pp. 184–187, 2011. [6] Micelli, E., La gestione dei piani urbanistici. Perequazione, accordi, incentivi, Marsilio Editore: Venice, 2011. [7] Balducci, A., Fedeli, V., Manfredini, F. & Pucci, P., I Territori della produzione. ­Riorganizzare gli spazi della produzione in provincia di Vicenza, Alinea Editrice: ­Florence, 2006. [8] Bruzzo, A., Perequazione territoriale e compensazione finanziaria. Le opportunità dell’associazionismo a livello sovracomunale: il caso della Regione Emilia Romagna e della provincia di Bologna. Commercio e politiche territoriali: quattro temi emergenti, eds. F. Adobati, A. Oliveri & L. Tamini, University Press: Bergamo, pp. 37–46, 2005. [9] Carbonara, S. & Torre, C., Urbanistica e perequazione: dai principi all’attuazione. Pratiche di compensazione e di valutazione nei piani, Franco Angeli: Milano, 2008. [10] Bertolini, L., Nodes and places: complexities of railway station redevelopment. ­European Planning Studies, 4, pp. 331–346, 1996. [11] Piano di Governo del Territorio (PGT) di Albino (approved by Municipal Council on July 22, 2008). [12] Piano di Assetto del Territorio Intercomunale (PATI) del Camposampierese (approved by the Service Conference on April 11, 2014). [13] Viganò, P., I territori dell’urbanistica. Il progetto come produttore di conoscenza, ­Officina: Rome, 2010.

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Politécnica Salesiana, Carrera de Ingeniería Eléctrica, Ecuador. 2Universidad de Jaén, Departamento de Ingeniería Gráfica, Diseño y Proyectos, Escuela Politécnica Superior, España. ABSTRACT The advantages and limitations of renewable energy have been discussed in various studies with an aim to increase its participation within the national energy mix. Options are being sought to encourage its use, mainly with the deployment of large-scale installations, which in many cases are farther from the centers of consumption. Such approach does not reduce neither the losses associated with transportation nor the lack of empathy of urban society with the externalities produced in areas placed far from the cities. As an alternative, it proposes to raise energy self-supply by promoting the use of endogenous resources that a city may possess. It was determined that there are several technologies that are available and that can be applied in a city. In spite of the fact that its implementation can be conditioned by the existence of the resource, costs or acceptance of the community, it is urgent that urban planners include the use sustainable energy, in order to meet future shortages of resource and adverse environmental phenomenon. With this proposal we conclude that using the approach of urban metabolism it is possible to promote the use of available renewable energy resources at cities. Based on a general approach, it is shown that it is possible to contribute to change a metabolic linear model to a metabolic circular model. Keywords: planning cities, renewable energy, review, urban metabolism, urban sustainability.

1  INTRODUCTION Cities are the result of energy development; which more than just grouping the bulk of humanity concentrate buildings, transportation systems, industrial processes and other innovations. Residents of cities import a large quantity of materials that are transformed through processes, which can cause critical impact at the regional and global levels [1]. More than 50% of the world’s population lives in areas regarded as urban, which consume more than two-thirds of primary energy, which cause between 70% to 80% of greenhouse gas emissions associated with the use of energy, [2–4]. The expected environmental deterioration, including the future effects of global warming, requires that the manner in which cities are conceived is modified. As an essential step, the need for public policy and organized planning arises in order to cause a change in the behaviour of the population [5]. Given the enormous pressure exerted by the towns on the environment, the proposed changes are in fact an opportunity to promote sustainability [6, 7]. Alternatives have been proposed in several previous studies, and although they are not practical short-term solutions these must be analyzed further in cities where planning does not yet consider the decreasing consumption of material resources or energy [8, 9].

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-416-424

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Agudelo et al. [10], argues that planning should consider an efficient management of energy and materials for the development of urban infrastructure that reduces the constant requirement of these inputs. The long-term challenge is to reform energy policies so that they may allow a modification on the demand of the community [9], in turn, causing a change in consumer behaviour, the dynamics of the market and political forces. As an alternative to change, autonomous provisioning arises; the same which is defined as the ability of a community to provide internally for their basic needs. In the case of energy, it is envisioned that the community consider their local geography, as well as the availability of its resources to meet their demands [9]. Therefore, every community must analyze their own needs and the resources that are available for those needs. From here, it requires studying the local characteristics to define individualizing the obstacles and opportunities [11], compared to the inevitable reduction of non-renewable energy resources. The concept that allows to analyse this provision of the energy resource is urban metabolism (UM). This is understood as “the total sum of technical and socioeconomic processes that occur within cities that lead to the growth, production of energy and waste disposal” [12]. This approach of analysis has traditionally served to establish the material and energy flows of a city; and despite of it being referred to as a requirement and the establishment of a metabolic circular process, studies have focused marginally in energy sufficiency through renewable energies. Current technology allows for the provision of energy through renewable sources without requiring it to come from only large infrastructure. Vandevyvere and Stremke [13] state that efforts should be extended to include sustainable energy management in urban planning. A city with low energy imports and high presence of renewable energies, as well as an efficient use of energy, for example, will have an impact on the reduction of CO2. This work identified, through a detailed literature review, the renewable technologies that can be applicable to the city. In addition, it justifies how renewable energies can be seen as tools that allow a sustainable urban planning under UM. 2  URBAN METABOLISM Although studies that examine mass and energy in urban environments refer to the usage of diverse terminologies, often they are called urban metabolic analysis [1]. Cities have been compared to biological organisms, since they require energy and resources to transform them and convert them into work and waste. However, it is preferable to compare them not as the metabolism of a single agency but as an ecosystem or as the sum of ecosystems [14]. From this perspective, a city could be considered as a “new” ecosystem that has seen little development [6]. In this space, humans exchange materials and energy with the outside [15], in order to feed, work, live, transport and communicate [16]. 2.1  Methods used to evaluate urban metabolism Studies on UM use two general types of methodologies; on the one hand, are those that are based on an inventory of inputs and outputs (materials and energy), and on the other, those that use biophysical indicators that allow to represent the resources and energy efficiency in terms of emergy and exergy [4, 14, 17]. A specific categorization used to evaluate the urban energy profile, is based on Chen and Chen [18]:

Urban energy flows: which allow to monitor the direct energy consumption and it is possible to relate the energy imported and exported depending on the type of fuel used [18, 19].


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Figure1:  The use of renewable energy in order to promote circular urban metabolism.

• •

Analysis of inputs and outputs: that allows to assess the direct and indirect energy provided by two different productive sectors. Relationships between them are measured in terms of energy, as a function of what one sector contributes to the other [20, 21]. Analysis of ecological networks: allows for evaluation of the direct and indirect energy between various productive sectors. This approach considers that each sector has linkages with other sectors [18, 20].

Unlike UM that evaluates the inputs and outputs of materials, energy has a behaviour that differs, since it is not reversible. Energy allows the processing of materials and in spite of the fact that it can be stored, it generally dissipates [21]. The energy that enters the socio-economic system is known as direct energy [19]. This energy is the sum of the energy of domestic extraction and imported energy. In the first case, this energy is attributed to biomass energy within the study area. Imported energy, corresponds to the external energy, which would include the energy carriers and the energy contained in the materials. A specific productive sector, in addition to direct energy requires indirect energy. Indirect energy is that which comes from another sector, for example, the energy that comes from products or services [18]. All the energy that enters a sector is known as energy embedded and is the sum of the direct and indirect energies [18, 22, 23]. The use of the direct energy allows only a partial analysis of the totality of energy required by a city. In fact, the direct energy accounts only to 40% of the total energy embedded [23]. According to Chen and Chen [18], in certain sectors indirect energy can be between 26 to 30 times more than the direct energy. For the purpose of this work, direct energy of carriers that requires a city is analysed, since it is sought to identify the types of renewable energy that can be used in cities. With the knowledge that energy comes from energy carriers, it can be established that energy substitutes can be provided by renewable energy, and thereby being the first step to the proposal of changes. Likewise, reduction of energy flows from sources causing environmental impacts, emissions or waste, will involve the reduction of adverse effects. Figure 1 represents the use of renewable energy to promote circular UM. 3  RENEWABLE ENERGIES WITHIN CITIES The energy sector is strategic; on the one hand, it allows to maintain a certain lifestyle and, on the other, it is a basic requirement for the economic development of a society [24]. Industrial revolution allowed for the advancement of the sciences and a vertiginous urban growth related to the intensive use of energy supported by the exploitation of fossil resources [14]. For more than 200 years the urban energy model has been based on the use of fossil

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fuels, first with coal which allowed for the industrial development followed by oil which has facilitated urban growth [15]; however, the “fossil fuel era” would be near its end within the next 100 to 200 years [16]. Energy self-sufficiency through renewable sources is an alternative to promote a closed energy cycle in urban areas [12], to the extent that it should replace technologies that require fossil resources. An individual evaluation must be done for each city, due to its geographical conditions, the availability of resources, or the energy use, which can all be limiting factors for the use of one technology versus another [9]. Unlike the fossil-fuel-based energy, renewable energy sources (RE) are considered sustainable, because they can contribute to energy needs without reducing the availability of energy sources in the future. In addition, REs can be used in distributed applications, promote local labour and constitute an indigenous resource, which would have a direct impact on the long-awaited energy sovereignty of any country or region. In cities that have been built without considering the endogenous energy option, the buildings do not consider the incorporation of passive or active energy systems. Several studies have been conducted to show that it is possible for a city to become fully or partially energy self-sufficient. Páez [8], proposes that in conjunction with the renewable resources, bioclimatic architecture, energy efficiency and the implementation of programs that are directed to a circular pattern of UM must be promoted. 3.1  Case study Literature that indicates proposals from several researchers to promote the use of the REs in the cities was analysed. So far, there is no single method for assessing the potential energy within a city. The applicable technologies depend on the existing resources as well as the requirements for their use. It is not clear which is the best option from a technological, social, environmental or economic point of view. The choice will also depend on the available resources, the intended benefits or decrease of externalities [13, 25]. The technologies chosen are those that can be used in the cities, and whose technological maturity enables them to supply a percentage of the demand. The Institute for Energy Saving and Diversification of Spain (IDAE in Spanish) [26], classifies 11 sectors and 22 renewable energy systems. Based on a literature review, the authors established 11 renewable energy systems that can be applied in cities. Table 1 shows some examples of these systems, and the percentage of energy demand that could be achieved with their implementation. Systems were chosen whose resources were available within the city (biomass, solar, wind or geothermal energy) or come from it (waste or wastewater). Energy or materials that comes from outside is not considered because what is sought out is for the use of energy in a way that promotes circular urban energy metabolism. In the case of hydropower and the energies of the sea, even when there are experiences of its application in urban areas, their use would be limited in those cities that have the required conditions. The research focuses not just on one sole technology, as it is intended for several renewable energies to be used in order to improve the performance or satisfy energy demand [27, 28]. 3.2  Planning in cities For cities in the twentieth century to be suitable for the health conditions of the people, infrastructure was created or public policies were proposed based on scientific knowledge. The


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Table 1:  Examples of research on the use of renewable energy in cities. Sector



Bioethanol Biodiesel Gasification Direct combustion Co - combustion Biogas MSW* landfill biogas Incineration and co-incineration MSW* gasification Wave Currents Onshore Offshore Electricity generation Air conditioning Small hydro

[29] ----[30] --[31] [32]

120 6 - 40



----[34] [5] -----

------43 -----


[35] [36]

100 ---




Thermal Westminster Electric Switzerland village Electric Kerkrade

Solar thermal Central receiver Linear Fresnel reflector Parabolic Dish Stirling

[37] -----

46,6 -----

Thermal Mexico city ---------




Biogas Waste

Ocean energy Wind energy Geothermal

Hydroelectric Solar photovoltaic Solar thermal Solar thermoelectric

Reference % Demand 12,6 ----4,36



Thermal Chinese Cities --------Electric Mar del Plata --Electric US cities Electric Mexicali, Tijuana Electric Brazil cities

Electric -----


----San Luis Wageningen -----


*MSW, Municipal Solid Waste goal, for example, was to provide the largest population with basic services or reduce diseases. The new paradigm for the twentyfirst century is changing because cities will have to cope with environmental changes and shortage of resources. Therefore, more than new infrastructures, the requirement will be for policies that promote the development of cities conditioning them to reduce their intake and to aim for a decline in waste generation [6]. It is proposed that cities are designed as a system with a circular metabolism [11]. To contribute to the development of renewable energies at the regional level, it is necessary to establish long-term strategies that point to a sustainable energy system based on available resources [24]. In this sense, Haberl [19] explains that the knowledge of the analyses that is derived from studies of material and energy flows will increase the efficiency of the resources used.

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Haberl [19] suggests that urban planning must be conditioned by the requirements of s­ ustainability. In this sense, proper management of resources that consider several topics is required, relating to the provision of water, energy and materials, public infrastructure, commerce and industry. To encourage the use of renewable energy, it will be required to accompany it with implementation of legal framework, tools, education and successful ­examples. In new sites, from the start planners can establish conditions to promote buildings that embrace the principles of bioclimatic or renewable technologies. 4  CONCLUSIONS UM is a tool that allows the identification of the material and energy flows within the city. Its purpose is to properly manage the resources that are required by cities without compromising the quality of life of the people or the environment from where the resources are obtained. One of the requirements of the current society is the use of renewable energies; however, in the planning of cities these are not being considered as mechanisms to reduce the importation of energy. UM aims to know, among others, energy flows. To establish which renewable technologies can be applied in a city, determining the flow of energy carriers is suggested as a first step to propose changes in the management of energy locally. Knowing the UM energy of a city, energy resources and renewable technologies, it will allow for the proposal of policies that encourage the implementation of one or multiple technologies. This paper describes that renewable energies can be used to promote circular UM. Several investigations show that part of the energy demand of a city can be covered by REs. However, the special conditions of a city, its location and energy requirements are limitations to the extensive use of a single technology. Through a literature review, 11 renewable technologies with different degrees of maturity have been identified, which can be applied in cities. Costs associated with the operation and maintenance and lack of empathy with the environmental events, prevent social acceptance and, therefore, its massive use. However, the need for a more sustainable energy system and the future role of cities will require to design new policies and planning processes to promote the use of renewable energies in urban areas, taking advantage of local resources. The use of RE´s within cities means a change of the current energy model. The proposed paradigm is reflected in the decrease in the import of energy resources outside the city. The utilization of energy resources will decrease the dependence on non-renewable resources pollutants, reduction of externalities related to construction and operation of large transport and power generation infrastructures. In addition, it would have an impact on the losses associated with energy transport. The proposal, however, involves several challenges. This will have an impact on the way cities are planned and will also require a change in the patterns of energy and material consumption. It is essential to be a more committed society with regard to environmental problems and, therefore, the sufficiency of energy as a guarantee for achieving sustainable development. As a complement to this study, the authors encourage to deepen the analysis, by first investigating the energy situation in a city. Once renewable technologies that can meet current demands are identified, it is possible to create local energy scenarios and by using sustainability indicators proposed options can be formulated. In addition to obtaining knowledge of the energy situation in the cities, the interests of those involved prior to implementing a local policy should also be considered.


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DRIVING FUNCTIONS FOR URBAN SUSTAINABILITY: THE DOUBLE-EDGED NATURE OF URBAN TOURISM R. FISTOLA1 & R.A. LA ROCCA2 of Engineering, University of Sannio, Italy. 2Department of Civil, Architectural and Environmental Engineering, University of Naples Federico II, Italy. 1Department

ABSTRACT Our concept of urban sustainability is changing along with our evolving modern society. It is related to a number of factors that have an impact on our current understanding of the concept of an urban system. Referring to a systemic approach to understanding the urban system, we can consider urban sustainability as the opposite of urban entropy, which represents both the “dark side of the urban system” and the negative component of each urban subsystem. Within these subsystems, we can identify some driving functions that play an important role in urban sustainability. Nevertheless, when these functions exceed the threshold of urban load, urban entropy increases exponentially. Starting with the very recent changes in urban entropy (as well as urban sustainability) and by assuming that the negative components of the urban system are connected to urban risks, two types of urban entropies can be defined: endogenous and exogenous. The first relates to internal conditions of urban subsystems which unplanned urban management can generate. The second one relates to external causes: natural and anthropic. Within this framework, tourism can be considered as one of the urban functions affecting the organizational process of an urban system. Tourism depends on internal factors and grows by generating exogenous flows. In many cases, tourism plays a fundamental role in an urban economy and it acts as a strategic factor for urban competitiveness. When tourism exceeds urban capacity, it causes urban malfunctions. In this sense, tourism is one of the most sensitive urban functions regarding the process of entropy. Using the systemic approach as a theoretical reference, this paper states that tourism can act as a driving function able to shift the urban system towards sustainable condition if it is integrated into the process of town planning. Keywords: systemic approach, tourist city, urban entropy, urban tourism.

1  THE DOUBLE-EDGE NATURE OF TOURISM The connection between tourism and the city is complex. Cities are physical places where the needs of tourists and inhabitants intersect. This means that cities must face different demands by offering adequate structures and facilities. This condition characterizes the tourist cities and may be representative of their vulnerability. The tourist demand, in fact, can be considered as an additional urban load that can compromise the balance of a city organization affecting its urban quality of life. Nevertheless, tourism is seldom studied as an intrusive activity because of its indisputable positive economic effects. The relevance of the key role of tourism on urban economies prevails over a consideration of the impacts that it generates on an urban environment as well as on the general organization of a city and on the socio-anthropic system in terms of conflicts between residents and tourists.

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-425-434


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In this study, the double-edged nature of tourism refers to the ambiguity of tourism in that it is both an economic resource and a generator of negative impacts (overcrowding, pollution, noise, soil and energy consumption) on urban systems. The second aspect concerns town planning more directly, if we consider that the efficiency of a city also depends on the quality of services and infrastructures composing the urban supply. This could be better understood if we thought of tourism as a system comprising two main components: the demand-side and the supply-side. On one side, tourism demand concerns the needs expressed by a non-residential population. On the other side, tourism supply refers to the presence of facilities and structures in the city to satisfy this demand. Town planning can influence the demand-side by intervening on the supply-side in terms of quantity, distribution and qualities of facilities and structures in order to assure the efficiency of the city. In other words, the urban planner’s challenge consists in defining the conditions (policies and strategies) and the technical tools required in order to provide a qualified urban supply (of services, spaces and facilities) that has to be compatible with urban characteristics and resources. In this sense, tourism planning and land-use are closely connected and, if properly planned, tourism can be a driving function to lead the urban system towards a more sustainable dimension. The adoption of a systemic logic allows us to propose an innovative approach to the study of the relationship between tourism and the city. 2  THE CITY AS A SYSTEM Considering the multiple phenomena of perturbation currently affecting the human settlements of the planet, it is clear that cities – which represent the physical locations where the future of the planet will be decided – have to be interpreted through paradigms that will be able to take into account non-linear trends, events with high incidence of imbalance and entropic processes. Nowadays, these processes are undergoing an exponential growth. Moreover, considering the systemic entropy that currently characterizes our human presence on the planet and which catalyzes events such as an economic and financial crisis, climate change, a growing social conflict, an energy problem, etc. it is clear that the science of complex ecodynamic systems [1] appears currently to be the only scientific reference, which is usefully adoptable, able to correlate strongly interacting elements in the current urban dynamics and able to take account of potential stochastic evolution of the city system, hardly understandable by adopting other interpretive paradigms. Furthermore, complexity theory seems to be the only way to discover a common code inside the mechanisms of the universe [2] and of the city, as well. A number of cities are today in a deep structural crisis due to economic, social and functional problems. By applying a systemic approach [3] to the study of the city, it is possible to analyse the different urban components and the factors responsible for this crisis. Considering the city as a complex evolving system, it is possible to define an entropic condition in which the system can fall on its own accord during its evolution. This entropic state affects all urban subsystems but in a different way in terms of peculiarities and intensity. Considering that urban subsystems are components of the whole city, it is possible to focus on identifying which of these are responsible for the major amount of the entropy and, consequently, to set up a more effective urban policy to implement in the city. As is well known from urban literature, the systemic approach could be considered the most useful way to understanding the evolution, transformation and state of an urban system. Thanks to this approach, the city could be interpreted as a complex dynamic system and a number of seminal studies have been conducted on this topic.

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Interpretation of the city as a complex system is very useful in order to envisage the future state of the urban system and the capability to identify a large number of urban subsystems that are components of the city from a holistic point of view. As mentioned in previous studies [4], it is possible to distinguish some urban subsystems that could be clusterised as “generative” subsystems and others that can be enclosed in a set called “generated”. The first cluster contains subsystems such as the social-anthropic subsystem and the geo-morphologic one. These two subsystems contain the bio/anthropic component and the land/environmental component of the urban system. These subsystems are the main components of the urban system as a whole and from these subsystems are born others that one can reasonably call generated urban systems. The physical subsystem has the built space of the city as its main component. Furthermore, the functional subsystem is structured by urban activities. The last one is the most affected by entropic phenomena. 3  TOURISM AS A RESOURCE OR AS AN ENTROPIC FUNCTION Thinking in a systemic framework makes it possible to envisage that all the subsystems are connected to each other and that they interact simultaneously. The change of status of a part of one of them determines a change of the entire subsystem that produces a domino effect of mutation on all the others and, consequently, on the entire urban system. The structural crisis is due to a generation of entropy in one of the subsystems that is transmitted, with a propagation amplified chain, to all the others and to the whole city. In normal conditions, the urban system evolves inside a sustainable range of development, where the production of entropy is under control (Fig. 1). For an endogenous malfunction in its parts or in its structure, a subsystem could be characterized as an “entropic” generator and to provoke a chain of damage that, by reducing its complexity through the destruction of relational structures [5] can lead to a collapse of the whole urban system (Fig. 2). It is, therefore, possible to relate the urban crisis to the generation of entropy that originates inside of the subsystems; among them, the functional subsystem is the much more sensitive one to this phenomenon. The entropic crisis can be similarly cata-

Figure 1: The urban system (made up of urban subsystems) inside the range of correct (sustainable) evolution described by status on the y axis and time on the x axis.


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Figure 2: The functional subsystem affected by entropy drives the entire urban system towards the entropy zone making it necessary to use new resources to recover the system. lyzed by an exogenous factor to the urban system that comes from the meta-system, and also in this case, acts primarily on subsystems of higher vulnerability as the functional system. The activities of a functional system can then be elements of evolutionary propulsion, when acting properly inside the city, but can become entropic generators if affected either by endogenous dyscrasias or by external forces from a meta-system. Tourism is probably the most emblematic urban activity of this phenomenon. For many cities across the world, tourist activity generates a large percentage of the economic base of the city and all other urban functions are interconnected with it (trade, mobility, residence, etc.). When the tourist activity becomes too invasive in the city, it generates those entropic processes that progressively lead the city towards a slow degradation. It is possible to identify this process as the “urban ousting”, which occurs when excessive numbers of tourists invade the urban space and they become “entropic city users”. Urban ousting may occur in a “partial” way when, within the city, particularly important but temporally limited events are held such as: sporting events, shows, fairs, etc. that determine, at times, the closure of entire urban quarters or even in a “total” way, when the tourist polarization is so high that it even causes a shift of residents. This is evident in particular urban contexts, for example in cities like Venice (Italy). It is, therefore, necessary to manage the tourism phenomenon appropriately in order to avoid leading the urban system towards an entropic status. While aspiring to find some non-entropic policies in order to manage the urban tourism phenomenon, it seems necessary to group a classification of the different types of cities, considered with regard to the characteristics that determine a particular tourist polarization. 4  THE TOURIST ESSENCE OF A CITY: A TAXONOMY FOR URBAN MANAGEMENT The classification of tourist cities (even though not exhaustive) can be a useful tool to analyse the relationship between tourism and an urban context. It can also help to define policies aimed at reducing urban entropy, in particular when an urban system is a tourist city.

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With this objective in mind, we first indicate the causes that make cities a “tourist destination”. In the history of tourism, cities have always been favourite destinations. For tourists a city represents an unsurpassable opportunity for cultural, economical and relational enhancement. We can state that urban tourism is generated from this legacy, becoming an object of research in the past two/three decades [6–8]. Based on the spread of urban tourism, many cities have converted their own image into a tourist destination even though in some cases they had never had such an entity (Torino, Milano, Bilbao, Essen, Liverpool, Glasgow, Baltimore, Berlin, etc.). In this context, tourism acted as a catalyst of interest for many cities. On the other hand, cities, according to market logic, began to propose their resources as a “product” generating a demand (tourist demand). The ability to make resources accessible and to communicate them as attractive factors (the supply-side of tourism) is the element that triggers the process of conversion of a region in a “tourist destination.” In this conversion, cities became a favourite tourist destination because of their multifunctional nature. Cities do indeed converge a multiplicity of factors that attract tourists; these factors not just serve as physical elements (monuments, historic centers, cathedrals etc.) but also offer the possibility for tourists to take part in events and occasions that can make their experience unique. The combination of these elements makes the city an exclusive “sensible” tourist destination. Sensibility refers to the need of managing the tourist flows in the city in order to reduce danger of the urban system falling prey to entropy conditions. The need to manage tourism in cities is an object of discussion that has also been referred in recent scientific literature, [9–12]. Nevertheless, there is still a lack of interest in considering the management of urban tourism as part of city planning, of transport design, or urban regeneration policies (where most of the local tourism strategies take place). Some researchers in the tourism sector agree in promoting a holistic approach to deal with both urban management and destination management as they both relate to an urban system [13]. Until now, the emphasis has been laid more on the promotion of tourism rather than on the definition of strategies and policies aimed at integrating the exigencies of development with the need of preserving territorial resources. Urban planning (by which we mean the search for an order through a plan) in tourist cities should be addressed towards integrating urban marketing and governance. The integration between these two intrinsically related interests is essential to promoting sustainability in cities, and particularly in tourist cities. Being a diffusive and an inter-sectorial activity, tourism can be the means to promote sustainable models of the city and its resources, therby improving change in visitors behaviour (more attention to energy and water consumption, to waste generation, to promotion of soft mobility etc.). In the context of these considerations, the proposal of a classification is the first attempt to analyzing the complex relationship between tourism and the city, highlighting how the tourism function may play different roles within an urban organization. Making a typology of cities with high tourist vocation is not as simple as tourists using a city for different purposes (leisure, holiday, cultural, business and so on). Still, it is possible to classify a tourist city on the base of the relationship it creates between tourist trends and the city itself. We start from the classification of Buhalis [14] and go beyond the goals of promotion of the tourist destination by introducing the issue of governance of tourism as an urban phenomenon in order to control the causes that can lead to an entropy condition. We consider that the “tourist cities” can be classified into four main types:


• • • •

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emblem cities, scattered supply cities, mono-polar cities, niche cities.

Emblem cities have been considered as those destinations whose attractiveness strongly depends on their uniqueness. Tourism function prevails over everyday urban functions and can represent a real threat of exceeding the level of the carrying capacity of the city. The concentration of tourist demand inside a city jeopardizes the balance of the total urban system and in this sense, the city–tourism relationship is heavily skewed. The main risk consists in the denaturalization of ordinary urban activities. Urban economy bases are exclusive activities that offer services related to tourism and this is detrimental to handicraft activities connected with the history and culture of the city. These cities are economically dependent on tourism and they are struggling to withstand the massive load of tourism. The most representative example of such a case is the city of Venice in Italy, or Barcelona in Spain where conflicts between tourists and residents occur. In these cities, the resident population does not share tourism development policies, and suffers from the increased cost of living. The effect on resident population consists mainly of a gentrifugation due to cost polices and to the massive load of tourism (the “urban ousting” is that residents gradually move farther and farther out of the inner city towards places that are less crowded and have a lower cost of living) (Figs 3 and 4). Scattered supply cities have been defined as cities characterized by the diffusion of different important attractions throughout the territory, which are available and are able to satisfy diverse segments of tourist demand. In these cities, the tourist function has an important role in that it distributes its goods in different urban zones and makes particular use of the most historically representative areas of the city. Tourist movement in many places is concentrated only during certain periods of the year or during certain special occasions or events. There can also be cities that do not have an embedded tourist vocation and have only recently converted their urban image. The Italian city of Turin can be a significant example

Figure 3: Resident population in Venice from 1999 to 2014 (elaboration on Regional Tourist Office Data 2015).

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Figure 4: Tourist pressure (Tourist presences and resident population ratio) in the Italian Metropolitan Areas (elaboration on Istat data 2013). of this typology of tourist cities. This city has reconverted its image (from a city that was a symbol of industrial production) rediscovering its historical heritage and proposing itself as a cultural tourist destination. This change resulted also in the nomination of Turin as the location for the 2006 Olympics, which set off the process in which large urban areas were reconverted while maintaining the dynamic relationship between the city and tourism. In mono-polar cities, the tourist function is almost exclusively centered on a single pole of attraction and it is concentrated in the place where this attraction is found. The system of services is specialized and is aimed at a specific segment of demand. An example of this typology can be found in cities that are interested in promoting religious tourism (Lourdes, Assisi, San Giovanni Rotondo, Fatima), which is an evolution of original sites of pilgrimage. Other examples of this typology are seaside cities and mountain ski resorts where tourist activity has strongly characterized the urban asset and its development. Local economies are totally based on tourism and they are often the result of an investment strategy exclusively oriented to tourism development. The niche cities (villages, small urban cities) represent an emerging segment in urban tourism. In this case, the tourist function rarely reaches the point of excess and is activated by various elements of attraction that are connected with local tradition. This city is in contrast to the model of mass tourism destination proposing cities as “excellence poles” of a network and is aimed at promoting territorial identities. The relationship between tourism and the city in this case, probably more than any other, focuses on the interaction among different organized poles of tourist supply that interact with each other. The Slow City Movement can be representative of this typology, underlining the need to improve alternative models of tourism and make use of the city [17]. The proposed urban “slow model”, in fact, refers to the medium- to small-sized cities (50,000 inhabitants) where it is possible to take on an alternative lifestyle. The main challenge consists in applying the concept of slowness to the city where, on the contrary, there is a prevalence of the concept of speed as a means to maximize efficiency.


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5  FROM TOURIST ESSENCE TO URBAN PLANNING Integration between tourism and town planning is a difficult task, as there are different levels of responsibilities and purposes of the public sector as well as of the private sector [15]. Nevertheless, some hypotheses of policies that can be adopted can be formulated according to the previous (not exhaustive) taxonomy proposed and in order to achieve a balanced status, even though dynamic, for the urban system. In particular, we refer to the definition of interventions that have to be framed within the objectives of:

• • •

restraint policies, policies for the management of tourist flows, participation planning policies.

In the first case, interventions have to consider the need wherein the maximum capacity that an urban system can sustain cannot be exceeded. These measures can include also demarketing actions [14]; that is, the introduction of limitations in using the most sensitive urban areas (monuments, historical centers, archeological sites etc.). This aspect has to be considered in the definition of a local urban master plan where the distribution of the urban charges have to be decided by planning the supply-side elements (urban services and facilities). In the second case, policies should also consider visitor management techniques to distribute tourist flows inside the city diverting them from more congested attraction areas to alternative paths of visiting the city. Sensitive areas of the urban system should be considered “protected areas” where some restrictions may be applied in order to reduce the impact of tourism. In particular, these measures should aim at:

• • •

reducing the use of the sensitive areas (demand-side), varying timing and distribution of use (supply-side), improving action that can modify visitor behaviour (supply-side).

In the third case, measures have to consider the participation of all the actors (publics and privates) involved in the process of tourism development, wherein policy decision-making should be on a shared-approach basis. Such an approach permits reducing the conflicts that inevitably occur between tourists and residents and promotes more sustainable forms of tourism. The balance that can be attained among the diversified interests that the tourism development involves is dependent on the realization of an efficient system of governance. Governance in tourism is largely discussed in the scientific literature [16] and it mainly refers to the cooperation and partnership between public administrations and private stakeholders as the fundamental requisite for the success of a city as a tourist destination. The proposed policies can be considered as first guidelines that can reduce the risk of generating dangerous entropic phenomena within the functional system (such as urban ousting), which could produce an entropic decay of the urban system as a whole. 6  CONCLUSIONS The paper adopts a systemic approach to understanding how to manage the strategic urban functions that can drive cities either along a sustainable evolution or, on the contrary, towards dangerous conditions of entropy. Within the urban system, two types of entropies can be identified: an endogenous and exogenous. The first relates to internal conditions of urban

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subsystems, which unplanned urban management can generate. The second one relates to external causes that can be both natural and anthropic. Among urban activities, tourism can be considered as a leading function that is capable of shifting the system towards one of the two opposite states. The double-edged nature of tourism, in fact, was attributed to its ambiguity of being, at the same time, both a positive factor of urban development and a generator of negative impacts on urban environment. Until now, the emphasis was laid more on the promotion of tourism rather than on the definition of strategies or policies aimed at integrating the exigencies of development with the need of preserving territorial resources. What this paper has tried to highlight is the conviction that tourism can act as a leading function capable of shifting the system towards more sustainable states if it is integrated into the process of urban governance. This is possible by managing the entropy that the evolution of the city generates considering the different typology of the tourist cities. Even though it cannot be considered exhaustive, the taxonomy proposed, thus, can be a useful tool with which to define adequate policies aimed at balancing the relation between tourism and the city. In search of this balance, town planning must play a strategic role, renewing its logics in order to evolve towards integrated processes of governance. REFERENCES [1] Prigogine, I., Le leggi del caos, Laterza, Bari, 2008. [2] Chaisson, E.J., Using complexity science to search for unity in natural sciences. In Complexity and the Arrow of Time, eds. C.H. Lineweaver, P.C.W. Davies & M. Ruse, Cambidge University Press, p. 68, 2013. [3] von Bertalanffy, L., General System Theory, Penguin Books: Harmondsworth, 1972. [4] Fistola, R., La città come sistema, (Volume II, Chapter 2). Per il XXI secolo una enciclopedia. Città cablata e nuova architettura, eds. C. Beguinot & U. Cardarelli, Università degli Studi di Napoli “Federico II” (Di.Pi.S.T.), Consiglio Nazionale delle Ricerche (I.Pi.Ge.T.), Napoli, 1992. [5] Fistola, R., Urban entropy vs sustainability: a new town planning perspective. In The Sustainable City VII., M. Pacetti, G. Passerini, C.A. Brebbia & G. Latini, WIT press, WIT Transactions on Ecology and The Environment, 155, pp. 185–204, 2012. [6] Pearce, D.G., An integrative framework for urban tourism research. Annals of Tourism Research, 28(4), pp. 926–946, 2001. [7] Ashworth, G.J., Urban tourism: still an imbalance in attention? In Classic Reviews in Tourism, ed. C. Cooper, Clevedon: Channel View, 2003. [8] Ashworth, G. & Page, S.J., Urban tourism research: recent progress and current paradoxes. Progress in Tourism Management, 2010. [9] Evans, G., Planning for urban tourism: a critic of borough development plans and tpurism policy in London. International Journal of Tourism Research, 2, pp. 307–326, 2000.;2-5 [10] Pearce, D.G., Tourism development in Paris: public intervention. Annals of Tourism Research, 25(2), pp. 457–476, 1998. [11] van den Berg, L., van der Borg, J.L.J. & van der Meer, J. (eds), Urban Tourism: Performance and Strategies in Eight European Cities, Avebury, Aldershot, 1995.


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[12] Law, C.M., Urban tourism and its contribution to economic regeneration. Urban ­Studies, 29, pp. 599–618, 1992. [13] Pearce, D.G., Urban management, destination management and urban destination ­management: a comprarative review with issues and examples from New Zeland. International Journal of Tourism Cities, Emerald, 1(1), pp. 1–17, 2015. [14] Buhalis, D., Marketing the competitive destination of the future. Tourism Management, 21, pp. 97–116, 2000. [15] La Rocca, R.A., The Role of tourism in planning the smart city. TeMA Journal of Land Use, Mobility and Environment, 7(3), pp. 269–283, 2014. [16] Hall, M.C., A typology of governance and its implications for tourism policy analysis. Journal of Sustainable Tourism, 19, pp. 437–457, 2011. [17] La Rocca RA From Sustainable City to Smart City. In Papa R. ed (2014) Towards Smart City a Scientific Approach, Aracne Editrice, Roma, ISBN 978-88-548-7024-6.

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THE ROLE OF BUSINESS INCUBATORS IN THE DEVELOPMENT OF SUSTAINABLE CLUSTERS OF CULTURAL AND CREATIVE INDUSTRIES A. ROMEIN & J.J. TRIP Faculty of Architecture and the Built Environment, Delft University of Technology, the Netherlands.

ABSTRACT Clusters of cultural and creative industries are rather widespread in and surrounding inner cities. The development and dynamics of these clusters are objects of study of various conceptual approaches: some aim at their role and significance for urban development, others at their development and dynamics as such. These latter approaches focus primarily on producers or consumers of cultural or creative goods. By contrast, this paper explores the role of a particular type of secondary or ancillary activity – the business incubator – in the development of these clusters. The paper is explorative and draws no explicit conclusions. Nevertheless, the incubator appears to be an ancillary activity that contributes in various manners to sustainable cluster development, i.e. not only by their output of young, trained entrepreneurs in possession of up-to-date knowledge and skills, but also by means of, for instance, their buildings and social networks. Keywords: business incubators, clusters, cultural and creative industries, inner city, start-ups, vacant industrial building.

1  INTRODUCTION Like industries in general, the recently conceptualised category of cultural and creative industries (CCIs) tend to cluster in specific urban localities. This category’s subsector of high-content industries – including consumption in situ of local cultural heritage or performing arts, production of cultural products (e.g. film, media, music), design-based craft industries or applications of information and communication technologies (ICTs) – is mainly located in urban zones of transition, usually at the fringes of inner cities. This locational preference is due to their sensitivity to particular qualities of place at the neighbourhood scale [1]. According to Stevens [2: 2], these concern ‘distinctive physical characteristics like mixed land use, ageing structures, and a wide range in type and quality of functions’. In a paper on urban planning of cultural quarters in Glasgow and Dundee, McCarthy [3: 398] defines this type of cluster as ‘a spatially limited and distinct area which contains high concentration of cultural facilities compared to other areas […], though the specific activities within such a quarter may include ancillary activities such as libraries and informal recreation’. The focus of this paper is on the potentialities of business incubators as one particular type of ancillary activities to support sustainable growth and innovativeness of CCI clusters. Business incubators are businesses themselves but instead of cultural or creative goods, services or performances, they ‘produce’ start-ups; entrepreneurs that are trained to set-up a new firm. To the best of our knowledge, this contribution of incubators has not been explored explicitly yet. This paper makes a first move to fill this gap in our knowledge.

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-435-445


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In spite of McCarthy’s definition, the CCI cluster is far from a well-defined and conceptually clear concept. It embraces a broad diversity of practices that differ from each other on various features – the above-mentioned distinction between consumption – versus production orientation is only one. Furthermore, their development and dynamics are objects of study of various research disciplines and conceptual models. These include urban spatial planning, culture-led urban regeneration, creative city, urban and economic geography, cultural economy and urban design. Regarding urban design, the question how it nurtures CCI clusters is typified by Stevens [2: 3] as a still ‘nascent area of enquiry’. The same lack of an unambiguous practical demarcation and of conceptual clearness holds for the business incubator. Over all, these show a wide variety in, for instance, size, focus (highcontent or high-tech industries), incubatees (pre-start-ups, start-ups or more mature firms), ownership (public, private) and funding (public, non-public). Hence, it is not surprising that numerous attempts have been to define and classify incubators (for an overview see e.g. [4, 5]). Our conceptual approach to explore how incubators may contribute to the development of CCI clusters in a sustainable way is based on the concept of quality of place, in a broad meaning. This approach is partly based on elements of some of the above-mentioned academic disciplines. We distinguish two types of qualities: place-based and cluster-based ones. The first type embraces qualities of the locality where CCI firms concentrate, whereas the second type is intrinsic to that concentration, i.e. interactions and interrelations between firms, secondary services, ancillaries and people – workers or visitors. Further, each of both types is subdivided into two types of ‘space’: respectively material and symbolic space as place-based qualities, and social and economic space as clusterbased qualities. Material and symbolic space involves the physical qualities and symbolic meanings of buildings and design and morphology of the urban environment. Social and economic space concerns quality of labour, linkages between firms and the role of social and business networks. The relationships between these qualities of place and the dynamics of CCI clusters are reciprocal. Correspondingly, business incubators provide services to entrepreneurs, usually start-ups, in CCIs that fit within three dimensions that match the types of spaces: the building (cf. material and symbolic space), a programme of supporting services (cf. economic space) and networks (cf. social space). The next section of the paper presents an analysis of the four types of spaces and the role these play in the development of the CCI clusters that are usually found in cities’ central locations. After that, the three distinguished types of services supplied by incubators to CCI clusters are elaborated. Next, an overview of incubators’ possible impacts on cluster dynamics is presented, and finally some concluding remarks will be presented. 2  SPACES OF CCI CLUSTERS The city until the mid-20th century was characterised by ‘mega spaces’ of single-use corporate structures – industrial, commercial or residential. As Hutton [6: 212] observes, these have been broken up and transformed into ‘a complex and variegated landscape which form much of the territorial domain of the cultural economy with its diversity of mostly smallscale enterprises in the form of cultural quarters or precincts’. This type of landscapes may also include traditional high streets of former residential quarters of workers in these corporate spaces. Separately, each of the four different types of spaces of our conceptual model has limited power to explain why and how CCIs agglomerate in specific sites of these current fine-grained urban landscapes of interpenetrating land-uses in inner cities. For, a CCI cluster

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is a multiplicity and to the extent that it can be understood by qualities of place, that is only by a mixture or assemblage of these four types of spaces [1, 7–9]. 2.1  Material space Many of the observations on how material, or physical, space impacts on clustering of CCIs go through social processes and psychological values that underlie creative production. Nevertheless, some physical characteristics of old obsolete buildings in former corporate mega-spaces – mainly former factories or warehouses – have direct impacts on clustering of CCIs by providing accommodation. The first direct impact is the low rents that are usually charged, primarily by local governments as guardians of that built heritage left behind after bankruptcy or move of corporate firms. A low rent is not only a low barrier of entry but also enhances risk taking and facilitates experimentation by the (very) small firms that are typical for CCIs, hence contributing to innovativeness of the cluster. In addition, these old buildings usually offer qualities like high ceilings and doorways, natural light, and most of all large open spaces. Many firms in CCIs demonstrate a marked affinity for such spaces because of the opportunities these offer for adaptive re-use. In spite of the benefits of obsolete cheap buildings, Wood & Dovey [1] argue in favour of mixed landscapes of both these with new, more expensive buildings. That mix also service mature firms, either firms that matured within the cluster or newcomers, which are less experimental and are consolidating their markets, hence contributing to greater diversity of firms that reciprocally draw upon one another in CCI clusters. 2.2  Symbolic space Many workers in CCIs also demonstrate affinity for the symbolic or even emotional values of former corporate spaces due to qualities as their ‘look and feel’, authenticity and roughness but also a sense of familiarity or contentment [10, 11]. These qualities concern old industrial buildings, their in-between public spaces, and the typical urban morphology, building typologies and architectural styles and elements. Clare [12: 2] quotes an entrepreneur in the advertising cluster in Soho, London, who appreciated the grittiness, rawness and lack of ‘that sticky corporate feel’ of the neighbourhood. Such qualities may determine places’ image, identity and reputation that attract new firms in CCIs. Symbolic space serves as raw material that stimulates imaginative capacities of producers of creative and cultural commodities to think outside the box. However, the relationship between symbolic values of place and clustering of CCIs is broader than this. Boontharm [13: 279] points at the possibility of the reverse impact: the cultural industry studied in the paper – fashion – ‘can transfer its potentials and benefits into the urban realm’. And Gibson (2008; see [14: 2833]) comments that places’ symbolic attributes can be incorporated into aesthetic or expressive values of CCIs’ products, music styles in his paper. In the course of time, clusters of producing firms, institutional ancillaries and ‘specialised audiences’ with a strong local identity can become a brand for a product that is based on tradition and reputation. 2.3  Social space Place-based agglomeration of firms and workers in CCI clusters is considered by many to be a collective social process within a local vibrant and creative atmosphere that creates high


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l­evels of interaction conductive to production. As Martins [8: 127] emphasises, ‘social practices are critical part of the work’ in these clusters. Social network can be full of buzz – a transmitter of information, knowledge and ideas about new technologies, commissions or market trends across clusters. Buzz leads to interaction and, if expedient, to cooperation of workers and firms in projects. These social practices are critical because of the production structure of CCI clusters that is typified by a high proportion of mutually intertrading and subcontracting micro-, small, and (a few) medium-sized firms. These place-based communities of firms depend strongly on intensive mutual contacts that involve, in the words of Grabher [15: 245], ‘agencies, personal ties, localities and corporate networks which provide essential sources for project-based organizing [of practices of production: authors’ addition]’. Grabher explores how the ‘project ecology’ has undercut the firm as the basic analytical unit of production organisation of a typical CCI, advertising industry in London. Social practices as ‘critical part of the work’ [8] are related in various ways to material space. Elements of the material space such as small grain size, pedestrian friendly and permeable streetscapes, and ‘open interfaces’ between activities in the street and in buildings [1, 9, 14, 16] all contribute to encounters of workers in CCIs that generate buzz. Buzz is also generated in so-called third places – hybrids between the social environments of home and workplace, like cafés, bars and clubs with day-, evening- and night-time opening hours. Martins [8] elaborates the role of third spaces by means of the concept ‘extended workplace’. Many entrepreneurs and workers in the typical small firms distribute their work patterns over multiple settings: ‘the base’ – office or residence – and complementary semi-public and public ancillary spaces that are occasionally used for specific work practices. She distinguishes three types of ancillary spaces: the ‘workafe’ for autonomous and collaborative work; the ‘meeting place’ for work-related meetings with either clients or own staff; and the ‘break-out space’ for less work-intensive tasks such as informal internal meetings or just ‘thinking’. Such spaces within walking distance contribute to make the area a good working neighbourhood. 2.4  Economic space According to Porter’s concept of industrial cluster [17, 18], industrial firms concentrate geographically for the ready availability of skilled labour, of supporting and ancillary trades, and of different firms in different stages and branches of production within the field of specialisation. Martin & Sunley [17] criticise Porter’s concept for the lack of spatial range or limits to his clusters: these can be either dispersed across countries or locally concentrated. With regard to contemporary arts industries, Grodach et al. [19] point at their great propensity to cluster in US metropolitan areas, whereas other authors scale down to more fine-grained interwoven configurations of firms specialised in particular CCIs - usually small or micro - at particular localities within cities [12, 17]. Firms in these particular localities can benefit from concentrations of potential clients; ancillary services like finance, advanced business services and educational institutions; and a labour pool that supplies varied skills. Moreover, co-presence on that small scale is critical for firms in the project ecology that is characterised by successive temporary business relations. 3  DATA COLLECTION The data for the section on services provided by business incubators in CCIs are obtained by the transnational project InCompass, co-funded by the EU INTERREG IV-C programme. It

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Table 1: Cases studied. City/region



Rotterdam (NL)

May 2012

Milan (IT)

June 2012

Øresund Region (DK, SE)

November 2012

Lisbon (PT) Patras (GR) Asturias (SP)

April 2013 June 2013 November 2013

Medway (UK) London (UK)

February 2014 February and ­September 2014

Creative Factory DNAMO Fabbrica del Vapore Hub Milano Make a Cube3 Malmö Incubator Media Evolution City (must be Malmö) Company Care (Copenhagen) CoWork Lisboa Carnival Lab Factoría Cultural (Aviles) School of Female Entrepreneurs LABoral Valnalón coFWD/Project 161 Camden Collective Cockpit Arts Trinity Buoy Wharf Cultural Industries Development Agency (CIDA) London Met Accelerator Centre for Creative Collaboration (C4CC)

was carried out between 2012 and 2014 by a consortium of academic researchers, urban policy makers and incubator managers from 12 partner cities or regions in seven EU countries. The consortium paid study visits to 21 incubators specialised in CCIs in eight of these cities or regions (Table 1). During these study visits, data were obtained by presentations, discussions and some ­in-depth interviews with incubator managers, start-ups and local and regional policy-makers. When necessary, additional information was gathered afterwards from the visited incubators. The results of the case studies have been validated by local experts from the regions visited. It was not the explicit aim of InCompass to assess incubators’ impacts on development of CCI clusters. Consequently the visited cases were not by definition part of a distinct CCI cluster, in spite of the fact most of their buildings had a manufacturing or commercial past. Their possible impacts on cluster development came up for discussion occasionally during the study visits, and the huge amount of information collected makes an exploration of this role possible. Nevertheless, the overview of incubators’ possible impacts on cluster dynamics is only explorative: for a more thorough, tested picture of that role, more in-depth and t­ argeted empirical research is required.


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Table 2: Cases according to the services provided. Services Workspaces, networking and support Workspaces and networking Workspaces and support Networking and support Workspaces Networking Support n.a. Total

Number 15 2 1 2 – – – 1 21

4  SERVICES OF BUSINESS INCUBATORS Basically, business incubators provide a dedicated and supportive environment for start-up companies to be founded; to be nurtured in order survive their infancy when they are particularly vulnerable [20, 21]; and to grow into a new firm that can stand on its own feet in the business world outside the incubator. As such, they span a bridge from initial ideas for an innovative product, service or concept of a would-be entrepreneur to the early steps of bringing that on the market in an elaborated form. For the necessary chain of stages this process involves, they usually provide an incubation programme of a certain length, mostly up to about 3 years, to which the starting entrepreneur commits itself. InCompass data distinguish three dimensions of services supplied during the programme: the building, support programme and social business networks. Two-third of the visited incubators supplied all three (Table 2). By far most of the 21 incubators listed in Table 1 were set up in obsolete or otherwise vacant buildings in cities’ zones of transition. The histories of these buildings are very diverse: a grain silo and a warehouse in former port areas; a complex of a ship building and dry-dock company, including boardrooms; factory buildings of textile, furniture, leather, steel and train-building industries; a bank building, two university buildings (as spin-off of the universities), and typical high street buildings. Most were bought of the former owner(s), if these were still traceable, and next refurbished by local or regional governments. After being refurbished and put into use as incubator, these are either administered and managed by that government; by a partnership of public and semi-public institutions, mostly educational institutions; or leashed to either a private company or, in the UK, a charity, trust or BID (Business Improvement District). Overall, the visited incubators focus on a rather broad diversity of CCI branches. Some are rather specialised, in particular in ICT-based applications like digital media, serious games development or web-design, but others include a seemingly random collection of branches, including audio-visual industries (photography, film making, music recording); traditional crafts like fashion, furniture and ceramics; and performing or fine arts. 4.1  Building In general terms, most incubator buildings offer affordable work spaces and shared facilities. These latter include a staffed counter at the entrance; an administrative office; meeting spaces

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varying from coffee corners and a kitchen to meeting and conference rooms; technical services like broadband internet; and expensive equipment like 3D printers. Some cases have also exhibition spaces available, or organise open days or annual events hosted in the building to display prototypes made by start-ups, hopefully to be visited by potentially interested (future) buyers or business partners. Not only start-ups who work in the building rent spaces or equipment: some incubators also make these available, on payment, to external parties like companies or local schools for practical training hours. Both incubator managers and incubatees show a manifest affinity to social space qualities within the building. These include, for instance, an open layout of floors; transparent glass walls of working spaces; and coffee corners and basic kitchens at strategic locations; all to encourage unplanned informal meetings of start-ups. In addition, the symbolic values of these old buildings, and their immediate urban surroundings, also matter. A telling example is CoWork Lisboa: it had various options to settle at its foundation but choose to move into a marked piece of industrial heritage, a robust vacant textile factory, after the symbolic value of that premise was underlined in a questionnaire among potential tenants. On the other hand, some companies that have grown larger and consolidated their markets do not want to be associated with the community of vulnerable start-ups any longer and may decide to leave the incubator. 4.2  Support services Most incubators offer training and mentorship programmes to improve start-ups’ entrepreneurial and management skills. Besides, these programmes may also help start-ups to find access to affordable loans, or other opportunities to raise money from existing funds, and to bring start-ups into contact with companies that show interest in their prototypes. These types of support are provided by various types of professionals, i.e. staff members of incubators (although most incubators have a lean staff size); experienced entrepreneurs who (still) rent space in the building; or staff members of external professional organisations that have a partnership agreement with the incubator. Examples of these organisations are local government departments, universities of applied sciences, and accountancy and financial institutions. A peculiar case is Malmö Incubator, specialised in ICT applications, which keeps its staff members’ skill levels up to date by refresh courses with partner companies and institutions in Silicon Valley. Two of the 21 visited incubators had no formal support service programme but stimulate self-management of ‘co-assistance’ by incubatees. 4.3  Networks Most incubators attempt to build-up social business networks of start-ups who work within their premises. ‘Strategies’ to stimulate networks within the building are creating a lay-out of open spaces or placing shared facilities like the coffee machines in a way that encourages unplanned, spontaneous encounters with the aim to generate buzz. Glass walls of working spaces and placing start-ups in related, but not identical activities together in co-working spaces may also help. Besides, meetings are organised to inspire network formation within the incubator in a more planned manner, e.g. Friday afternoon drinks or monthly lunches. Another type of networks connects incubatees with firms and institutions in the outside world, including those that have a partnership agreement with the incubator. Examples are educational institutes, funding agencies, managerial offices and, last but not least, potential


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clients who are interested in their ideas or prototypes. Cooperation of start-ups in incubators with educational institutes may take the shape of internships, which is at the benefit of both the start-ups and the students. The organisation of open days or common events, e.g. the annual show by fashion designers in the Milan’ Fabbrica del Vapore, are strategies to bring start-ups into contact with potential clients. Overall, these potential clients can be local firms – some incubators indeed aim purposively to contribute to strengthening local or regional industrial clusters – but others may be ‘long distance partners’, like those of Malmö Incubator in Silicon Valley. 5  POSSIBLE IMPACTS OF INCUBATORS ON CCI CLUSTERS This section explores the possible contributions of the services supplied by business incubators to the four types of spaces that together impact upon the growth and development of CCI clusters. 5.1  Material space Two typical features of firms in CCIs, small size and unstable revenues, hold most for startups. Indeed, business incubators provide a supportive environment for these to survive their infancy. Although rents of old vacant buildings are relatively low, these are still impossible to afford monthly for most start-ups, in particular if supplemented with service charges. They save on expenses due to the typical feature of incubators to offer shared facilities and services. Furthermore, in particular, larger vacant factory or warehouse buildings offer the incubator space and flexibility (movable walls) to create a diversity of dimensions and types of workspaces. In many visited cases, this diversity ranged from a single desk plus chair in a co-work space for a few weeks to a long-range rental contact of an equipped office for exclusive use. This diversity suits with the diversity and changeability in the course of time of the demand (paying capacity) for work-space by start-ups. Incubators in large industrial buildings often have spaces – either unsuited or superfluous for renting out as workspaces – available for temporary uses such as meetings, exhibitions, rehearsal or performances, which are important to facilitate project-based work, try-outs and displays of products. Overall, incubators lower the barrier of entry for start-ups to the material space of clusters, hence contributing to their occupancy rate. 5.2  Symbolic space Obsolete factory or warehouse buildings in corporate mega-spaces of the industrial economy that are pervaded with roughness and authenticity offer opportunities for experimenting, at least more than new shiny office buildings. As young start-ups are in particular in a stage of experimenting and thinking outside the box, these building are highly appropriate for incubators. Furthermore, early start-ups in CCIs may have a greater affinity for the image, identity and reputation of these buildings than mature firms, also those in CCIs, that are consolidating their market position in the ‘upper ground’ [22] of the mainstream economy. In reverse, incubators can contribute to the symbolic space of clusters if they are actively outward oriented, e.g. by means of open days, events to display the fruits of experiments by start-ups, or opening up their café or lunch restaurant for all workers in the cluster. The

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­ isibility and approachability of experimenting incubatees contribute to the image, identity v and reputation of the cluster, and may accordingly attract new talented workers and would-be entrepreneurs. 5.3  Social space Incubatees can contribute to the dynamics of CCI clusters by their contribution to the generation of buzz, first and foremost by ‘hanging around’ in third places and extended work places. Crucial is that these young people bring ‘fresh blood’ into the cluster: many are recently graduated and acquainted with topical knowledge, the newest technologies and new ideas. Besides, incubator may house ancillary spaces in the extended workplace of workers in the CCI cluster [8]. The above-mentioned day-time café or lunch restaurant may be such a ‘­workafe’, meeting place or break-out space. Incubators also contribute to the social space of CCI clusters if they apply a purposive strategy to reinforce or build social networks that put the incubatee community within the incubator in contact with entrepreneurs elsewhere in the cluster. This creates a protective environment for these newcomers in the cluster to become gradually acquainted with the ‘knowledge, social norms and conventions of mutual trusts become the pillars of a network of interaction and exchange’ (Desrochers, 2001; see [23: 558]), hence laying a foundation for new projects. Incubators probably have the best and most up-to-date overview of both opportunities and potential partners within and outside its premises for new projects. This foundation is strongest if the sectoral profile of CCI in the cluster and in the incubator is similar to a certain extent. 5.4  Economic space Fine-grained interwoven configurations of firms, specialising in particular primary activities, are crucial in local economies that are based on temporary projects with successive multiple business relations. To the extent that start-ups in the incubator are included in these configurations, i.e. develop business linkages with external firms in the CCI cluster, the incubator extends this configuration. When new firms that leave the incubator settle in the cluster itself, the same holds for them. In other words, incubators supply new entrepreneurs with fresh views to the cluster who otherwise wouldn’t have been able to settle in it. Interactions by firms with ancillary institutional actors such as local government, knowledge institutions and advanced business services, are crucial in the development of CCI clusters. Incubators can act as mediators between start-ups and these external actors as respectively receivers and providers of business services. Without incubators it is practically impossible for most start-ups to do business with these formal institutions due to, among other reasons, mutual misunderstandings of their highly different way of working. Incubators get these two different worlds acquainted with one another, hence reducing these misunderstandings. 6  CONCLUDING REMARKS In this paper, business incubators are typified ancillary activities in CCI clusters. Most of these activities serve a single or a very limited range of purposes, for instance because these are most typical for either consumption-oriented clusters (e.g. gift shops, cafés, recreation facilities, etc.) or production-oriented clusters (e.g. labour force and business supporting


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institutions). However, the business incubator can contribute to the performance and further development of CCI clusters in a sustainable way in quite a few different manners. What is more, an incubator as a new ‘node’ in a CCI cluster contributes more than single purpose ancillaries to the self-reinforcing process of clustering due to the so-called network effect: a new node (new firm, cultural venue, education institution or star artist) adds value to many nodes that are already in a cluster due to new network interactivities [1: 53]. The contribution of incubators to the development of CCI clusters, as explored in this paper, involves four different types of spaces of these clusters: material, symbolic, social and economic. The explanation of their contribution requires the assemblage of these types of spaces. Furthermore, the qualities of space of CCI clusters also impact upon incubators: their relationships are mutual rather than unilateral. Finally, the contribution of incubators to the growth and development of innovative ­clusters also depends on factors and processes that are are not related to ‘place and space’. One other critical factor is the incubator policy regarding the sectoral profile of its incubatees in relation to either the specialisation or diversity of the cluster as a whole. REFERENCES [1] Wood, S. & Dovey, K., Creative multiplicities: urban morphology of creative clustering. Journal of Urban Design, 20(1), pp. 52–74, 2015. [2] Stevens, Q., Creative milieu: how urban design nurtures creative clusters. Journal of Urban Design, 20(1), pp. 1–7, 2015. [3] McCarthy, J., The application of policy for cultural clustering: current practice in ­Scotland. European Planning Studies, 14(3), pp. 397–408, 2006. [4] Hackett, S.M. & Dilts, D.M., A systematic review of business incubation research. Journal of Technology Transfer, 29(1), pp. 55–82, 2004. [5] Barbero, J.L., Casillas, J.C., Ramos, A. & Guitar, S., Revisiting incubation performance: how incubator typology affects results. Technological Forecasting and Social Change, 79(5), pp. 888–902, 2012. [6] Hutton, Th.A., Cities and the Cultural Economy, Routledge: London & New York, 2016. [7] Montgomery, J., Cultural quarters as mechanisms for urban regeneration. Part 1: Conceptualising cultural quarters. Planning, Practice and Research, 18(4), pp. 293–306, 2003. [8] Martins, J., The extended workplace in a creative cluster: exploring space(s) of digital work in Silicon Rondabout. Journal of Urban Design, 20(1), pp. 125–145, 2015. [9] Bahar Durmaz, S., Analyzing the quality of place: creative clusters in Soho and B ­ eyoglu. Journal of Urban Design, 20(1), pp. 93–124, 2015. [10] Smit, A.J., The influence of district visual quality on location decisions of creative ­entrepreneurs. Journal of the American Planning Association, 77(2), pp. 167–184, 2011.

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[11] Hutton, Th.A., Spatiality, built form, and creative industry development in the inner city. Environment and Planning A, 38, pp. 1819–1841, 2006. [12] Clare, K., The essential role of place within the creative industries: boundaries, n­ etworks and play. Cities. [13] Boontharm, D., Creative milieu of fashion and reuse in Tokyo, Bangkok and Singapore. Journal of Urban Design, 20(1), pp. 75–92, 2015. [14] Rantisi, N.M. & Leslie, D., Materiality and creative production: the case of the Mile End neighbourhood in Montréal. Environment and Planning A, 42, pp. 2824–2841, 2010. [15] Grabher, G., The project ecology of advertising: tasks, talents and teams. Regional Studies, 36(3), pp. 245–262, 2002. [16] Jacobs, J., The Death and Life of Great American Cities, Random House: New York, 1961. [17] Martin, R. & Sunley, P., Deconstructing clusters: chaotic concept or policy panacea? Journal of Economic Geography, 3, pp. 3–15, 2003. [18] CLUSTER COLLABORATION, available at [19] Grodach, C., Foster, N. & Murdoch III, J., Gentrification and the artistic dividend. ­Journal of the American Planning Association, 80(1), pp. 21–35, 2014. [20] Aerts, K., Matthyssens, P. & Vanderbempt, K., Critical role and screening practices of European business incubators. Technovation, 27(5), pp. 254–267, 2007. [21] Al-Mubaraki, H.M. & Busler, M., Business incubators: findings from a worldwide ­survey, and guidance for the GCC states. Global Business Review, 11(1), pp 1–20, 2010. [22] Cohendet, P, The anatomy of the creative city. Industry and Innovation, 17(1), pp. ­91–111, 2010. [23] Sacco, P.L., Ferilli, G., Tavano Blessi, G. & Nuccio, M., Culture as engine of local ­development process: system-wide cultural districts I: theory. Growth and Change, 44(4), pp. 555–570, 2013.

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URBAN FACILITIES MANAGEMENT: A SYSTEMIC PROCESS FOR ACHIEVING URBAN SUSTAINABILITY LUKE BOYLE & KATHY MICHELL UCT-Nedbank Urban Real Estate Research Unit, Department of Construction Economics and Management, University of Cape Town, South Africa.

ABSTRACT With cities at the forefront of the challenge of achieving global sustainability, a key concern for urban management bodies is to identify ways to promote sustainable development at the urban and sub-urban level. Assessment mechanisms have dominated this field for the past two decades, and sustainable community assessment tools (SCATs) are fast becoming the principal framework adopted by urban planners and developers to drive sustainability. This paper investigates the efficacy and applicability of this approach to urban sustainability. The study aims to establish that the deployment of a management platform, founded in the principles of facilities management (FM), can provide better mechanisms to facilitate the process of achieving urban sustainability. The data were collected by means of survey interviews with key stakeholders who consisted of two main categories: participants from private and public sector engaged in the management and development of sustainable cities. Secondly, developers of the tools were interviewed. The tools evaluated include: LEED for Neighbourhood Development (LEED-ND), BREEAM Communities (BREEAM-C), CASBEE for Urban Development (CASBEEUD), and Green Star Communities (GSC). It was found that the prescriptive and outcomes-based nature of assessment tools do not adequately accommodate institutional and social imperatives of urban sustainability. Additionally, a need for more a robust procedural framework to manage relationships between the various relevant professionals and interest groups was highlighted. This would provide a unified method to facilitate the achievement of urban sustainability. The paper concludes that urban sustainability needs to draw upon the management principles of FM to facilitate more comprehensive development and assessment relevant to the needs of a specific locale. Without a process-oriented method such as this, cities will continue to fall short of their sustainable imperatives. Keywords: process-oriented sustainability, sustainability assessment, sustainable community assessment tools, sustainable community development, urban facilities management, urban management, urban sustainability.

1  INTRODUCTION It has been nearly three decades since the publication of the Brundtland report’s ‘Our Common Future’ [1], outlining the conceptual underpinnings for sustainable development. The document highlighted what is commonly understood as the defining challenge of our generation and called for a re-evaluation of the way humans interact with the environment. Correspondingly, in recent decades global awareness of the threats to environmental sustainability has increased successively [2]. However, the years following the Brundtland report have demonstrated poor progress towards effectively striking a balance between social, economic, and environmental imperatives. This is particularly apparent at an operational level. The current state of Earth confirms the minimal effect the concept of sustainability has brought to global environmental reform. Continued environmental degradation, a steady rise

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-446-456

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in civil unrest, and the ever-widening gap between the rich and the poor have only worsened since the Brundtland report. This is principally a result of human activity. Whilst human activity and its impacts on sustainability is a global concern, the issues associated with addressing sustainability within a global context is such that the scale of the required change is so vast that problems of coordination and cooperation across political units are enormous [3]. In light of this, the urban environment is considered to be the vanguard for addressing global issues regarding sustainability. At this level, meaning is better able to be disseminated from a policy level to the grassroots of implementation. Nevertheless, urban sustainability, like the broader concept of sustainable development, has many challenges when it comes to implementation. Similarly, many plans for urban sustainability have fallen short of their desired outcomes. Much of these shortcomings are associated with the reductionist approach that many practitioners adopt when devising and measuring urban sustainability. This has resulted in empirically dominant perceptions of sustainability which view issues in isolation and largely ignores aspects that cannot easily be measured. Within the urban context, this ideology is dominant in mechanisms for urban sustainability assessment. The result is a flawed depiction of the complex relationship between human activity and its outcomes. Therefore, assessment has a limited application on many dynamic factors associated with urban sustainability. An emergent product of urban sustainability assessment is the sustainable community assessment tool (SCATs). SCATs provide third-party verification for community scale developments and have seen a surge in popularity by planners and developers in the past decade. Amongst the most popular of such tools are: LEED-ND, BREEAM-C, CASBEE-UD, and GSC. These tools will be evaluated to investigate the applicability of SCATs as an instrument to deliver sustainable cities. SCATs represent a performance-based outlook towards sustainability that prioritises measurable aspects of sustainability. It ignores more meaningful strategies that pay wider recognition to the depth of sustainable development issues. Innovative new ways to address the inefficacy of responses to urban and global unsustainability need to be introduced. The paper proposes a shift away from technocentric methods of implementing urban sustainability towards a process-oriented methodology that incorporates the principles of systems thinking. An emergent concept within the field of facilities management (FM) is an appropriate response to these challenges. FM is a strategic management model that has ascended to the top of the corporate agenda in recent decades. It is an interdisciplinary field that integrates the processes within an organisation to maintain and develop services which support and improve its primary activities [4]. Michell [5] asserts that the application of these principles at an urban, multiple-building, scale can provide an effective means to promote urban sustainability. This emergent concept is known as Urban Facilities Management (UFM). The application of these management principles at a city-scale provides a collaborative platform that can empower and engage any number of relevant stakeholders involved in the sustainable development of communities and cities. The investigation also explores the deficiencies in traditional responses to sustainable development, sustainability assessment, and the application of community-scale assessment tools. Adopting procedural methods to institute urban sustainability is an effective means of accelerating urban sustainability. Findings are based on interviews conducted with key stakeholders involved in sustainable community development in North America. There are a number of reputable SCATs that originate out of North America, and the region is considered to be an innovator within the field of sustainable community development, and corresponding assessment tools.


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2  INEFFICIENCIES OF CONVENTIONAL ATTEMPTS TO IMPLEMENT SUSTAINABILITY Defining the concept of sustainable development has proven to be problematic. The challenge of defining its practical implementation is even greater [6]. There are huge difficulties trying to build global consensus amongst nations with diverse and conflicting values, perceptions, economic systems, ecologies and political systems to mention a few. Distinct development trajectories in various countries underline the notion that no single strategy will apply equally in different countries [6]. Concepts such as ‘sustainable world’ have in some cases become meaningless to people as they require such levels of abstraction that they are not relevant to daily life [3]. Consequently, sustainability practitioners have sought an international language of measurement and analysis to build consensus through the use of metrics. This requires measuring technical aspects that demonstrate a tenuous link between human activity and sustainability. These empirical outcomes are then used to measure progress and inform policy relating to sustainability. A further problem with technocratic solutions to sustainability is that the relations of dominance are left in place which dismisses any attempt to address much larger structural problems [3]. For the most part, it is these structures that are responsible for many of the decisions that have caused widespread environmental damage [7]. In this vain, it is reasonable to imagine how, under the stewardship of dominant political and economic structures, sustainability could serve to strengthen economic and social conditions which support unsustainable practices [3]. Accordingly, there is a fundamental need to address the structures of human interaction and activity to reverse their unsustainable consequences. The dominant ideology behind implementing sustainability is the view that sustainable development is an outcome and not a process. Despite the fact that founding documentation, like ‘Our Common Future’ established sustainable development as a process. Most practitioners reduced the description of sustainable development to methods that are better suited to scientific endeavour. Consequently, many evade meaningful attempts to engage with the concept as a process by prioritising empirically quantifiable outcomes [6]. This means that assessment and policy is often guided by what can be measured as opposed to what should be measured [8]. Not only does this disregard the complexity and inter-dependencies inherent to sustainable development, it also under-represents social aspects of sustainability which have no clear mechanisms to quantify. As such, various attempts to institute sustainability are disproportionately skewed towards ecological concerns. 3  URBAN SUSTAINABILITY The percentage of Earth’s urban population is projected to rise to 66% by the year 2050 [9]. The pathway of urban development in the decades preceding 2050 will play a crucial role in issues such as climate change and natural resource depletion [10]. Cities are the nucleus of human activity and the vast bulk of environmental degradation and consumption is concentrated within urban areas [2]. This highlights a causal connection between cities and accelerating global ecological decline [11]. Issues quantifying this connection have proven to be challenging. However, it is important to understand that urban areas are globally integrated and are complex systems that can support and hinder each other in various ways. Despite this, urban development is the beginning to be seen as a solution to these concerns, and not just a source of them [2]. Cities and their inhabitants can play a pivotal role in achieving global sustainability [11]. Urban sustainability is fundamentally reliant on the ability of urban stakeholders to work together in ensuring innovative, equitable and economically via-

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ble action is taken. Fostering these collaborative actions is best achieved at the local or community scale. 3.1  Sustainable development at the local level: toward sustainable community development Unsustainable human practices are ultimately a consequence of the way human activity is organised and carried out. To this end, it is logical to seek reparations at the source of human activity. This is most appropriately examined at the level in which human life is experienced; the sub-urban or community level. It follows that the community is the basic unit of urban development [12], and the minimum scale to account for social, economic, and institutional aspects of sustainability [13, 14]. The community scale is where the consequences of environmental degradation are most acutely experienced, and where successful intervention is most visible [3]. It stands to reason that sustainability must be achieved at a local level to be realised on a global scale [15]. Local Agenda 21 (LA21) provided the first formal recognition of the importance of articulating strategies for sustainability at the local level. Its publication drove a number of community-level responses to global sustainability. Despite this, little evidence has suggested a widespread dissemination of this framework into effective strategies. This is because it provides little insight into the vehicles that manage the complex process of sustainable community development. As a result, implementing sustainable communities focus on the outcomes of planning, design and construction [12]. Despite LA21’s shortcomings, it did highlight that community-based responses to sustainability are crucial for the fulfilment of global sustainability. The lack of locally relevant and sensitive information is another cause of LA21’s failures. People living at the local level are able to identify and respond to local opportunities and challenges. Engaging with this allows for the design of policies and structures that are sensitive to the contextual conditions inherent to a particular place [3]. What is missing are better mechanisms to satisfy the fulfilment of community development processes. Aims of the process at this level are: establishing a common vision, assessing existing local conditions, developing shared strategies, and establishing a framework for the sustained implementation of these strategies [16]. It follows that there is a need for an improvement in the way information feeds back into decision making at the local level [6, 16]. Thus, a community’s ability to articulate what needs to be sustained is an important part of the development process. Sustainable community development can exhibit that sustainability can be achieved on a broader scale as it places the concept of sustainability within a context where it can be validated as a process. Therefore, as successes become tangible aspects of daily life, the concept’s legitimacy and acceptance, which has thus far proved elusive, can be secured [7]. Devising operative strategies for sustainability entails striking the challenging balance between creating explicit meaning, while not being overly prescriptive. Since meaning is derived through context, a framework that incorporates a community’s context will more effectively promote sustainability. Linking context and implementation is best derived through the use of systems thinking. 3.2  Systemic view of urban sustainability Earlier in the paper, it was reasoned that attempts to address sustainability have been ineffective as they rely on empirically dominated measures to analyse and solve the issues related to


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sustainability. This represents a dominant scientific practice known as reductionism. This laboratory-like approach to complex phenomenon reduces them into elementary parts and processes [17]. The logic of isolating situations into smaller parts of manageable information has been translated into strategies for sustainable development. The problem with reductionism is its failure to generate a reliable understanding of reality as the basis for imagining transitions to a more sustainable future [18]. Despite the profound advances in science and technology reductionism has gifted physical science, it has had much less success in the biological and social sciences [19]. Given that biological and social sciences form an integral part of the issues surrounding sustainability, it is reasoned that reductionist approaches are inappropriate for devising effective strategies for sustainability. It stands to reason that a different kind of thinking is required; that views the actors within complex situations holistically. To achieve this; linear, reductionist, and mechanistic thinking needs to be replaced with; nonlinear, organic thinking: systems thinking [20]. Systems thinking represents a fundamental shift in scientific rationale where the inter-dependencies and interactions of the components within a system are assigned the same importance as the components themselves. A holistic acceptance of systemic connections will better serve the needs of sustainability [20, 21]. Boulding [19] introduces the viewpoint of Earth as a general evolutionary system with a complex structure of many different systems. With this in mind, and the reality that sustainable development is a global concern, it is a natural progression to view sustainable development in terms of these integrated systems. Therefore, what is needed is a better understanding of the complex systems that are central to the concept of sustainable development; social systems and eco-systems. A further development within the field of systems thinking is the concept of complexity. Complexity theory is an emerging science that represents multi-disciplinary efforts to understand the nature of the world, and how it has evolved in both natural and human systems [22]. The importance of social/human elements in the attainment of sustainability has been demonstrated throughout this paper. Following this logic, a means of achieving better results toward sustainability entails a deeper inquiry into social systems and their interactions with the environment. These systems are known as complex systems. To this end, sustainable development is an issue of complex systems [20]. A complex system is a collection of entities interconnected by an intricate web of relations which depend greatly on the transmission of information [23]. Complexity is a result of the interaction between these entities that classical analytical approaches have failed to explain [24]. Unlike mechanistic components; components of a complex system are more intricate in their structure, more unstable, and more affected by the workings of the system of which they are a part [23]. These descriptions more effectively account for dynamic human activity, and its interactions with nature than reductionist notions. Hence, complexity principles are central to understanding our world and the current global challenges of social and environmental sustainability [25]. The implication of complexity on sustainability is the acceptance of uncertainty and non-linearity. This stresses the need to move away from measurable outcomes towards an introspective examination of the mechanisms that inform human activity and its relationship with the environment. 4  SUSTAINABILITY ASSESSMENT The introduction of Agenda 21 in 1992 placed a major emphasis on sustainability assessment. However, the growth of assessment of this field has proliferated a disregard towards systemic outlooks of sustainability. The resultant indices do not depict the reality of the world by any measure of accuracy. Moreover, the unpredictable and complex flux of human activity

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questions the reliability and validity of many conventional approaches to sustainability assessment. Nonetheless, being able to measure the success and failures of sustainable strategies is vital. The introduction of assessment has helped to facilitate the communication of progress across various actors which are keys to mutual success in moving toward sustainability [26]. To this end, sustainability assessment of urban design and development is increasingly being seen as an indispensable tool for informed decision making for sustainability [27]. Whilst the importance of sustainability assessment cannot be disputed, the manner in which it is conducted can. Through the logic of reduction it is reasoned that the level of progress of sustainable interventions can be assessed by measuring the causes of issues related to sustainability such as greenhouse gas emissions or air quality. This is achieved by assigning indicators to quantify the sources of the issues without considering their broader connections. This conventional approach to assessment lacks any concrete causality to link an intervention and its effect on sustainability. Additionally the mechanistic ideologies that support assessment typically limit measurement to a single dimension of economic, social or environmental unsustainability [28]. This offers little consideration of the inter-dependencies of complex social systems. In order for complex social systems to adapt and provide enough resilience to be sustainable, they require effective feedback mechanisms [29]. The empirical nature of sustainability assessment means that they are inept at providing reliable feedback about long-term changes since the exogenous and endogenous factors influencing sustainability are always changing [30]. Prevailing assessment techniques largely ignore community-scale measurement in favour of national-level metrics. Correspondingly, assessment rarely provides information that is relevant to manage individual actions [28]. As a result, the human factor of sustainability is vastly under-represented by sustainability assessment. A more systemic approach to assessment is essential for more accurate monitoring of the complex social and environmental systems at play at the local level [8, 29]. Furthermore, vehicles of assessment require greater sensitivity and specificity to the values held in a particular area. Here, individuals at a community level could manage their behaviour with reference to a broader movement (global sustainability) in terms that are related and understandable to that community [28]. There is a growing consensus amongst academics that assessment indicators need to be more representative of local conditions and more aligned with the values of that audience [28, 29]. This serves to empower a local population to attain a deeper understanding of the concept of sustainability to best respond to the sustainability threats and opportunities of a particular place. The value and importance of sustainability assessment cannot be denied. However, it is clear that the manner in which assessment is conducted is as vital to delivering meaningful information about a particular issue than the assessment itself. 4.1  Sustainable community assessment tools The previous section put forward the notion that sustainability assessment will have little effect on global sustainability if it is not properly articulated at a local level. In response to this, myriad of different methods have emerged to assess sustainability within the urban environment, all with varying resolution, scope, and application. In the last decade a number of popular assessment tools have emerged that assess the sustainability of urban development [27]. These are more commonly known as SCATs. These tools expanded out of the success of the green building movement and are a useful guide for local governments and developers


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to incorporate sustainability into their development practices. Creating appropriate assessment tools for communities can more effectively evaluate and facilitate decision making for sustainable urban development [12]. The tools selected for this investigation are LEED-ND, BREEAM-C, CASBEE-UD, and GSC. The former three tools were selected based on their global dissemination and application. Furthermore, they are seen as the basis for most assessment rating tools around the world [27]. Green Star was chosen because it too has international recognition but more importantly it demonstrates a deeper focus on urban governance within its framework. LEED-ND was developed by the United States Green Building Council in 2009 and has five main focus areas, namely: smart growth and linkages; neighbourhood pattern and design; green infrastructure and buildings; innovation and design process; regional priority credit. LEED-ND has been used to assess neighbourhood sustainability in many projects outside the United States [27]. This is the most popular global rating tool. BREEAM-C was developed in the United Kingdom (UK) by BRE Global in 2009. The tool, in its current iteration, is split-up into five key themes: governance; social and economic well-being; resources and energy; land-use and ecology; transport and movement. This tool deals with both existing and new neighbourhoods and has also been used in countries outside the UK. CASBEE-UD is a Japanese rating tool designed for urban development. It was developed in 2007 and was the first community-scale assessment tool. The tool categorises six main themes: natural environment; service functions for the designated area; contribution to the local community; environmental impact on microclimates, façade, and landscape; social infrastructure; management of the local environment. CASBEE-UD is the third most popular SCAT. GSC was launched by the Australian Green Building Council in 2012. The tool is considered to be a synthesis of LEED-ND and BREEAM-C. Unlike the other two tools GSC did not evolve out of a green building rating tool. The six main features of this tool represent: governance; design; liveability; economic prosperity; environment; innovation. GSC is one of the few tools that has attempted to address differing local contexts. 4.1.1  Issues with sustainable community assessment tools The benefits of applying assessment to the community level are well understood. However, the challenges involved with managing the increasing complexities of human interaction as the scope of assessment expands is a significant challenge for SCATs. There is a general consensus that these rating systems are dominated by environmentally based issues [13, 27, 31, 32]. As a result the tools have been criticised for under-performing in social, economic, and institutional aspects of sustainability [32]. Institutional sustainability refers to the interactions between government, and non-government actors in decision making, as well as the set of norms, laws and regulations governing these interactions [31]. Respondents highlighted that SCATs do not provide an adequate framework for collaboration between the stakeholders engaged in a development project. The lack of consideration for institutional and socio-economic aspects of sustainability is mainly attributed to the building-centric approach of assessment tools, a hangover from their green building predecessors. Tools such as LEED-ND, BREEAM, and CASBEE-UD exhibit an approach that almost exclusively considers the physical and material properties of built environment [32]. To this end, it is conceivable that SCATs serve to uphold reductionist ideologies. Another major concern with the application of SCATs is their lack of ability to account for differing contexts. Whilst it is understood that the tools were designed for their specific ­countries

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they lack the sensitivity to adapt to the specific conditions of a local community. It is stressed that tools should be customised to be sensitive to context and development type [31]. The tools have had a massive impact in stimulating market recognition for urban areas with low environmental impact through assessment and certification [27]. Most respondents noted this achievement. However, the result has meant that obtaining certification can become a solely marketing-driven decision where developers embark to chase points [32]. Existing studies, and data from this study, revealed that developers of LEED-ND projects favour criteria with higher point weighting [31]. Thus, it is possible that tools are used to ensure the marketability of a community rather than its sustainability. The vast majority of assessment tools are expert-driven and do not adequately involve a comprehensive assortment of stakeholders [31, 32]. Consequently, the opinion and knowledge of local actors is seldom included in the assessment process. All of the respondents agreed that community engagement is central to effective sustainable community development. Therefore, there is a need for a greater inclusion of citizen’s opinion in the application of SCATs [32]. Assessment needs to be dynamic rather than static, and cater solely to the needs of the community of application. Thus, the resultant assessment serves to complement a larger sustainable development process, and is not the process itself. 5  TOWARDS A PROCESS-BASED APPROACH TO URBAN SUSTAINABILITY ‘Our Common Future’ outlined many pragmatic ideologies that support sustainable development. Some of these have been adopted into the consciousness of sustainability practitioners, whilst others have not, namely: viewing sustainability as a process, and institutional changes to government and economic institutions. Sustainability is a process which requires tradeoffs among contending groups with different interests, priorities, and perceptions. Poor mechanisms to manage these trade-offs have created significant roadblocks for implementation. This suggests a need to delve deeper into decision-making by exploring the strategies, motivations, and capacities of role-players at the urban level [26]. Such an intervention requires a greater acknowledgement of the complexities and systemic interactions that exist in cities. Bagheri & Hjorth [33] stress a shift away from mechanistic thinking to develop strategies that can manage complex issues with high levels of uncertainty. Dominant reductionist views overlook fundamental aspects of the urban space, namely the high concentration of social actors. Sachs-Jeantet [34] calls for a reconceptualisation of the empirical and intellectual tools for the study of urban processes as they are based on a ‘radically different urban morphology’ and are not applicable to emergent issues in urban areas. What is proposed is a means of addressing the complexities and uncertainties that exist in urban environments. This facilitates decision making that better reflects the indeterminate realities of the human experience in the built form. Here, goals and outcomes emerge out of a process of inclusive negotiation rather than predefined standards [35]. A central feature of a process-­orientated approach to sustainability is an iterative process of inquiry into complex situations. These offer a multitude of differing perspectives to negotiate and implement feasible actions to improve said situation. The process of learning with the participation of stakeholders is considered to be an essential strategy for sustainable development [33]. 6  A SYNTHESIS OF UFM AND PROCESS-ORIENTED SUSTAINABILITY UFM is a considered to be a ‘new alignment’ of FM. This emergent concept presents the idea of adapting FM principles from a ‘micro’, building level, to the ‘macro’ level, where the city itself is seen as the facility. This can create an effective standard in which to manage an urban


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precinct [5]. This new branch of research opens up the already broad sphere of FM to disciplines that include: urban development; urban planning and policy; governance; and public participation, to promote sustainable urbanisation [36]. FM’s role in the urban context is thus conceptualised as a flexible platform that enables new, innovative integration of private and public sector services in order to benefit society at the precinct scale [5]. It is also noted that FM is key towards opening up broader social issues, and is likely to drive the creation of an inclusive and creative urbanity that prioritises sustainability. The creation of a sustainable urban environment requires the collaborative efforts of many stakeholders with different roles and values, sharing meaningful information and learning; through innovative response to feedback [29]. The necessity for urban governance is well understood by sustainability practitioners, yet evidence of these platforms are often absent in the urban space. UFM can fill the gap left by the decline of urban governance through the creation of a holistic platform that integrates and empowers stakeholders to take reflective action. Ultimately, it is believed that UFM holds the potential to facilitate systemic solutions to issues of implementation that have plagued sustainable development for the past three decades. Embracing the underlying concepts around ‘space, place and people’ that underpin FM [5], it is posited that UFM can form the basis for a process-oriented approach to urban sustainability that can complement assessment methods whilst providing concrete mechanisms to achieve the assessment goals. 7  CONCLUSION Cities are at the forefront of the existential challenge of sustainability. Moreover, the community level is where efforts of implementation for global sustainability should be focused. Strong motivation for the mobilisation of communities to promote sustainability was established in this study. However, mechanisms for harnessing this is poorly demonstrated by urban sustainability frameworks. Additionally, the systemic concept of sustainability is yet to disseminate into the broader consciousness of society. This is exhibited by SCATs that extend precedence to environmental factors of sustainability with little regard to their broader relations to social, economic, and institutional factors. The paper addresses the need for better mechanisms to implement and assess urban sustainability. SCATs rely heavily on expert actors and performance outcomes which inaccurately quantify sustainability. The study found that frameworks that drive urban sustainability must be less prescriptive and pay greater attention to the collaborative processes inherent to sustainable development within a given setting. A process-oriented approach to urban sustainability can better foster a collaborative response where decision making is inclusive and consistent with the systemic nature of the world. Therefore, this intervention is more likely to accelerate locally responsive outcomes towards urban sustainability than prescriptive SCATs. Such a process can be founded in the principles of UFM. This approach provides a flexible and holistic platform to manage social, economic, ecological, and institutional dimensions of sustainability. Without such a consideration urban sustainability initiatives will continue to fall short of their objectives. REFERENCES [1] World Commission on Environment and Development (WCED), Our Common Future, Oxford University Press: Oxford and New York, 1987. [2] Metzger, J. & Olsson, A. (eds), Sustainable Stockholm: Exploring Urban Sustainability in Europe’s Greenest City, Routledge: New York, 2013.

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[3] Bridger, J. & Luloff, A., Toward an interactional approach to sustainable community development. Journal of Rural Studies, 15, pp. 377–387, 1999. [4] British Institute of Facilities Management Web site, available at uk/bifm/home [5] Michell, K., Urban facilities management: a means to the attainment of sustainable ­cities? Journal of Facilities Management, 11(3), 2013. [6] Alberti, M. & Susskind, L., Managing urban sustainability: introduction to the special issue. Environmental Impact Assessment, 16, pp. 213–221, 1996. [7] Yanarealla, E. & Levine, R., Does sustainable development lead to sustainability? ­Futures, 24, pp. 759–774, 1992. [8] McCool, S. & Stankey, G., Indicators of sustainability: challenges and opportunities at the interface of science and policy. Environmental Management, 33(3), pp. 294–305, 2004. [9] UN, World Urbanization Prospects: The 2014 Revision- Highlights, United Nations: New York, 2014. [10] Alusi, A., Eccles, R., Edmondson, A. & Zuzul, T., Sustainable cities: Oxymoron or the shape of the future? Harvard Business School, Working Paper. 2011. [11] Rees, W. & Wackernagel, M., Urban ecological footprints: why cities cannot be sustainable- and why they are key to sustainability. Environmental Impact Assessment, 16, pp. 223–248, 1996. [12] Xia, B., Chen, Q., Skitmore, M., Zuo, J. & Li, M., Comparison of sustainable community rating tools in Australia. Journal of Cleaner Production, 109, pp. 1–8, 2015. [13] Berardi, U., Sustainability assessment of urban communities through rating systems. Environmental Development and Sustainability, 15(6), pp. 1573–1591, 2013. [14] Sharifi, A. & Murayama, A., Neighborhood sustainability assessment in action: crossevaluation of assessment systems and their cases from the US, the UK, and Japan. Building and Environment, 72, pp. 243–258, 2014. [15] Mehta, P., Local Agenda 21: practical experiences and emerging issues from the South. Environmental Impact Assessment, 16, pp. 309–320, 1996. [16] Brugmann, J., Planning for sustainability at the local government level. Environmental Impact Assessment, 16, pp. 363–379, 1996. [17] von Bertalanffy, L., The history and status of general systems theory. The Academy of Management Journal, 15(4), pp. 407–426, 1972. [18] Swilling, M. & Annecke, E., Just Transitions: Explorations of Sustainability in an ­Unfair World, UCT Press: Cape Town, 2012. [19] Boulding, K., The World as a Total System. Beverly Hills, Sage: California, 1985.


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[20] Hjorth, P. & Bagheri, A., Navigating towards sustainable development: a system ­dynamics approach. Futures, 38, pp. 74–92, 2006. [21] Gladwin, T., Kennelly, J. & Krause, T., Shifting paradigms for sustainable development: implications for management theory and research. Academy of Management ­Review, 20(4), pp. 874–907, 1995. [22] Kiel, D., Knowledge Management, Organizational Intelligence and Learning, and Complexity, Vol. 1, EOLSS: Texas, 2009. [23] Buckley, W., Sociology and Modern Systems Theory, New Jersey: Prentice-Hall, 1967. [24] Cilliers, P., Complexity and Postmodernism: Understanding Complex Systems, Routledge: London, 1998. [25] Wells, J., Complexity and Sustainability, New York: Routledge, 2013. [26] Shriberg, M., Institutional assessment tools for sustainability in higher education: strengths, weaknesses, and implications for practice and theory. International Journal of Sustainability in Higher Education, 3(3), pp. 254–270, 2002. [27] Ameen, R.F., Mourshed, M. & Li, H., A critical review of environmental assessment tools for urban design. Environmental Impact Assessment Review, 55, pp. 110–125, 2015. [28] Dahl, A., Achievements and gaps in indicators for sustainability. Ecological Indicators, 17, pp. 14–19, 2012. [29] Innes, J. & Booher, D., Indicators for sustainable communities: a strategy building on complexity theory and distributed intelligence. Planning Theory & Practice, 1(2), pp. 173–186, 2010. [30] Moffatt, I. & Hanley, N., Modelling sustainable development: systems dynamic and input-output approaches. Environmental Modelling & Software, 16, pp. 545–557, 2001. [31] Sharifi, A. & Murayama, A., A critical review of seven selected neighbourhood sustainability assessment tools. Environmental Impact Assessment Review, 38, pp. 73–87, 2013. [32] Komeily, A. & Srinivasam, R., A need for balanced approach to neighbourhood sustainability assessment: a critical review and analysis. Sustainable Cities and Society, 18, pp. 32–43, 2015. [33] Bagheri, A. & Hjorth, P., Planning for sustainable development: a paradigm shift towards a process-based approach. Sustainable Development, 15, pp. 83–96, 2007. [34] Sachs-Jeantet, C., Managing social transformation in cities: a challenge to social sciences, 1996. [35] Robinson, J. & Cole, R., Theoretical underpinnings of regenerative sustainability. Building Research & Information, 43(2), pp. 133–143, 2015. [36] Drion, B., Melissen, F. & Wood, R., Facilities management: lost, or regained? Facilities, 30(5/6), pp. 254–261, 2012.

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‘THE MANAGEMENT INDICATOR’ FROM THE POINT OF VIEW OF AN URBAN ASSESSMENT J.E.R. NIETO1, L.S. DA SILVA1, V. MURTINHO2 & C. RIGUEIRO3 Department of Civil Engineering, University of Coimbra, Portugal. 2CES, Department of Architecture, University of Coimbra, Portugal. 3ISISE, School of Technology, Polytechnic Institute of Castelo Branco, Portugal. 1ISISE,

ABSTRACT The ‘Management indicator’ is one of the less prioritized indicators when we analyze the existing urban sustainable assessment methods. Nevertheless, and according to the opinion of some experts, this indicator should be one of the main as it deals with the involvement of local entities (communities, agencies and government) working together to improve the public services and quality of life of the inhabitants of a specific area. It recognizes the uniqueness of each place, ensuring that the community facilities are properly maintained and are appropriate to the existing population density (PD) of the area, so that a sense of ownership and responsibility is promoted. The main contribution of this paper is to give a complete panorama of the analysis and evaluation for the management indicator, as well as emphasize the importance of this indicator when we are making a sustainable assessment for urban areas or when we are trying to rehabilitate existing neighborhoods. Keywords: management indicator, rehabilitation of urban areas, sustainable assessment tools.

1  INTRODUCTION The interest towards sustainability performance has increased rapidly over the last decades, being developed in the construction sector, different methodologies to assess sustainability at different scales (building level and urban level). Both types of assessment methodologies are of primary importance in order to promote the sustainable development and to generate strategies for improving our environment. Nonetheless, over the past years the paradigm of sustainability assessment tools has been focused on the built environment scale or urban level, as it is in the cities as a whole, where it can be analyzed a more or less sustainable behavior [1]. Cities of today are concerned with its evolution and development, because currently it is increasingly frequent to see the lack of planning and the high concentration of people on them. This causes environmental, social and cultural deterioration and problems, such as: socio-spatial segregation, overcrowding, marginalization, environmental pollution, vehicular congestion, waste production, between others [2]. It is for this reason that the current cities have a motivation for developing and apply different tools for assessing Sustainable Development at urban areas. Among the main assessment tools for developing an urban level evaluation, we can find: BREEAM Communities, BREEAM ES Urbanismo, LEED for Neighborhood Development, SBToolPT for Urban Planning, CASBEE for Cities, CASBEE for Urban Development, DGNB New Urban Districts, Green Star Communities, BCA Green Mark for Districts,

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-457-467


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SILENT, SPeAR, Building for Life (BfL), the Egan Review and the UISA methodology. Each of these systems has different indicators and different perspectives of the sustainable requirements, but all of them have the common objective of helping in the evaluation of sustainability and proposing correct actions to make sustainable societies [3]. However, and besides the important efforts that these methodologies have done, they are still presenting some limitations among which are the lack of analysis in management, operation and maintenance within the analyzed area. For this reason, in this paper, we are presenting the study and analysis of the ‘Management’ indicator seen from the point of view of a new urban methodology, the UISA (Urban Integral Sustainable Assessment) tool, which is being developed as part of a PhD thesis at the University of Coimbra in Portugal. 2  SUSTAINABLE INDICATORS – AN INTRODUCTION TO THE MANAGEMENT INDICATOR The use of sustainability indicators is essential for an integrated system approach, because these measurable aspects are useful for monitoring changes on a system, facilitating the decision making by translating collected data into manageable units of information [4] and they help to address challenges of sustainability as they cover multiple issues and consider linkage among them. Nowadays, among the main sustainable assessment methods for evaluating the urban level, it can be found 338 different indicators, which are grouped into the four dimensions of Sustainability: Environment, Social, Economic and Management. As it can be noticed, it exists a huge number of indicators; and despite that, there is just one which concerns to the control and administration of the facilities of the analyzed area. This indicator is known as ‘the Management indicator’. 2.1  The management indicator in existing urban sustainable tools The management indicator represents one of the main indicators of the four pillar of sustainability denominated “Political, Institutional or Management” [5]. This indicator gives the part related with the control, operation, monitoring and maintenance of a place and because of its importance it can be analyzed in the four city scales (city, district, neighborhood and block) [6] and it covers the analysis of four main topics: Long-term and effective project management (LE); Quality assurance (QA); Sustainability management (SM) and PD. Presently there are only few urban sustainable methodologies that takes into consideration the study and evaluation of this indicator. These methodologies are:

• • • • •

BREEAM Communities. BREEAM ES Urbanismo. BCA Green Mark for Districts. SBToolPT for Urban Planning. DGNB New Urban Districts.

Nevertheless, the criteria that each of these methodologies has for evaluating this indicator, is few and poor, generating usually a subjective evaluation and poorly justified. For this reason, the UISA methodology has been focused on the study of the Management indicator as one of its essential indicators, obtaining the information necessary to generate an objective

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assessment of this indicator by analyzing the parameters of the existing methodologies and with the study of relevant information to the topic. 2.2  The UISA methodology The Urban Integral Sustainable Assessment method is being developed as a part of a PhD thesis at the University of Coimbra, Portugal. It tries to be a comprehensive tool for sustainable urban assessment at a neighborhood level, it arises from the necessity of solving the negative, weak and controversial aspects of the existing methodologies and with the idea of being a more objective sustainable assessment. Its main objective is to be an integral, balanced and justified evaluation about the important aspects for generating sustainable places, so it contemplates the good aspects of the existing methodologies and tries to improve all the limitations and deficiencies that they present. According to its structure, the UISA methodology is formed by 2 main categories (Urban morphology and Urban syntax), which are divided into 8 subcategories (From Urban Morphology: Architectural design quality of buildings; Physiognomy and urban image quality; Connectivity and mobility; Planned density. And from Urban Syntax: Sustainable buildings; Mixed-use community; Infrastructure and services; Future strategies) and uses 38 indicators obtained from the compendium of existing indicators to assess sustainability at an urban level. From the 38 indicators that forms the UISA methodology, only 9 of them were selected as mandatory indicators, this means that these indicators are the minimum necessary to perform a comprehensive assessment of sustainability at the urban level. The selection of the mandatory indicators was done according to the opinion of different experts around the world, through an assessment survey and with the use of a percentage inquiry and the Analytical Hierarchy Process (AHP) system (multi-criteria system) it was obtained the weight of each indicator. The 9 mandatory indicators of UISA methodology are: Management, Economic viability, Flexibility and innovation, Waste management, Energy, Road infrastructure and equipment, Water, Future provisions and connections, and Population needs and priorities. 3  THE MANAGEMENT INDICATOR FROM THE POINT OF VIEW OF THE UISA METHODOLOGY As it was mentioned before, the management indicator forms part of one of the nine mandatory indicators of the UISA methodology. It is one of the 3 indicators that form the planned density subcategory which at the same time is part of the urban morphology category. For the proper study of the management indicator, the UISA methodology separates the criteria of the management indicator that is applied for the analysis of existing neighborhoods, as the criteria and study parameters varies according to their level of applicability. 3.1  The management indicator This indicator represents an approach that involves local entities (communities, agencies and government) working together to improve the public services and quality of life of the inhabitants of a specific neighborhood.


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As it was mentioned before, it covers the analysis of four main topics: LE; QA; SM and PD; with the aim of recognize the uniqueness of each place, ensuring that the community facilities are properly maintained and are appropriate to the existing PD of the area, so that a sense of ownership and responsibility is promoted. 3.1.1  Objective The analysis of the management indicator is based on five main objectives: 1. To encourage the integration of different agents into the planning, design and management of the analyzed area. 2. To adopt an environmental friendly management system which supports communities in active involvement in managing and maintaining of public facilities. 3. To promote a constant improvement of the urban environment through monitoring of strategies and plans of urban conservation. 4. To endorse an integrated, comprehensive, strategic and proactive urban development management. 5. To promote a balanced PD, this means that there is a sufficient number of people and urban services to meet the basic parameters of endowments, housing, open spaces and mobility means. 3.1.2  Description of the criteria to be evaluated Long-term and effective project management  This criterion involves the identification of advisory organizations that aid in the stages of management and maintenance of facilities and urban infrastructure of the study area. It is also responsible for studying the existence of a plan for monitoring and management of the urban facilities and the proper implementation of it by the corresponding stakeholders. Quality assurance  This criterion has to do with the requirements of the operational management system, the quality of the goals proposed in the strategies of community management of facilities; the parameters that have to be involved in the management manuals and standards, as well as the upgrade of these guidelines into action programs. Sustainability management  This criterion comprises the adoption of an environmental friendly management system by obtaining a certification relating to an effective management by the corresponding entities; the implementation of an intelligent monitoring and maintenance system of the environmental aspects which involves amortization costs of existing infrastructures; and the proper dissemination of results (on time and media resources) to sensitize users. Population density  This criterion involves the relationship between the number of people and the surface on which are. It has a direct relationship with the kind of neighborhood model that is being analyzed (compact neighborhood [ideal PD = 450 hab./ha] vs dispersed neighborhood [ideal PD = 285 hab./ha]), so it is necessary to note that the concept of high and low density is variable according to the context. A high density of population affects us more about our quality of life, although there is less environmental impact in terms of consumption; and a low density, pollutes less, but consume more resources, so the objective of this criteria is to analyze a balanced PD according to each case study.

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3.1.3  Items required for evaluation The necessary documentation to prove the existence of the selected points of the calculation process, such as: 1. Copy of the strategy of community management of facilities, it can be a simple guide, an operational manual or a regulation. 2. Evidence of the existence of a management structure inside of the area. 3. Documentation where the support sources are identified, such as the Community Development Trust (CDT), the public sector, private business and other community groups, and the confirmation in regards of their acceptance of associated roles and responsibilities of each stakeholder. 4. Evidence proving how the strategy of community management has created pilot projects. 5. Information related to the pilot projects. 6. Copy of the certifications of effective management obtained by the local entities. 7. Proof of existence of a monitoring and maintenance system of the environmental aspects. 8. Evidence showing the existence of a PD analysis. 3.1.4  Calculation process The Management indicator is evaluated through the calculation of the Management indicator index (IM), which represents the relation between the four analyzed criteria (LE; QA; SM and PD) that are weighted using the AHP system. The IM is obtained by applying the following equation: IM = (0.285LE + 0.285QA + 0.145SM + 0.285PD) × 100% (1) To obtain the value for each of the four criteria, it is necessary to fill out the information presented on Table 1, which are the quantification of the relevant parameters with its corresponding weights. After the quantification of all the parameters, it is carried out the normalization of these values. Each parameter value should be normalized in order to set a dimensionless value that expresses the neighborhood performance evaluation in relation to the benchmarks (optimum values and conventional practice values). In the normalization process, it is used the equation of Diaz- Balteiro, which is: Normalized value = 1- (optimum value- actual value) (2) (optimum value- conventional value) The use of eqn (2) converts the value of the four parameters into a dimensionless scale, where the value 0 corresponds to the level of conventional practice and value 1 to the best practice or optimum value. The values obtained with the normalization of each parameter, have to be evaluated in eqn (1) , in order to obtain a total value which represents the level of sustainability for the Management indicator. This value determines the status of the neighborhood and the quality of sustainable development in terms of administration, control, monitoring and maintenance of facilities and the performance thereof. To make easier the understanding of the results, the numerical values are converted into a qualitative scale (Table 2).


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Is worth mentioning that no indicator alone is a measure of sustainability, as it has to be considered in conjunction with other indicators presented, so the compendium of all variables can show a full view of sustainable development of a district. Table 1: Evaluation criteria for management indicator. Evaluation criteria


Long-term and effective project management [LE]



In the Neighborhood exists a management structure well defined.


It has been established a Community Development Trust (CDT) in charge 25.00% of support in the management of the neighborhood. CDT’s are community-owned organizations that use self-help trading for social purpose, and ownership of buildings to bring about long-term social, economic and environmental benefits in the area. They are independent, but work with other groups [7]. Existence of a strategy of community management of facilities.


The strategy is an operational manual, or a regulation for the operation and maintenance of the community facilities.


The existing plan for monitoring and management of the urban facilities is properly implemented by the corresponding stakeholders.




Requirements of the system

Quality assurance [QA] The operational management system adopted presents a multi-sectoral and cross-sectional approach. This with the aim of allow an adequate interdependence of economic, ecological, demographic, social, and political factors of urban development.


The neighborhood management strategy provides a spatial interdepen10.00% dency. This means that its goals follow the specific interests of the neighborhood, but these interests are linked to the ones of the city; it must be seen a relationship between the city as a whole and the urban-regional area. The strategy permits flexible responses to unpredictable changes.


The goals and quality standards of the management strategies are updated 10.00% according to the basis of monitoring and evaluation. The goals presented in the management scheme are determined to gener- 10.00% ate a benefit and improvement of the place. A detailed analysis for setting the local actions of the neighborhood has done and are exposed in the strategy.


The guidelines address minimum five of the next key strategic areas: Ar- 10.00% chitectural and neighborhood character; Housing and habitability; Mobility; Infrastructure and services; Environmental quality; Health; Crime and community safety; Jobs and training; Cultural heritage; Rehabilitation.


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Action plans

Evaluation criteria Instead of supplying a detailed catalogue of goals and measures, the guidelines formulate principles that are implemented in pilot projects. The pilot projects are drawn up with the intensive participation of the various stakeholders (various professional chambers, associations, companies, government and the public).

Weighting 20.00% 10.00%

Data dissemination

Monitoring system for:


Sustainability management [SM] Any of the local entities are certified with ISO 14000 (is a family of stan- 8.00% dards related to environmental management). Any of the local entities are certified with ISO 9000 (a quality management 8.00% standard, designed to help institutions to ensure that they meet the needs of customers while meeting the requirements related to a product [8]). Electricity consumption.


Drinking water consumption. Gas distribution. Waste production. Paving (like the PSI or the SCRIM system). Sewerage (like SITE - rain sensing system). Public transportation. Traffic signs. Traffic lights. Street lighting. Urban woodland. Irrigation of public spaces. Cleanup of public space. Monthly. Bimonthly. Quarterly. Semiannual. Annual. Internet. Press (printing or digital). For consultation in a public building.

4.00% 4.00% 4.00% 4.00% 4.00% 4.00% 4.00% 4.00% 4.00% 4.00% 4.00% 4.00% 20.00% 16.00% 12.00% 8.00% 4.00% 4.00% 4.00% 4.00%


Population density [PD] Number of inhabitants of the analyzed neighborhood: Dimension of the urban area analyzed. Population density (total population / total land area) Kind of neighborhood model (compact or dispersed)

Hab. Km2 Hab. / Km2 ---


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Table 2: Evaluation qualitative scale. Values of IM

Qualitative scale

bigger than 100%


between 81% and 100%

A (Best practice)

between 61% and 80%

B (Very good practice)

between 41% and 60%

C (Good practice)

between 21% and 40%

D (satisfactory practice)

between 0% and 20% lower than 0%

E (conventional practice) F (unsustainable practice)

4  STUDY CASE – BAIXA OF COIMBRA, PORTUGAL In order to illustrate the applicability of the management indicator, the city of Coimbra, Portugal was chosen as a focal point. Coimbra is a medium-size city in Portugal, with a population of more than 100,000 inhabitants [9] and a territorial extension over 3,000 ha. It is located in the coastal region of Portugal, halfway between Lisbon and Oporto [10] (Fig. 1). Because of its topography, downtown Coimbra is divided into two main areas: Alta which is the upper part and is largely occupied by the main complex of the University and Baixa which is the lower part and is a medieval core, historically associated with the original core of the city; it is the city center of Coimbra [10] and is composed by the parish known as Union of Parishes of Coimbra which was formed in 2013 under a national administrative reform that allows the aggregation of the old parishes of São Bartolomeu, Santa Cruz, Almedina and Sé Nova. For the applicability scale of the management indicator, a neighborhood of Baixa was chosen as the study area, it has an area of 0.04638 km2 and it is illustrated in Fig. 2. This study area is mainly residential (it has 355 inhabitants), so the use of an efficient management system of facilities is of primary importance. However, in this neighborhood it cannot be appreciated a well-structured and defined management system. This is possible to see when the management indicator analysis is performed. 4.1  The Management indicator evaluation To carry out the analysis of management indicator, all the evaluation parameters presented in section 3.1.4 were analyzed. Among the most important considerations of the analysis, it was observed that even though on the analyzed area exists a management structure well defined, it doesn’t have a CDT. Also the neighborhood has different strategies for building, rehabilitation and conservation of the area, which are established in regulations (Plano de Urbanização, Plano Director Municipal, Regulamento de Edificação e Recuperação, Regulamento Municipal de Urbanização e Edificação, Regulamento Urbano de Reabilitação urbana). Likewise, it can be seen that these strategies formulate principles that are implemented in pilot projects. However, the Baixa neighborhood does not have an intelligent monitoring and maintenance system for any of its facilities and services, and according to the expectations of population density, it presents a very low population index (77 hab./ha.). Therefore, the IM has a value of 39%, which translating into a qualitative scale is

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Figure 1: Coimbra, Portugal.

Figure 2: Study case – Baixa of Coimbra, Portugal.



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“D” or a satisfactory practice, this mean that the Baixa neighborhood is over the conventional practice, but it is not as good as it is expected related to have a sustainable management. Management is a long-term issue. The neighborhood management system need to find a dialogue between the population density and population need, with the administrative institutions, because it is only in this way that the plans and strategies of management, control and maintenance of the area will be properly chosen, and the actions to perform will lead to better benefits for the neighborhood and its users, so the four analyzed criteria of Baixa neighborhood have to find a balance in order to improve its management level, as until now it is doing well just in two of the four criterions. 5  CONCLUSIONS Finally, it is important to understand that in the built city, the urban development is increasingly concerned with detecting hidden potential (social, economic, cultural, spatial) to enable innovation and to balance conflicting goals between the concepts of sustainable development and urban planning, the aspect which until the last decade the conception of this two concepts was done separately. However, in the last years the panorama of urban planning has been changing, by going beyond its typical perception of design, technical and legal aspects; introducing the necessity of being delimited by organizational measures, communication and cooperation with public and private agents, as well as the need to adopt an action plan that improves the decision-making during all the stages of the project. This mode of action goes by the name of “Management”. But the management term does not replace planning, but expands it to include communication, monitoring, maintenance and organizational elements. This expansion generates different stages of management, like the planning management, information and participatory management, strategic resources management, project and quality management, use and operational management, adaptation or redevelopment management, between others. Currently, the study and evaluation of the different stages of management promotes a quality-oriented urban sustainable development, which serves primarily to ensure permanent innovation in the built city and its civil society structures and entities, and presents a new mode of looking forward to a cooperative management. Is for this reason that the Management indicators emerged as one of the existing sustainable indicators available in the market, but until now, the determination to deepen on its study has been vainly. Nevertheless, the current path of our chaotic cities like the increasingly decentralized complicated planning and decision-making processes, make it necessary to require locally specific actions, and optimally transparency; is with this motivation that the UISA methodology went into the study and understanding of the “Management indicator” in existing neighborhoods, in order to give a measuring instrument to promote the increase of urban sustainability. Becoming the analysis of this indicator of extreme importance as is the reflection of the organization and the correct function of a place. ACKNOWLEDGMENTS Jocelyn Erandi Reyes Nieto gratefully acknowledges the support from the Consejo Nacional de Ciencia y Tecnología (CONACyT) and the FCT (Portuguese Foundation for Science and Technology).

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REFERENCES [1] Kyrkou, D. & Karthausa, R., Urban sustainability standards: predetermined checklists or adaptable frameworks? Procedia Engineering, 21, pp. 204–211, 2011. [2] Reyes Nieto, J.E., Simões da Silva, L., Murtinho, V, Rigueiro, C. & Gonçalves, A., Ejemplificación de la problemática actual de las ciudades latinoamericanas, a través del análisis de Santiago de Querétaro, Euro-ELECS 2015 Latin-American and Europena Conference on Sustainable Buildings and Communities, Connecting People and Ideas, Guimarães. Portugal, pp. 1837–1846, 2015. [3] Reyes Nieto, J.E., Simões da Silva, L., Murtinho, V. & Rigueiro, C., An overview of existing methodologies for evaluating sustainability at the urban level. In X Congresso de Construção Metálica e Mista, eds. L. Simões da Silva, P. Vila Real, J. Rocha de Almeida, R. Gonçaves, cmm Press, Coimbra, Portugal. pp. 81–90, 2015. [4] Moussiopoulos, N., Achillas, C., Vlachokostas, C. & Spyridi, D., Environmental, social and economic information management for the evaluation of sustainability in urban areas: a system of indicators for Thessaloniki, Greece. Cities, 27, pp. 377–384, 2010. [5] UNESCO. Educating for a Sustainable Future: A Transdisciplinary Vision for Concerted Action, 1997. EPD-97/CONF.401/CLD.l [6] Salat, S., Cities and Forms: on Sustainable Urbanism, Editions Hermann: France, 2011. [7] BREEAM Communities, Technical Manual: SD202, BRE Global Limited, 2012. [8] International Organizational for Standardization. ISO 9000: International Standards for Quality Management, International Organization for Standardization: Genéve, Switzerland, 1992. [9] Lopes, C., City center revitalization in Portugal. Lessons from two medium size cities. Cities, 17, pp. 19–31, 2000. [10] Nieto, J., da Silva, L., Murtinho, V., Rigueiro, C. & Gonçalves, A., Conceptual ­model for the sustainable rehabilitation of medium-size inner cities in Europe: Coimbra, Portugal. Journal of Urban Planning and Development, 2016.

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ABSTRACT Outmigration, coupled with disruptive change – technological and climatic, present challenges for a small town community (STC) continuity and a concomitant adaptability imperative. The thesis of this paper is that the paramount need of STC is to attract and help to maintain SMEs (small and mediumsized enterprises) as the providers of jobs, and connected local economic benefits. However, urban planning faces concerns over their legitimacy, transparency, and the effects of what are perceived as (largely) politico-economic-driven and delayed planning processes. To address both needs and concerns, an original approach centred on collaborative decision-making by an eco-industrial park (EIP) stakeholder committee is explored. The connectivity of the local EIP tenants and stakeholder committee to an international EIP network enables adaptability and timely, informed STC decision making. To improve transparency and traceability in the latter, systematic, regular and scientific data gathering from its stakeholders is proposed. For this, a TRA/TPA-based research methodology is posited, and its application outlined. The discussion is based on research into urban planning, EIP and into SME management of eco-adaptation (EA), It is viewed as contributing to an important debate about urban planning processes, and to the change management needs of small towns. It has potential application to larger urban areas, and to cities. A list of recommendations for further research is provided. Keywords: adaptability, collaborative decision making, connectivity, continuity, EA, EIP, legitimacy, SME, stakeholder committee, STC, TRA/TPA research.

1  INTRODUCTION ‘Business development is at the heart of a small town economic development strategy that can benefit from public policy in more ways than their larger counterparts. Activities should encourage new business start-ups, sustain and expand existing businesses, and increase innovation and entrepreneurship within the community’. Knox P & Mayer H (2013) Small Town Sustainability: 56 The capability of making timely decisions that have the support of key local stakeholder groups and, in probability, regional and or central government support, clearly depends on supportive horizontal (at the local level), and vertical communication. Given the collaboration required for the former, urban planning must be seen and sustainability-led. This could be, following the cogent argument of Lennon and Scott [1], a green infrastructure (GI) approach, both multifunctional and integrated, which the authors remind their readers ‘seeks to understand, leverage, and value the different ecological, social and economic functions provided by natural systems to guide more efficient and sustainable land use and development

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-468-476

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patterns as well as protect ecosystems’ (PCSD,1999,64). Public discourse about liveability [2], participative planning [3,4], Community-led planning (CP) [5], local ­co-production of neighbourhood planning) [6] and related discussion on deliberative democracy [7] reflect a prevailing localisation debate. This, in turn, contains themes regarding (local) concerns over the legitimacy, and [8–13], and over a ‘politico-economic’ model of decision-making lacking in transparency, being prone to delays, and intrinsically short-termist in looking for ‘quick gains’. The need for any organisation to adopt a Kaizen approach of continual improvement, as well as to innovate, in fast-changing times sits uneasily with such perceptions or realities. Is ‘public policy’ and ‘increase innovation and entrepreneurship within a community’ (as evoked in the opening quote) an oxymoron in terms of either? Urban planners are also being entreated to move their focus ‘from location and design’ to social benefits [14], which appears congruent with the viewpoint [15] that collaborative planning is needed. If such are some of the challenges and opportunities facing urban planners, then what are the underlying principles on which SMT stakeholders are to collaborate? Decision making, which balances the ‘3 Es’ economic goals, environmental wisdom and social equity? Certainly the same authors, citing many sources on the theory of GI planning, invoke its four principles of respect-for-context, the primacy of the protection of GI assets and functions over land allocation, connectivity (the authors refer to spatial, scalar and institutional types of connectivity), and multi-functionality. The latter term refers to planners whose ‘focus (is) on value in seeking to enhance multiple eco-system services, rather than ‘addressing the provision of individual functions’ (e.g. drainage, recreation etc.). GI’s focus, they conclude, is on human well-being, and add that recent studies ‘advocate a GI planning approach as a means to ensure sustained local and regional growth (LCPR, 2010)’. Consideration of problems in balancing human benefit with ecological protection provides an echo to an earlier reflection [16] that ‘the problem is that ‘economic and environmental mechanisms for resource distribution, neither is a respecter of persons (and that)…the difficulty for the community or individual is that neither system favours humans’). The same author takes the view that ‘The problem is that the concept of sustainable development is political rather than analytical’ – the former not being known for the transparency or traceability (principles underpinning eco-sustainability) of its decision-making. This observation is germane to ‘systematic and scientific’ data-gathering approach here proposed, and later explored in its application to STC. The research approach to this conceptual paper has been informed in various ways. Small Town sustainability was researched from the point of view of urban development and planning. Research [17], on market towns, provided the definition of STC size – ‘a population somewhere between 2,000 and 30,000 (DETR/MAFF 2000)’ has been followed for STAC here’. Its theoretical underpinning, follows that of Lennon and Scott (see earlier), namely that ‘sustainability’ management be premised on the balancing of economic, environmental and social goals – and be, fundamentally, innovative. Viewed as critical to STC sustainability – the continued presence of a sustainable working population, and therefore local jobs – the effective management of EIP: SME tenant relationships were explored in their respective literatures. Continuity and adaptability needs were shown to provide common ground – this being shared with other co-member local stakeholder groups represented on an EIP committee. Finally, the need for transparency, traceability and relevance of decision making by the EIP stakeholder committee would be advanced, it is proposed, though a systematic and scientific approach to regular gathering and analysis of data from its members. Such would be congruent with previous reference (see above) to greater emphasis on the analytical, rather


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than political processes as drivers, and, if well-managed, be seen, critically, as more worthy of local trust. There follows a summary discussion of the practical and the potential value of such analysis to STC’s adaptability and continuity. The paper will therefore follow the order of firstly, a brief introduction to EIP, then EIP management issues, with a focus on relationships with existing and potential tenant SMEs (these being the overwhelming majority of EIP tenants). In this, continuity and adaptability needs emerge as significant drivers for both ‘sides’, in which the promotion of innovation and stakeholder-based collaborative decision-making, are seen to play a significant role. EIP tenants’ connectivity to an international EIP network (Fig 1) – including with other EIP domestically – would enable, it is argued, the rapid data and knowledge transfer needed to manage the disruptive change -especially from new technologies. Such ‘knowledge links’ would be valued by EIP tenants, keeping other EIP stakeholders updated for more relevant and timely decision making. Finally, to enable collaborative decision-making which addresses issues of legitimacy and provides potential long-term benefits to the STC), a process of regular and scientifically managed data collection from stakeholder groups is envisaged. It is proposed that a Theory of Reasoned Action (TRA) [18] – developed into a Theory of Planned Behaviour (TPB) [19] approach be considered. This is articulated here in equation form – and later explained, prior concluding remarks, and a brief listing of recommendations for further research. The TRA approach to understanding behavioural intention: BI = ( AB)W1 + (SN )W2 where: BI = behavioural intention (AB) = one’s attitude toward performing the behaviour, W = empirically derived weights SN = one’s subjective norm related to performing the behaviour [9] and where AB = be where b equates the belief that something is or is not (the case), and/or that by doing x, y results, and where e represents (the influence of) values, e.g. as expressed in local priorities When developed into the theory of planned action (TPB)) it can be, in its simplest form, expressed as the following mathematical function: BI = (W1 ) AB[(b) + (e)] + (W2 )SN [(n) + (m)] + (W3 )PBC[(c) + ( p)] BI: Behavioural intention AB: Attitude toward behaviour (b): the strength of each belief (e): the evaluation of the outcome or attribute SN: Subjective norms (n): the strength of each normative belief (m): the motivation to comply with the referent PBC: Perceived Behavioural Control (c): the strength of each control belief (p): the perceived power of the control factor W’: empirically derived weight/coefficient the extent that it is an accurate reflection of actual behavioural control, perceived behavioural control and, together with intention, be used to predict (actual) behaviour. 2  EIP AND THE MANAGEMENT OF EIP: SME RELATIONS To consider a central role for EIP in STC sustainability, research was undertaken on the nature of EIP, and particular focus applied to a factor critical to EIP continuity : EIP:SME relationship management of tenant and potential tenant firms. These matters are discussed in turn, as also their common needs, with those of other local stakeholders, for continuity and adaptability needs. How the needs of all stakeholders are ascertained, these acting as collaborative co-members of an EIP-led committee is then explored, with reference to aforementioned TRA/TPB-based research processes. These, it is argued, can promote transparency and

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traceability in decision-making, and, if enacted regularly, provide also a valuable long-term local community narrative, and witness of a STC’s history and cultural identity. 2.1  EIP and SME tenants This section provides an introduction to EIP, their workings and relationship with SME in particular from a relationship management standpoint. EIP evolution can be traced back some 30 years from ‘industrial estates or industrial clusters, science parks, corporate synergy systems, and as Environmental Management Systems (EMS) [20]. The formalisation of the present EIP concept is attributed [20] to the Indigo Development at Dalhousie University in 1992, with 17 self-labelled EIP in the USA by 1996. In contrast to Indigo United States EPA Research Project definition of EIP, in a detailed study [21], EIPs are linked clearly to ecoinnovation. The author from other definitions, chooses the definition the PSCD in the United States of an EIP as: “A community of businesses that cooperate with each other, and with the local community, to efficiently share resources with each other, to efficiently share resources (information, materials, water, energy, infrastructure and natural habitat) with the local community leading to economic gains, gains in environmental quality and equitable enhancement of human resources for the business and local community.’ (196) Here, EIP is viewed as designed in such a way that ‘the way a company operates its production is taken into consideration when ensuring the park’s general maintenance activity, so that it gets to be, through the synergy of different companies, an ecosystem from the point of view of resource use, and optimal energy consumption’. (84) This ecosystem needs to be sensitively managed as EIPs are not to constrain, by regulation, the often entrepreneurial behaviour of SME tenants. It is even to create an experimentalist culture in the EIP, and one involving the local community in the design of the park’[22]. The EIPs support role for SMEs as an educator and trainer in eco-adaptation (EA-see later) is clearly stated in the same research. The main managerial tasks of an EIP include promoting innovation, as also referred to more recently [23] as a core priority in SME-relationship management. EIP collaborating with local public government can offer tenant enterprises the opportunity for large and long-term public sector contracts (e.g. waste disposal, energy-efficient lighting etc.). Significantly, these in turn can also contribute to the continuity of firm membership within the EIP, as tenant churn needs to be managed. Reference made to EIP’s potential ‘fragility’[24] leads some authors to counsel EIP management to think beyond survival, to long-term planning and continuity [25] and to where EIP and SME’s interests clearly overlap. This section has briefly explored EIP from a managerial perspective, with SME as potential and actual tenant enterprises. The EIP network acts as a link between regulators (central and provincial authorities) and tenant organizations – largely SME. EIPs are well-placed to take a holistic view of the EA process, and to marry central directives with local industry potential, and cultural ways. Here, EIPs can act as significant EA regional and local network hubs. As well as influencing existing, and anticipated/proposed regulations, EIP can play a significant role providing tenant firms a voice for enabling bottom-up input into these from these, as from other EIP committee members. EIP–SME collaboration can foster innovation and discussion of EA possibilities with direct benefit to the local STC, and adopt a shared perspective on the continuity and related risk management. This EIP-centred perspective is one side of a coin which explores EIP–SME relations, In the next section, the relationship is viewed from an SME managerial perspective.


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2.1.1  Drivers, barriers to, and approaches to SME eco-adaptation Discussion in this section refers to research relating to SME EA in terms of the forces promoting engagement – drivers and barriers to EA. Eco-start-ups are likely to embrace the same principles as defined earlier, which guide EIP management and goals. However other SME, for either supply-side or demand side reasons (or both), may realise they need to embrace eco-adaptation-and, it argued, might well identify benefits from EIP tenancy. Others may be managed in such a way as to not engage in EA, some reasons for which appear in this section. Drivers (i) Supply-side. It is widely agreed that SMEs are driven by economic goals and competitiveness, rather than by some balancing of those with social and environmental goals. That said, the overwhelming influence of bosses on SME can result in personal values-social and/or environmental influencing an offering. Some SME bosses want to ‘do good’, as well as do business. Eco-innovators fit within this category (though altruistic intentionally cannot be assumed). The authors identify a number of other drivers of SME EA: market opportunity, the influence of stakeholder groups [26], public sector organization requirements, eco-related government subsidies, regulation and taxes, industry codes of conduct and international standards, such as ISO 14001 The same researchers refer to ‘eco-advantage’, implying economic reward through EA, and also, potentially, a failure to compete in the absence of EA. Partner pressure can arise, for example, within a supply chain, when a large scale enterprise (LSE – see Interface Inc.) – ‘focal firm’ – tells suppliers to ‘go green or lose the business’ (!) Last but not least, technological advances drive eco-innovation (EI) and EA. (ii) Demand side. These drivers of EA arise also, from evolving consumer expectations (see Lifestyle of Health and Sustainability (LOHAS) ‘green consumer segmentation’). In adaptive organizations, SME employees too can bring ‘bottom up’ influence regarding EA quickly to an SME strategy discussion. Internal EA may be promoted within an enterprise in any area where managers’ performance metrics cover environmental and social impacts. This can include application of triple bottom line auditing of performance, life cycle analysis (LCA) and other eco-metrics. 2.2  Barriers A lack of awareness, limited access to information, to knowledge and technology, the effort of meeting regulatory requirements, a lack of skills and qualified personnel, limited access to finance, market and global supply chain access difficulties – such barriers to EA have been identified. A further barrier to EA is found when small firms are reluctant or/unable to pass their sustainability requirements upstream [27]. There may also be a mismatch between views and objectives of managers and skilled workers within firms implementing environmental design changes. A fear of creating supply chain instability in the search for new materials may also arise. Views in older studies [28] relate that small firms still have difficulty in identifying and acknowledging their environmental impact. These may still persist. So as not to be constrained from normal entrepreneurial and innovative behaviours, SMEs will need, and benefit from, an EIP management and culture which is both, flexible, and experimentalist. Local legitimacy, enhanced by collaborative EIP stakeholder committee decision-making, can enhance the perceived legitimacy of members’ – (including EIP ­tenants)

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actions locally, while supporting shared continuity needs and adaptability goals. Finally, an SME committing itself to relocation within an EIP, or exiting from one, will want to see risk shared in part at least by the EIP, such exits impacting on the EIP’s own operation and, potentially, on its continuity. Given the various drivers and barriers to SME EA addressed, aforementioned connectivity to an international EIP information network, together with EIP management encouragement of eco-innovation, can help incentivise tenants toward continued tenancy. EIP management and tenants value such resulting continuity in their operations-one based on innovation and adaptability. An underpinning to such confidence and commitment is that collaborative EIP stakeholder committee deliberation be clearly based more on analysis of (robust research processes and) evidence than politicking and town hall oratory (!). This basis to urban planning decision making involving the systematic, regular and scientific gathering of EIP stakeholder constituency views- is outlined in a proposal in the next section. 3  STC SUSTAINABILITY- APPLYING A TRA-ASSISTED APPROACH TO COMMUNITY DECISION-MAKING 3.1  Toward a more scientific approach to researching, and to addressing, local views and concerns Is it ever possible to accommodate the varying wishes of a multi-stakeholder- group? Some would argue not, but advances in communications’ technologies, and big data analysis have already greatly facilitated survey administration and analysis. This enables timely decisionmaking, and, potentially, less ‘hurriedness’ in the face of sudden challenges from disruption, technological and climatic, as much as economic. The logic must be for STC, as EIP, to embrace the research potentialities of digitalisation, so as to expedite data collection, while choosing a methodology capable of gauging, with some degree of accuracy, the feelings, as well as the beliefs, of the local population constituencies under study. Local community expectations regarding the transparency, traceability (and evidence-based needs) and legitimacy of urban planning decisions, can be addressed through more evidence-based and local collaborative decision-making. One research approach which can be employed for the latter purpose is that underpinned by the TRA/TPB equations stated earlier. These will here be related -in their parts- to an EIP management’s research of its stakeholder constituencies’ views. Clearly, in the space available, the explanation is to be taken as indicative of the potential value, and use, of the approach. The former will also rest in an administrative regularity likely to reduce high(er) response rates. The latter may lead, for example, to the development of a longitudinal research study, which, in turn, promotes the construction of a valuable evidence-based STC narrative, historical record, and point of cultural reference in decision-making. The TRA/TPB equations identify various influences on how a respondent intends to behave (BI)-be it in voting, or in accepting or opposing a course of action, The approach helps identify dispositions (AB: attitudes) toward specified behaviours, perceptions of what is ‘a normal’ course of action, how much a respondent feels inclined to comply with others (m), and how strongly s/he feels that by undertaking a certain behaviour (e.g. voting yes or no) they are ‘meeting the norm’(n). Relationships (weightings: W) between these potential influences are also deducible by the measurements –e.g. via Likert scales, and ‘affect’ ratings. In addition, within the TPB model, there is also the respondent’s response (‘control belief) to an o­ verseeing


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decision-making body, and her/his perception as to the perceived power of that (controlling) planning body (PBC). In sum, a combination and interaction of attitudes, perceptions of selfaction (psychological) and self-to-others (sociological) data – these, and a respondent’s relationship to those perceived as with ‘controlling power’ leads to ‘behavioural intention’. This in turn can be viewed, if not as equating with actual behaviour, as having a strong relationship to the latter. Applying such qualities to EIP data gathering from its stakeholders, areas of belief, value and expectation overlap can be identified, as also divergences. Results, being viewed within the EIP’s ethos of balancing and making compatible economic, environmental and social goals, are also analysed as to the degree to which they accord or disaccord with stated and shared STC’s sustainability goals. Perceived Behavioural Control (PBC) information can help to diagnose, as well as identify, causes of adverse responses to external influences. Examples of these are governmental bodies, technological ‘threats’, or even from competing EIP (though eco-collaboration would appear more likely). For urban development consultants, the provision of such data as part of a longitudinal research process, can provide a more scientific basis for understanding STC culturally, and from which to draw objective conclusions –less impeded by the prevailing and political ‘loudest voices’. Such a longitudinal study provides also a basis for community reflection, for self-learning, and an aid to counter the selective memory not uncommonly found in town hall debate. Motivation-to-comply (m) might serve also to indicate the degree of community cohesiveness- or lack of such, on any given issue. The instance of a heavy W3 weighting (i.e. on PBC) may promote, discussion of local feelings of powerlessness-and the sources of such feelings and beliefs. The task of STM adopting a local regular data gathering process such as premised on TRA/ TPB may appear onerous, but one greatly facilitated by big data capture and processing. It can play an important role toward collaborative rationalism in urban planning decision making, offering more transparency and traceability of processes, and so potentially greater perceived legitimacy. Greater trust in planning processes, and in their local relevance (see e in the equations here), is likely. EIP committee leadership can serve to emphasize the critical contribution of innovation and jobs to STC continuity and survival (the added ‘C’ of STC in this text not being redundant, but underlining that it is people and jobs, not spatial use and aesthetics, which it views as underpinning the current argument). Finally, in this original research on the topic, the focus is about an approach to the retention of a sustainable working age population for STC continuity. This STC capacity linked to that of adaptability in times of rapid and increasingly, disruptive, change, contributes to a growing literature connecting urban planning and participative decision-making. Recommendations for Further Research 1. To explore the views amongst potential members of an EIP stakeholder committee as to the proposal outlined in this research 2. To consider relationships between small towns and EIP 3. To consider how the topic might relate to ‘collaborative rationality’ and the role of ­planners 4. To explore the proposal in terms of the creation of a local stakeholder recorded narrative as an instrument for learning, self-reflection and improved understanding of continuity and adaptability management

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[16] Batty, S., Planning for sustainable development in Britain. Town Planning Review, 77, pp. 20–41, 2006. [17] Powe, N. & Hart, T., Market-towns: understanding and maintaining functionality. Town Planning Review, 79, pp. 347–370, 2008. [18] Fishbein, M. & Azjen, I., Belief, Attitude, Intention and Behaviour: An Introduction to Theory and Research Practice, Addison-Wesley: Reading, MA, USA, 1975. [19] Azjen, I., Theory of planned behaviour. Organizational Behaviour and Human Decision-Making Processes, 50, pp. 179–211, 1991. [20] Anbumozhi, V., Chandanie, A. & Portugal, J., Boosting the environmental and economic competitiveness of SME clusters in Asia: policies and challenges, background paper prepared for the Regional Workshop on Eco-Industrial clusters, policies and challenges, Tokyo, Japan, 2009. [21] Sarkar, A., Promoting eco-innovations to leverage sustainable development of ecoindustry and green growth. European Journal of Sustainable Development, 2(1), pp. 171–224, 2013. [22] Gibbs, D. & Deutz, P., Sustainability and the local economy: the role of eco-industrial parks. In Ecosites and the Implementation of European Union Environment and Sustainable Development Policies, eds. J. Dallemand & L. Mottram, Department of Geography, Environment and Earth Science, University of Hull, UK, 2004. [23] Roberts, P., The evolution, definition and purpose of urban regeneration. In Urban Regeneration: A Handbook, eds. P Roberts & H Sykes, 2004. [24] Dervojeda, K., Nagtegaal, F., Lengton, M. & Daata, P., Eco-Industrial: Analysis of industry-specific framework conditions relevant for the development of world-class clusters. Report for European Cluster Observatory, The European Commission NL Agency, Utrecht, The Netherlands, 2013. [25] Tudor, T., Adam, E. & Bates, M., Drivers and limitations for the successful development and functioning of EIP’s (eco-industrial parks): a literature review. Ecological Economics, 61(2–3), pp. 199–207, 2007. [26] Esty, D. & Winston, A., Green to Gold: How Smart Companies choose Environmental Strategy to Innovate, Create Value and Build Competitive Advantage, John Wiley and Son: New York, 2009. [27] Jorgensen, A. & Knudsen, J., Sustainable competitiveness in global supply chains –how do small Danish firms behave? The Copenhagen Centre for Corporate Responsibility, 2006. [28] Vernon, J., Essex, S., Binder, D. & Curry, K., The greening of tourism microbusinesses: Outcomes of four group investigations in South- East cornwall. Business Strategy and Environment, 12(1), pp. 46–49, 2003.

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ABSTRACT Mediterranean Touristic populated areas in the 70s pose great disadvantages when it comes to renovating. The transformation of such tourist resorts into permanent residence implies problems derived from the lack of design flexibility, excess of regulation and environmental issues. These holiday apartments, due to their dimensions and current conditions, are quite economical within the current housing market. However, the problems mentioned above can be seen when one has a close look at the high energetic consumption, the small dimension of the inhabited places, the lack of security against fire and the low level of hygrothermal comfort. Benidorm underwent a large development in the 70s. As many other coastal Mediterranean cities, it has problems in providing its citizens and tourists with their needs. Many conflicts arise from sharing a common space, like the ones abovementioned. It is also worth mentioning that inhabited flats and houses have originated several social problems. This paper intends to show a holistic strategy of intervention in a specific building that can also be implemented in other blocks of flats. This intervention is meant to redistribute the building both internally and externally, so the useful floor area is increased. Security in case of fire is solved by adding a second staircase, with two evacuation routes. There will also be a renovation with a new structural framework that will give a better climatic regulation function, and thus better energy efficiency. Besides, action will be taken over the resort gardens to produce a sustainable building outlook. In this way, there will be an improvement in the quality of life of the permanent employees working for the big number of tourists in this city. Keywords: cultural heritage, landscape planning and design, quality of life, urban safety and security.

1  INTRODUCTION In the 1960s and 70s, tourist development of the Spanish Mediterranean coastline led to an exponential growth in construction. The commercial rewards deriving from the demand for tourist accommodation meant that adequate town planning was needed. A lack of any established culture in this sector, together with aggressive speculation, led to inappropriate planning models. The need for service sector accommodation in urban centres led to the construction of poor quality housing. In many cases, the homes built were cramped and uncomfortable. The provision of educational and health facilities etc. were substandard compared to other population centres. With the passage of time and the social changes that came about in the 21st century, these buildings and the scant social facilities led to social conflicts. Urgent intervention is required in many of these areas in order to achieve balanced cities in terms of sustainable development [1]. This is the case with Benidorm, an urban centre representing the paradigm of tourist development in the province of Alicante. Some of the conservation irregularities and use of its buildings, despite the fact that the town continues to be successful tourist resort, are nothing

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© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-477-487


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short of surprising. According to the recent count carried out by the National Statistics Institute in 2013 on Census and Housing Population [2], the total housing stock in Benidorm amounts to 58,011 homes, of which 43.3% are seasonal dwellings. This amounts to 25,131 second homes. It is interesting to note that of the total housing stock available, 8.6% of homes were empty, a total of 4,988 dwellings. Some of these are the sole empty apartments in a building or they may account for the majority of the homes in others, where the entire edifice appears to have been abandoned. This contrasts with the decrease in numbers of empty homes in the last 10 years – 47.3% according to a study of the National Statistics Institute (INE), whereas growth in new first residences was 40%. The problem resides in that 7.3% difference. There are 4,234 homes in the town, which were not destined as the main family residence but which were used during the summer season as holiday homes. These homes are now used to house poor families or those with no financial resources on a permanent basis, as a result of the present economic crisis (Fig. 1). The typical features of a holiday home differ from those of a permanent residence, because normally they are only occupied during the holiday season and less time is spent living in the home as the occupants frequently spend their time out of doors. The climate is mild in winter but hot in summer and homes that are lived in permanently need energy resources and building structures, which will provide adequate comfort all year round. In addition to the storage needs of a normal family, they require a larger surface area than the space provided by a holiday home. All these aspects can lead to problems for those who wish to use this type of dwelling as a permanent home, since they were initially designed for use during holiday periods. This situation can be extrapolated to other cities and towns on the Alicante coast, which are also busy tourist resorts such as Torrevieja (51.2% second homes and 16.3% empty homes), Gandía (36.5% second homes and 9.2% empty homes) or Santa Pola (55% secondary homes and 13.3% empty homes), where empty housing is decreasing at a rate of 30%.

Figure 1: View of the Playmon F complex in Benidorm.

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2  BENIDORM URBAN CONTEXT Benidorm is a town with one of the highest rates of skyscraper per inhabitant in the world and is in fact the second largest in terms of skyscraper per square metre. Thanks to its climate and average temperatures, between 10ºC in winter and 26°C in summer, it is one of Spain’s biggest tourist destinations and comes third behind Madrid and Barcelona in numbers of hotel rooms available. However, Benidorm does not quite fit the concept of tourist resort which began to develop in the nineteen fifties when a real transformation occurred. From an original population of 2,726 inhabitants it rose to 6,259 in 1960. In 1981, this figure continued to rise to 21,544 inhabitants in 1997 reaching 50,176, and in 2015 the town had 69,010 inhabitants although due to the fact that the majority of foreigners are not registered in the census, it is calculated that around 100,000 inhabitants live there for most of the year. This figure rises sharply when the summer comes, and currently there can be as many as 400,000 inhabitants during the season. Benidorm’s growth model contrasts with planning developments in most of the other tourist resorts in the area. Whereas in Torrevieja, Guardamar, Salou, Marina d’Or, etc. most of the accommodation consists of housing estates of low rise two storey terraced houses, in Benidorm the city was planned with considerable height density, creating large areas of public space and rationalising the urban and service infrastructures designed as a model of sustainable planning. The efficiency of travel services, public lighting, refuse collection, waste water evacuation, road maintenance etc. is vastly superior to the models employed by the other municipal districts mentioned above. Its image of high-rise buildings with their authentic skyline, seemingly aggressive in contrast with its coastline and surrounding landscape was criticised at the time by urban planners and architects. Yet now the model has been acknowledged as a success considering the consequences of its uninterrupted growth, and compared to the problems of urban areas that have spread excessively such as Torrevieja – which also has 400,000 inhabitants in high season – yet with far more worrying urban and social concerns, and a model of urban growth which is completely inadvisable. The city’s social agents – hotel managers, banks, tourism workers, representatives, renovators and developers etc. perceive the urban landscape and environment as one of Benidorm’s greatest plus factors. Nevertheless, it is true that the town is in need of refurbishment as its infrastructures have deteriorated in recent years. Furthermore, its development model may well have reached its peak. Now it proposes to rethink its future, seeking ideas to attract luxury tourism without dispensing with the millions of low cost visitors, and with no real possibility of destroying the stereotype of nineteen sixties tourism. Furthermore, recent existing social problems have been exacerbated and require special attention. 3  PRESENCE OF SOME SOCIAL CONFLICTS IN BENIDORM Chapter 2 of the Ministry of Development’s document ‘Habitat Spain Agenda: the contribution of cities to sustainable development’ [3], identifies various social problems in Spain deriving from the distribution of continuously used second homes and empty housing. In the case of Benidorm, the increased demographic densification, the price of rents and sale of homes, and the need for more services and supplies has exacerbated the living conditions of its inhabitants. It is also worth noting that some buildings are almost like neighbourhoods in themselves, with undesirable overcrowding and this is gradually leading to a rise in social problems [4]. The current serious economic crisis, together with the exorbitant rise in house prices leading up to 2008, meant that families seeking housing moved to homes which had previously only been used for brief summer periods. Thus, sales rose of this type of dwelling, typically with a useful surface area of 30 m2 to 50 m2, due to their extremely reduced prices.


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Another cause of these excessive rates of unused housing, which has led to population movements, is the advanced age of many proprietors of this type of home, built in the nineteen seventies, and their subsequent demise. Another significant cause is the number of evictions carried out by banks for unpaid mortgages as a result of the prolonged economic crisis. And finally, another factor to consider in this redistribution of inhabitants is the increase in ‘squatters’ occupying homes, a social movement which arose from the precarious situation in which the poorer sectors of society found themselves or those who had been marginalised due to personal circumstances. This situation of living outside the law attracts other activities of the same nature, thus generating a flow between the progressive abandonment of homes and the rise in criminal activities – drugs, alcohol, delinquency – which simply serve to increase the difficult situation of those residents who live in such accommodation on a permanent basis [5]. Thus, an undesirable habitat is created for the younger generation living there, they lack motivation for personal development or for pursuing job opportunities. Clearly, the urban environment needs to be revitalised so that the populace can regain their dignity, and ability for self improvement, while also resolving the social problems that are increasingly arising in these areas. 4  DESCRIPTION OF THE PLAYMON F BUILDING This research focuses on the energy and social rehabilitation of the Playmon F building in Benidorm. The building is 15 storeys high, and almost rectangular in form (Fig. 2). There are 30 homes per floor, with a total of 450 altogether. Each floor has five apartments with a surface area of 60 m2, two with an area of 90 m2 and the rest have a surface area of 30 m2, with a total built surface per floor of 1,200 m2 and extending to 18,000 m2 overall. The 30 m2 apartments face west and the 60 m2 apartments face east. Five homes with an area of 30 m2 face south. The apartments are accessed through a single vertical nucleus, which has five lifts and stairway 1.2 metres wide, which opens inward, leading to an interior hallway. This has no natural light or ventilation and fails to comply with all the normal evacuation regulations in the event of fire and health hazards. The communal garden is situated to the west of the plot, and accounts for 65% of the total surface area of the plot, whereas the building only occupies 35% of the surface. The house fronts are modules 3 m wide and 2.5 m high, with a single housing module in the 30 m2 dwellings or two in those with a surface area of 60 m2. They amount to a total of 4,275 m2 of façade of the apartments, a surface which, as we shall see below, will form part of the action to be taken. The construction is simple and of poor quality. The building has a metal structure and the dividing walls of the homes consist of dry partition walls. The outer walls are built from ceramic double airbrick with no thermal insulation and poor quality single layer cement rendering, and the rooms have aluminium frames without thermal break and single glazing.

Figure 2:  Plan of the Playmon F complex. Current state.

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5  STRATEGIES FOR SOCIAL AND ENERGY REHABILITATION The social problems described above have been encountered in the Playmon F building. In order to alter the trend towards marginalisation in the neighbourhood where the building is located, this research proposes a social and energy rehabilitation programme in terms of ecoarchitecture [6], using the following strategies: 1. Provision of social relations areas on every floor of the building. 2. Increase in the useful surface area of all the homes, duplicating the space in 25% of the apartments in order to regenerate family life. 3. Construction of a new block of homes in the same plot for rehousing residents during the renovation work and for permanently rehousing 90 families. 4. Provision of a specially protected fire escape staircase. 5. Energy rehabilitation of the building using passive systems and solar collectors with greenhouses on both main façades. 6. The actions will impact as little as possible on the environment and elements of the existing façade will be reused, thus reducing the amount of demolition work required. 6  MAIN STRATEGY: INCREASED SURFACE AREA + REHOUSING Playmon F has 450 homes, 44 of which are empty, cancelled due to eviction or ‘squatted’. Our proposal includes dispensing with six homes per floor (four with a surface area of 30 m2 and two with 60 m2). If we take into account the second of the strategies this consists of joining some of the 30 m2 apartments to create 60 m2 homes, suitable for housing families with children, which would reduce the number of apartments to 120 (Fig. 3). Where the apartments to be demolished are still occupied, Spanish law provides for protection of its owners and this will be factored into the scope of the action. The Benidorm urban planning model allows for minimum occupation of the plot extension by building at height, providing large areas of green spaces. In order to resolve the problem of rehousing the affected owners, 76 homes would be built within the same original plot. This new construction would consist of a single block of homes, with a surface area similar to that of the existing block with four different heights, covering a total of 4,800 m2 of new building, comprising 50 homes with a surface area of 60 m2, and for 26 with an area of 30 m2. As the buildings are low rise, there would be no shade on the existing building, nor would the view be altered. The 2,500 m2 of garden area would be reduced to 1,200 m2, but there would be clear advantages in the residential quality and for strengthening the residents’ identification with the new residential complex. The demolition phase would result in the need to transfer inhabitants, and therefore new homes would be needed prior to beginning demolition work, in order to avoid extra costs of

Figure 3:  Diagram of the renovation. Social relations areas.


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Figure 4:  Section of the current state. Application of greenhouses.

temporary housing, and the concomitant inconvenience caused to the residents’ lives. Should it prove impossible to build on the same plot, we would need to consider other strategies such as increasing the social housing stock of the city in order to cover the needs of this project. This complicated activity would be simplified with the construction of a new block of homes on the same plot. 7  ENERGY REHABILITATION: GREENHOUSE AND SOLAR PANELS With the previous strategy, the surface area of some of the homes would be increased. In order to achieve this throughout the housing complex while also improving problems of thermal isolation and the high rate of air infiltration in the walls, an external wall would be built 3 metres from the façade based on a metal structure with new foundations, double glazing with chamber and aluminium slats for solar protection creating greenhouses in all the homes (Figs. 4 and 5), using the LCA method [7]. The present interior glass and aluminium enclosure would be kept, and the existing railings would be used. Through correct use of the slats or the opening and closing of the glazed areas, the interior temperatures would be mitigated in both summer and winter. There would also be a variant consisting of the possibility of using photovoltaic cells fitted on the back of the slats to collect solar energy. This would reduce the energy requirements of the homes (Figs. 6 and 7). Temperature measurements were taken in situ in two of the houses in the complex, in addition to thermographic readings of the outer walls, both inside and outside (Fig. 8). The results obtained showed that the interior environment is far from complying with the level of comfort required under Spanish regulations, namely, the Technical Building Code (CTE). In winter, air temperatures vary between 17°C and 19°C, whereas in summer they frequently reach

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Figure 5:  Renovated homes with greenhouses. Types.

Figure 6:  Greenhouses. Adjustable slats and sliding glass doors.

Figure 7:  3D image of the renovation.



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Figure 8:  Thermograph of the enclosing walls: inside and outside. 29°C [8]. Only an air conditioning system could keep the home comfortable, thus using considerable energy due to a lack of solar protection and air infiltration in the walls. With the data obtained, calculations were made by simulating the energy demand of the homes in normal conditions of use, using the Design Builder tool. Following the renovation work, the energy demands of the homes would be halved, and reduced to a quarter in the event of using the more expensive system of photovoltaic cells in the protective slats (Table 1). 8  COMPLIANCE WITH FIRE REGULATION CTE-DSI As explained previously, the Playmon F has a single vertical communications nucleus, the staircase of which, at a width of 1.2 metres, fails to comply with current regulations specifically CTE-DB-SI3 ‘Evacuation of occupants’. In addition, access to the apartments is through a dark passageway, with no lighting or ventilation, which is 1.8 metres wide. In order to comply with the CTE-DSI and also to adapt the existing staircase area, it is proposed to install a specially protected staircase in two sections. Furthermore, in order to comply with the distance requirements of the evacuation route at the other side of the building, a block of 30 m2 apartments would be demolished in order to fit a symmetric block of stairs in symmetry with the other staircase, and with the same characteristics. In order to improve the living conditions of the building, it was decided to act on the communal zones, thus complying not only with safety regulations in the event of fire, but also creating more welcoming spaces in which the passageway, instead of being considered a mere transit area to the homes would be seen as an area for interaction of residents as members of a community. The passageways cannot be widened as the useful surface of the homes would be lost, thus they would remain the same width. The areas left by the demolished apartments would be used for communal purposes, enabling the building’s residents to interact and get to know each other. In this way


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Table 1: Calculation of the energy requirements of the current state of the building and when reformed. Current state kWh/m2a

Energy requirements Annual CO emissions when in use Percentage

PM-2 PM-1





143,715 kg

74,973 kg

30,954 kg




the passageway would become a lighter area with views to the exterior, and it would have natural ventilation, while employing a strategy which would help to resolve social problems and create a sense of identity among the residents. 9  LIFE CYCLE ASSESSMENT (LCA) AND ENVIRONMENTAL IMPACT As a result of implementation of the Directive 2010/31/EU, more energy efficient buildings are required which will have less environmental impact during their use. According to Hernández and Kenny [9], the LCA could be the most appropriate for evaluating environmental and economic impact of buildings from 2018. Recent research has shown how the LCA method can and should be simplified. The extremely complex nature of the method makes it unviable for projects with scant execution budgets or small scale works, and sometimes a considerable number of the impact indicators analysed imply repercussions below the 1% of environmental impact [10]. For this reason in this research on residential high rise buildings, we propose to focus on impact indicators with a greater environmental impact: Environmental: creation of construction and demolition waste (CDW), reduction of primary energy and energy demand Economic: return on investment, life cycle cost analysis The inventory phase in the life cycle includes all the mass and energy inputs and outputs, emissions, under the same functional unit. The emissions inventory is simplified by entering environmental data from environmental statements, databases or literature [11]. In respect of environmental impact caused by transport of materials, various stages were taken into account such as, for example, transport of materials and solar panels. This was concerned with global energy consumption, GER, and global warming potential GWP. In order to quantify the emissions in the electricity mix, the ELCD database was taken into account, according to which production of 1 kWh of electricity gives off 0.41 kgCO, 0.00122 kgCH and 0.0000465 kgNO [12]. In order to convert final energy consumption at user point to primary energy consumption and emissions, provisional conversion factors published by IDAE for 2010 were taken into consideration, in particular 2.21 MWh/MWh and 0.27 tCOeq/ MWh respectively. In all the scenarios proposed, efforts have been made to reduce CDW to a minimum (Table 2). 10  CONCLUSIONS As may be seen from the results of Tables 1–3 the costs per home would be just a little more than 9,000 € (PM-1), or 19,000 € in the event of providing solar collector systems (PM-2). These are figures, which we consider could and should be reduced with an appropriate policy of social assistance. With respect to environmental impact, the fact of having renovated the building and having considerably reduced the CDW, and having constructed 76 new built


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Table 2: Construction contract costs.

External metal structure Aluminium frames + double glazing Adjustable aluminium slats Partitions Finishes: paving + plastering+ paintwork Pine wooden doors Lighting installations Pre-installation of air conditioning Installation of photovoltaic solar panels Total PM-1 Total PM-2 Total 280 apartments west façade Total 140 apartments east façade

m2 or UD

coste €/m2

12,3 10,5 10,5 8,5 12,3

350 210 97 62 38

4.205 € 2.214 € 1.020 € 527 € 467 €

4.205 € 2.214 € 1.020 € 527 € 467 €



240 € 280 € 120 €



240 € 280 € 120 € 10.701 €

12,3 12,3

745 € 1.615 €



9.173 € 19.874 € 2.568.440 € 5.564.720

Table 3: Environmental impact of CDW waste created in the renovation. CDW Reinforced concrete Double air brick Cement rendering Plastering Terrazo paving Bonding cement mortar1:6 Ceramic tiles 15 × 15 cm Porcelain sanitary appliances Copper piping average ø 12 mm. PVC piping average ø 40 mm TOTAL

S (m2) Unit or ml 3,3 4,1 6,3 3,23 3,3 11,8 24,2 0,50 Ud 0,6 ml 0,8 ml

49,50 1.845 94,5 1.440 49,5 409,5 363,8 225 220 265

m (Tm)


GWP ( kgCO2eq)

37,12 180,66 2,916 30,22 3,416 34,41 6,91 5,62 0,226 0,203

193.024 541.980 16.038 54.396 17.763 189.255 69.100 64.630 14.220 14.210 1.174.616

53.408 126.462 2.770 3.928 3.245 32.689 4.837 5.339 1.769 2.109 236.556

homes, energy would have been reduced by 70% compared to 100% of a new build system. In addition, the reduction in energy demand is extremely significant − 48.84% for PM-1 and 78.47% for PM-2 – with a substantial improvement in comfort. It is clear that the reduction of social problems through these actions would improve the quality of life and social relations between neighbours, and result in cost savings in areas such as health and safety,

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education or energy. These measures are therefore necessary and viable for the urban regeneration of Benidorm and its incipient social problems and they are also applicable to other similar tourist destinations. REFERENCES [1] Rogers, R. & Gumuchdjian, P., Cities for a Smalll Planet, Faber & Faber Limited: London, p. 3, 1997. [2] Population and Housing Census 2011 Buidlings and homes. Provisional data [on line]. National Statistics Institute, 2013. [3] Agenda Habitat España: contribución de las ciudades al desarrollo sostenible [on line]. Ministerio de Fomento, 1997. [search: 28 february 2016], Available at: http://habitat. [4] Fraile, P., Represión y conflicto en la sociedad globalizada. Scripta Nova, 12, 2008. [5] Glick Schiller, N. & Schmidt, G., Envisioning place: urban sociabilities within time, space and multiscalar power. Identities, 23(1), pp. 1–16, 2016. [6] Yeang, K., Ecodesign. A Manual for Ecological Design, John Wiley & Sons, Ltd: ­London, p. 415, 2006. [7] Assiego, R., Calleja, G., Cejudo, J.M., Raugei, M. & Palmer, P.F.I., A decission-making LCA for energy refurbishment of buildings. Conditions of comfort. Energy and Builidngs, 70, pp. 333–342, 2014. [8] Forgiarini, R., Giraldo, N. & Lamberts, R., A review of human thermal comfort in the built environment [on line]. Energy and Buildings, 105(15), pp. 178–205, 2015. [9] Hernández, P. & Kenny, P., From net energy to zero energy buildings: Defining life cycle zero energy and buildings (LC-ZEB). Energy & Buildings, 42, pp. 815–821, 2010. [10] Oregi, X., Hernández, P., Gazulla, C. & Isasa, M., Integrating simplified and full life cycle approaches in decisión making for building energy refurbishment: benefits & ­barriers. Buildings, 5(2), pp. 354–380, 2015. [11] Swiss Centre for Life Cycle Inventories, Ecoivent 3, Available at: [12] ELCD Database, Available at:;jsession id=9FC03F3B6A0A5F8252F667E462DF467C

J. Tuset, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017) 488–497

GREEN COASTAL ZONES: NODES AND CONNECTORS AS STRATEGY OF URBAN REGENERATION J. TUSET Department of Architectural Design, Valencia Polytechnic University, Spain.

ABSTRACT The landscape of Valencian Community is a resource with great cultural and heritage value. The system of Green Infrastructure ensures a continuous network of unbuilt areas with high environmental, cultural and visual value that also serves as ecological and functional connectors. The ERAM research project ‘Strategies for sustainable regeneration of tourist settlements on the Mediterranean coast’ (2012–14) identifies and analyzes the different types of coastal tourist towns of the Valencian region considering their needs for urban regeneration. It proposes strategies for prospective actions that can serve as a model for the regeneration of coastal tourist resorts. The determination of Green Coastal Zones (GCZ) aims to define their potential for urban regeneration in order to establish criteria for regional planning and urban design processes that will foster innovation in mature tourist destinations. The results show the potential of the 11 ERAM areas whose nodal connectivity and multifunctional landscape defines the framework for adaptive design strategies that may present alternative scenarios for touristic s­ ettlements. Keywords: landscape architecture, natural resources, touristic impact, touristic planning, touristic potential, touristic regeneration.

1  INTRODUCTION The current changes in the economic cycle and the accelerating transformation of the dynamics of the tourism market have led to the establishment of a Global Strategic Tourism Plan (2010–2020) at the Valencian region with the goal of ensuring that tourism stays as one of the economic engines in the upcoming years. This situation implies that it is necessary to restructure mature tourist destinations to make them more sustainable and competitive in order to respond to the new types of touristic demands that are emerging in this sector. The Tourist Info 2013 survey of the Valencian Tourism Agency [1] indicates that the ­preferences of the tourists who visited the Valencian region that year, in order of importance, were: resting (29%), going to the beach (23%), visiting natural areas (20%), cultural and local festivals (16%), gastronomy (12%). These activities show that the attractions of this touristic model has enough room for further growth and development. The Valencian landscape is considered a heritage resource by law. Since 2004, the Valencian politics about landscape define the Green Infrastructure as a system of open spaces and elements of unbuilt spaces of great environmental, cultural and visual value. The evaluation of the territory as a structural support of multiple functions may change the ‘sun and beach’ model that currently sustains the Valencian tourism sector. This has produced a great amount of banal and decontextualized buildings and tourist areas deprived of character. The implementation of new landscape architecture projects can help to rebuild the image of the place and to offer new services and tourism products that enhance emerging activities (golf, nature,

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-488-497

J. Tuset, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)


health, outdoors etc.). Goula [2] points out this opportunity to improve touristic areas as the construction of a ‘second coast’. As a consequence, to propose strategies for the restructuring of coastal touristic areas of Valencia, a supramunicipal perspective that integrates them into the overall framework defined by a touristic area/destination is required. In order to rejuvenate the tourism model, it is essential to improve and expand tourism services through recreational activities able to foster new dynamics of change, according to Vera and Baños [3], as well as focusing the restructuring with innovative and creative ideas, as suggested by Pie and Vilanova [4]. Any proposal for the renewal of the model must be based on the principles of sustainability and competitiveness of the tourism product. In this sense, the territory and natural elements that structure it can provide strategies to upgrade the model. The research project ‘Strategies for sustainable regeneration of tourist settlements in the Mediterranean coast’ (ERAM 2012–2015) has studied the coastal territory of the Valencian region through the identification and analysis of the different types of tourist urban settlements in order to recognize their needs for urban regeneration and to establish strategies for future action. The ERAM project has also made a partial study of coastal touristic areas as potential Green Coastal Zones (GCZ) in order to classify their structural elements and to evaluate the potential of urban regeneration in these areas based only on their natural, environmental and landscape elements. This point of view is based on the concept of sustainable tourism expressed by Sabaté [5], as ‘the positive approach that aims to reduce the tensions and conditions created by the complex interactions between the tourism industry, the visitors, the environment and the communities that host tourists’. The ERAM project continues the subdivision of the Valencian coast established in the Plan de Acción Territorial del Litoral (PATL) (2006), which represents the whole 11 zones in the Valencian coastline. The research was carried out in two distinct phases. The first one involved the identification, analysis and classification of the elements and components of the GCZ. The second phase was the determination of the touristic potential of each ERAM area in order to establish strategies for sustainable regeneration of the coastal tourist settlements. 2  CHARACTERIZATION OF THE GREEN COASTAL ZONES The scope of the study is a coastal strip of 500 meters width within the Valencian coastline. The length of the Valencian coast is 470 kilometers, but there are 60 towns situated in this area, where more than 53% of the total population live. In addition, 15% of the regional gross domestic product (GDP) is generated from this area. As a result of the influence of the tourist population, the urban density of the coastal towns reaches the 1,000 inhabitants/km2 during the vacation months. This area supports a high pressure leading to a strong competition between different land uses. The first phase of the work consisted in the analysis and study of the GCZ of the Valencian Community by carrying out inventories, drawing tables and making maps. As Corner [6] points out, the scepticism, the criticism and the invention may lead to the creation of new operational fields among the elements studied. For the characterization of the GCZ, two types of spaces were selected: protected natural areas and coastal paths. See Table 1. Protected natural areas. The elements chosen for this indicator are contained in the Territorial Plan of Green Infrastructure and Landscape of Valencian Community, which establishes the ecological and functional connectors that ensure a continuous network of green areas, that consist of open interconnected spaces (rivers, wetlands, forests, nature parks, etc.), within the central rural areas and coastal towns. According to Steiner [7], Landscape Urbanism is an urban design paradigm and a strategic planning for the post-industrial


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Table 1: ERAM areas as GCZ. Region Castellón

ERAM zones Littoral towns

Natural Coastal paths areas Littoral / inland

1 2

4 4

1/1 2/1







1 8

0/2 0/3





2 3

0/1 2/1

3 4 Valencia


6 7



9 10 11

Vinaròs, Benicarló, Penyiscola Alcalà de Xivert, Torreblanca, Cabanes Orpesa, Benicàssim, Castelló de la Plana, Almassora, Burriana Nules, Moncofa, Xilches, La Llosa, Almenara, Canet d’en Berenguer, Sagunt Puçol, Puig, La Pobla de Farnals, Massamagrell, Massalfassar, Albuixech, Albalat dels Sorrells, Foios, Meliana, Alboraya València, Sueca Cullera, Tavernes de la Valldigna, Xeraco, Gandia, Daimús, Guardamar de la Safor, Miramar, Piles, Oliva Els Poblets, Dénia, Xàbia, El Poble Nou de Benitatxell, Teulada, Benissa, Calp Altea, L’Alfás del Pi, Benidorm, Finestrat, La Vila Joiosa El Campello, Alacant, Elx, Santa Pola Guardamar del Segura, Torrevieja, Orihuela, Pilar de la Horadada

Source: PATL (2006).

city that presents different models to address sustainable urban growth. Farra [8] points out that the influence nature has on citizens is well known in a territorial scale (i.e. natural parks, reserves of biodiversity and ecosystem protected areas) but is still unexplored at the urban level. Chiesura [9] proposes that the existence of green spaces in the city leads to an awareness of urban nature, an emotional dimension. Therefore, the system of protected natural areas within a sprawling city requires the integration of natural areas and ecological systems in the production of multiscale urban green spaces that redefine the relationships between the city, nature and the citizen in order to create a system of parks. Coastal paths. The elements selected for this indicator have been the cattle trails of the coast due to its recent protection by the Valencian law 3/2014 and due to the importance as a secondary network of historical roads. In addition, this system reinforces one of the environmental proposals of the Valencian Territorial Strategy, which is the creation of the Via Litoral. Farina [10] states that hiking is a form of tourism, which is capable of resulting in the exploitation of natural parks and guiding the development of sustainable tourism in rural areas or inland, following the recommendations of the Charter of European Sustainable Tourism. The value of the huge network of cattle trails and historical roads of the Valencian coast enhances

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the development of local tourism: some examples of this in Spain are found in Galicia [11], in the Catalan Pyrenees [12] and Valencia [13]. This model can be implemented on the coast for protecting and conserving the agricultural roads of the littoral towns with the strategic goal of improving the value of the existing historical infrastructure. The use of this secondary network of connectors from different intensities leads to other ways of sustainable mobility and town connectivity. 2.1  Network landscape The creation of maps and cartographies of the GCZ, and its comparison and interaction [14], clearly show two potential actions. These principal factors may guide strategies for the sustainable regeneration of tourist settlements given their consideration as integral parts of the coastal landscape (Fig. 1). These factors are discussed in subsequent text. Nodes. Protected natural areas offer a wide variety of environments and ecosystems that are reservoirs of biodiversity and areas of great potential for the implementation of a

Figure 1:  Potential of regeneration: ERAM areas as nodes + connectors.


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s­ ustainable touristic model. In some towns they have an important role, but in other areas they are almost non-existent. The strategic plan may enhance the delimitation of these spaces (protecting the diversity) and procure connectivity among municipalities (defining secondary biological corridors). This will allow achieving two major objectives of the Valencian Territorial Strategy for 2030. Connectors. Coastal paths, with their cattle trails and historical roads, shape a large communication network that allows a ‘human scale’ linkage between the urban settlements and other parts of the municipality (interconnection of biodiversities). These paths become connection points along sections throughout the town area that define spaces in the territory that are new centralities —singular nodes— of different scales. An example of this already exists in a lower scale in the various routes and hiking trails of the Valencian Nature Parks. 3  TOURISTIC POTENTIAL OF THE GCZ The second phase of the research was the assessment of the touristic potential of the GCZ of the Valencian Community. This required that an adequate representation of these potentials that characterize the territory from its basic, natural and scenic resources, as well as the structure of the productive system, agricultural, urban and industrial areas was required. In addition, a knowledge was also required of the facilities and infrastructure that allow the contact between different cultures (visitors and locals). In this research we have followed the model proposed by Leno Cerro [15] and Anton [16], which is based on the analysis of the touristic potential through a method based on three factors: (i) the quantity and the quality of the resources of the studied area; (ii) the accessibility; (iii) the touristic and commercial facilities. Other authors have noted that in addition to these factors, we should consider the existence and permanence of indigenous social communities, which undoubtedly impede the estimation of the touristic potential of a territory, as noted by Rubio [17] and Sancho and Ruiz [18]. In this research, this former aspect was not taken into account. The real value of the touristic potential of an area cannot be measured only by the numerical quantification of its resources and tourist attractions, infrastructure, accessibility and facilities. It is necessary to assess the quality of each of these factors as well. Consequently, the theoretical formulation of the touristic potential index, or touristic value of an area is estimated as an addition of factors that apply to a different weighting coefficient. In this research, the formula used is as follows: TPIi = αRFi + βAFi + δFFi Where: TPIi = tourist potential index of area «i» RF, AF, FF = resources factors, accessibility factor and facilities factor values. α, β, δ = weighting coefficients 3.1  Creation of indicators For this work, an inventory of elements has been established to constitute the most decisive factors influencing the potential of GCZ. They are listed in Table 2 and form the basis of any substantial touristic area considered as a Green Coastal Zone. A detailed explanation of the procedure is in Tuset’s work [19]. 1. Resources: Touristic resources are natural elements or human activities that generate or encourage the journey of tourists. This implies determining the parameters of conservation,

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Table 2: Factors, indicators and elements used to obtain touristic potential. Factors


Elements Nature park

Natural Resources

Protected areas


Cattle trails


Artificial touristic ­landscapes

Wetland Habitat management area Managed resource reserve Civic nature landscape Protected landscape / Seascape Woodland Littoral trail Inland trail Beach (Blue flag distinction) Seafront Marina Golf course

Source: Territorial Strategy of the Valencian Community (2012). environmental quality, social value and the current and prospect use of each resource. Given the complexity of such a method, in this research we have selected and used the most representative protected natural areas of the green infrastructure system as the element that better represents a natural resources indicator. 2. Accessibility. In general, this indicator equals the communication and transportation infrastructure. However, in this research we have selected the cattle trails due to their recent protection by Valencian law and the importance of the network of historical paths they shape. These pathways that connect the existing natural areas run along the entire coastline close to the sea and integrate themselves in a soft and continuous road for the transit of both pedestrian and non-motorized vehicles. 3. Facilities. To set up this indicator we have considerably reduced the number of selected elements. The criteria was simple: (a) pick out those that create some of the most important artificial landscapes of the Valencian coast; (b) improve consolidated products as the ‘sun and beach’ model; (c) promote gastronomic tourism and leisure and (d) create emerging nautical and golf products. The inventory of these items is taken from Volume 10 of the Valencian Territorial Strategy for boosting the tourist model towards sustainable business patterns. 3.2  Obtaining factors 3.2.1  Natural resources The assessment of natural resources follows three successive steps: (a) identification of the primary hierarchies; (b) applying a weighting coefficient and (c) calculation of the resource factor. The identification of the primary hierarchies is based on the national, regional or local interest of the resource, taking into account the touristic products that may exist or be proposed as the most important for the development of each area as a whole. This procedure rates the importance of each resource in a scale of 1 to 5. The values are: non-interest (1); local interest (2); regional interest (3) national interest (4) and international interest (5).


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3.2.2  Accessibility This factor has its focus on the internal accessibility to each GCZ. It has been used as a basic element for assessing the road infrastructure composed of historical paths and cattle trails that exist in each coastal town that integrates the studied area. For the determination of accessibility, two types of trails have been considered those that run parallel to the coast have double value than the inland ones. This weighting value aims to positively compensate the areas with roads close to the sea. 3.2.3  Facilities For this factor we have taken into account four types of touristic facilities. First, the beaches (blue flag distinction) have been quantified for being a consolidated touristic product that is growing in number annually and also because its improvement provides high quality to the coastal touristic areas. Secondly, waterfronts have been counted as being specific places that attract urban tourism in the coastal towns and, in particular, support hospitality and leisure activities. Thirdly, the marinas contribute to the consolidation of the emerging product of nautical sports tourism and, in some cases, the old fishing ports turned into modern marinas. Finally, the golf courses have also been taken into account. Despite being very specific touristic products they introduce varied activities like sports and leisure in an artificial landscape. A more detailed explanation of the formulas and results of the estimation of these three factors are indicated by Tuset [20]. 3.3  Touristic potential index Once the values for RF, AF and FF are calculated, the weighting coefficients should be estimated in order to reduce the incidence of randomness. Anton [16] states that ‘to minimize the impact of the random factor, we must make assumptions about the value of these coefficients’, this means that those elements whose creation did not suffer a direct human impact acquire a higher coefficient because it is considered that if the element does not exist it is very difficult to be created by humans. Accordingly, natural resources always have a higher coefficient than other factors. The values of the weighting coefficients used have been taken from those proposed by Leno Cerro [15]: α = 1.50, β = 1.25, δ = 1.00. Hence, the tourist potential index results are expressed as shown in Table 3. The TPI values obtained for each ERAM area vary among them with no apparent relationship but to preserve the homogeneity of scales used in the calculation of each factor, the results should be converted to a scale from 0 to 100 based on the area with the highest value obtained. This simple regulatory procedure allows to graphically represent the results of the TPI and states an initial estimation of the touristic potentiality of each ERAM area. See Fig. 2. 4  RESULTS AND DISCUSSION The division of the Valencian littoral space in GCZ allows us to read the territory according to two elements of great potential of regeneration: the protected natural areas and the cattle trails. From these two types of protected spaces we are able to suggest some actions to undertake for sustainable regeneration of coastal tourist settlements. According to Naveh [21], multifunctional landscapes require adaptive design strategies capable of presenting alternative scenarios. From the results obtained in our research, ­planning the regeneration of the tourist settlements through the construction of a network of multifunctional landscapes opens the possibility to evaluate, manage and create new types of

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Table 3: Touristic potential factors and index (TPI) results. Zone




2 3 4 5 6 7 8 9 10 11

2,30 2,10 2,00 0,50 0,80 3,00 2,30 1,80 2,30 1,70









6,00 5,00 5,33 10,00 0,67 4,33 4,67 2,00 2,00 3,33

3,8 4,6 3,6 1,2 3,3 7,5 6,7 6,1 7,4 8,1

14,75 14,00 13,26 14,45 5,34 17,41 15,99 11,30 13,35 14,81

84,72 80,41 76,18 83,00 30,66 100 91,83 64,91 76,68 85,08

RF: resources factor, AF: accessibility factor, FF: facilities factor.

Figure 2:  Representation of the touristic potential factors and index (TPI). landscapes. Generic resources (environmental, cultural and visual), active tourism (business that turns resources into products), human and social production (agriculture and culture) should contribute to a rational use of land in the new tourist landscapes. The connection of nodes (natural resources) considering the ecology, economy, society and the cultural and social perception of the landscape, contributes to the collaborative work of the urban planner and the architect`s strategic vision of the connectivity to plan indicators of sustainable urban regeneration. The renovation of the mature touristic areas of the Valencian coast can hope to achieve their potential when they are considered as GCZ.


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Regarding the touristic potential of coastal areas of the Valencian Community it should be noted that the most important resources are themselves. They are touristic destinations possessing the character of the coastal landscapes. However, the determination of the touristic potentiality of ERAM areas as GCZ evidences some differences between them. The results must be understood from a current as well as a prospective point of view. ERAM areas of the province of Alicante have a high potential of natural resources, which is indicative of the attraction they present. Areas 2, 3 and 4 (Castellón) have an average value that should stimulate public policies and private investments for their improvement. Areas 7 (Cullera-Oliva) and 8 (Dénia-Calp) have the greatest potential due to the great diversity of natural resources that they contain. The results obtained from the evaluation of accessibility factors show two clear different situations. The areas that comprise a higher number of coastal trails have a high capacity of connectivity and accessibility between coastal towns and residential areas. By contrast, in the areas where inland paths predominate, there is a major promotion of internal communication between the coastal towns and their inner rural places. In terms of accessibility, both systems, coastal and inland trials, add value to the historical network of roads that form the spinal axis of each GCZ. Thus, each area is able to develop a differentiated and innovative tourist offer. The data obtained from the facilities factor show that Valencian coastal areas have satisfactory values along the Community. The province of Alicante has a higher potential while Castellón has an average value. The modification of this factor depends mainly on the investment in public and the private businesses. In a collaborative model of tourism entrepreneurship, which follows a proper tourism policy, the offer of existing facilities can be corrected in order to avoid the profound dependence on the ‘sun and beach’ model. The touristic potentiality index of the GCZ states that the Valencian coastline is in good health. The density and the centrality of urban settlements along the coast need a connection with the natural resources. This should lead to the development of new strategies for the sustainable regeneration of the tourist settlements, accepting the fact that they are part of a network of nodes and connectors in a multifunctional landscape. Therefore, these multifunctional landscapes would be considered as a territorial system framed by singular elements that offer the tourists a set of activities in a social community with values and cultures usually different from their own. The combination of all this should continue to contribute to the area’s attraction and the motivation of the visit. REFERENCES [1] Tourist info, El Turismo en la Comunitat Valenciana. (Informe anual), INVATTUR Generalitat Valenciana: Valencia, 2013. [2] Goula, M., Tour-scapes or how to convert mature tourism destinations to complex sustainable landscapes: the strategy of the “second coast”. Conference of the International Forum on Urbanism. “6th Conference of the International Forum on Urbanism, IFoU: Barcelona, pp. 1–10, 2012. [3] Vera, F. & Baños, C., Renovación y reestructuración de los destinos turísticos consolidados del litoral: las prácticas recreativas en la evolución del espacio turísticos. Boletín de la Asociación de Geógrafos Españoles, 53, pp. 329–353, 2010. [4] Pie, R. & Vilanova, J.M., A century of tourism in Europe: new challenges to the discipline of urbanism. Conference of the International Forum on Urbanism. “6th Conference of the International Forum on Urbanism. IFoU: Barcelona, pp. 1–6, 2012.

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[5] Sabaté, J., Turisme sostenible: experiències europees aplicables a Catalunya. Barcelona: Consell Assessor per al Desenvolupament Sostenible i Departament d’Innovació, Universitats i Empresa. Generalitat de Catalunya, pp. 11–13, 2007. [6] Corner, J., The agency of mapping: speculation, critique and invention, Mapping, ed. D. Cosgrove, Nueva York: Reaktion Books, 1999. [7] Steiner, F., Landscape ecological urbanism: origins and trajectories. Landscape and Urban Planning, 100, pp. 333–337, 2011. [8] Farra, F., Parque natural y turismo de masas: ¿compatibilidad? Investigaciones Geográficas, 29, pp. 39–56, 2002. [9] Chiesura, A., The role of urban parks for the sustainable city. Landscape and Urban Planning, 68, pp. 129–118, 2004. [10] Fariña, J., Turismo y uso sostenible del territorio: El senderismo como posibilidad para los pequeños municipios. Cuadernos de Investigación Urbanística, 28. Madrid: Sección de Urbanismo del Instituto Juan de Herrera (SPyOT), Escuela Técnica Superior de Arquitectura de Madrid, pp. 65–72, 1999. [11] Nárdiz, C., La planificación de una red de sendas para el recorrido del litoral de la provincia de A Coruña. Revista de Obras Publicas, 3494, pp. 23–40, 2008. [12] Guardia, C., La creación de una red de senderos locales como estrategia turística de futuro en zonas de montaña: el caso de Alp. XII Coloquio de Geografía del Turismo, Ocio y Recreación, ed. S. Fernández, Universidad Carlos III: Madrid, pp. 43–51, 2011. [13] Diez, D., La diversificación turística como estrategia clave para la reactivación de destinos consolidados del litoral: la reinvención de Cullera (España). Actas Seminario Internacional Renovación y Restructuración de destinos turísticos consolidados del litoral, Univesitat d’Alacant: Alicante, pp. 53–63, 2011. [14] Tapiero, M. & Tuset, J., Espacios verdes litorales: estrategias de regeneración de los asentamientos turísticos en la costa mediterránea. Actas Proceeding 4th European Conference on Energy Efficiency and Sustainability in Architecture and Planning, ed. R. Hernández, UPV: San Sebastián, pp. 11–20, 2013. [15] Leno Cerro, F., Técnicas de evaluación del potencial turístico, Madrid: Secretaría General de Turismo-Turespaña, 1993. [16] Antón, S., Planificación territorial del turismo, UOC: Barcelona, 2005. [17] Rubio, A. (ed), Sociología del turismo, Ariel: Barcelona, 2003 [18] Sancho, A. & Ruiz, P., Planteamiento metodológico para el uso de indicadores en la gestión turística de Espacios Naturales Protegidos. IX Congreso AECIT. El uso turístico de los espacios naturales, pp. 34–47, 2004. [19] Tuset, J., Paisajes en red. (chapter 6) Orilla marítima. Territorio litoral, eds. J. Tuset & R. Temes, Ediciones Generales de la Edificación: Valencia, 2015. [20] Tuset, J., Tapiero, M & Mas, V., Conectividad nodal: potencial turístico de la costa valenciana. Proceeding Seminario Internacional “Innovación y competitividad en Áreas Turísticas (ICAT2014) eds. J.F. Vera et al. Instituto Universitario de Investigaciones Turísticas (UA): Alicante, pp. 122–137, 2014. [21] Naveh, Z., Ten major premises for a holistic conception of multifunctional landscapes. Landscapes and Urban Planning, 57, pp. 269–284, 2001.

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ABSTRACT Urban regeneration projects in Turkey are the most important urban issues discussed and have social, economic and environmental aspects. In the last 10 years, many legislative regulations have been created by the national government in order to achieve urban regeneration. Today, urban space is produced by urban regeneration projects in Istanbul as it is in many other cities in Turkey. Urban regeneration practices are prepared not only for the former brownfield areas of the city but also for the historical urban environment. This raises heritage conservation issues for urban regeneration. The Fener and Balat district is one of the heritage sites located in the historical peninsula of Istanbul. This historical district has important features such as cultural enrichment, maintaining the urban identity and unique urban patterns. The EU-supported ‘District Fener Balat Rehabilitation Program’ was developed for the district after the 1996 Habitat II Conference in Istanbul. Urban regeneration projects have also been prepared for this historic district since 2006. In this paper, the urban regeneration projects for Fener Balat district will be analyzed, and the results will be discussed based on the technical expertise reports of administrative court proceedings and related to some results of the graduate theses supervised by the authors in the last 10 years. The spatial continuity of the Fener Balat regeneration project is discussed along with weak governance, disconnection with the socioeconomic context and the lack of modern conservation principles for the protection of historical urban patterns. The study argues that the project risks spatial fragmentation, degeneration, disidentification, alienation and gentrification. Keywords: planning for historic areas, spatial continuity, urban regeneration projects.

1  INTRODUCTION Urban regeneration, which has been a significant issue for urban planning in England and the U.S. since the 1980s, is the ensemble of holistic and integrative visions and operations for improving economic, physical, social and environmental conditions of a region in flux. Urban regeneration means transforming regions in physical and social recession into liveable and lively places by activating dynamics of local economy and enabling cities to rehabilitate them [1]. After 1980s, new urban policies were created with deindustrialization and neo-liberalism in cities. These policies were created to preserve social programs that generate new infrastructures, investment regions, education and employment and to conserve natural and historical urban fabric. A transformation in urban policies was experienced in this period by the common action of private capital and city governments in global cities. Smith defines this association as the association of private capital and local governments and notes that in the 1990s liberal urban policies become common in cities. The urban regeneration approach developed with these liberal urban policies brought public and private investors together [2]. However, in cities that are not governed by liberal urban policies, urban regeneration has

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-498-507

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evolved differently. Competitive urban strategies affected by global markets became active in the historical centres of these cities. Since the proclamation of the Republic, Turkish cities have created physical spatial plans for physical issues, unlike the development of Western cities. Strategic spatial plans were not on the agenda of cities until recently. The preservation of historical urban areas was governed by Law no. 2863. Development plans—physical plans for the sites specified by this law— were created and implemented for preservation. However, since the 1980s, the role of city centres—areas of interest in Turkish cities—has changed and attracted investors. The national government and city governments were intended to improve buildings against acts of god such as earthquakes, to revive depressed areas, to activate urban economies, to provide highquality residences and to increase international competitiveness. They also searched for new means of implementation and development methods for preparing the infrastructure of these plans [3,4]. A new law that supersedes Law no. 2863, which limits the building new structures in historical urban areas and physical modification of built-up areas, eased the resolution of difficult property issues and increased the operational power of governments. Regeneration Law no. 5366 was enacted with the purpose of implementing urban regeneration in urban sites. Practices in historical urban areas differ from urban regeneration in slums because of many physical and social issues and unplanned development. They have the very significant mission of ensuring historical and cultural sustainability [5]. The recognition that change is an inherent part of urban development and conservation is thus integral to its management in historical areas that call for continuity and coherent substitution [6]. Historical and cultural sustainability are the main principles of conservation. In addition to the social, cultural and physical values of environments, their intangible values should also be conserved. Projects and plan decisions that fail to address holistically the physical and cultural values of environments risk of creating new conservation and sustainability problems [7]. 2  THE FENER AND BALAT HISTORIC DISTRICTS IN URBAN AGENDA The Fener and Balat District is located on Vodina Street parallel to the old sea walls of Istanbul. It consists of built-up areas along the Golden Horn’s shores and open and green areas on the shore (Fig. 1). Fener is located on the Fatih District on the west side of the Golden Horn. Balat is located northwest of Fener. The neighborhoods of Fatih are located to the west and southwest, and Ayakapı is to the south. The main street starting from the Golden Horn Bridge and leading to Eminönü is a significant traffic route. This traffic route divides the area into two parts. The first part is the open and green area situated between the road and the Golden Horn. This area was built after the demolition of industrial areas along the Golden Horn shore. Traces of the old industrial buildings on the ground can only be followed on old maps. The second part is a neighborhood located on the west side of the road and used for housing. These neighborhoods are: Abdi Subaşı, Tahta Minare and Tevkii Cafer with traditional urban fabrics. The area has a traditional trade centre. Houses, commercial buildings, religious facilities and education facilities, which are examples of monumental and civil architecture, are located around the centre [8]. The fact that this district was called ‘Fanarion’ in the Ottoman Era indicates that there was a significant lighthouse located on the shores of the Golden Horn. People used the Fener Door in the sea walls to enter Fener District. The door connected Mürsel Paşa Street and Abdülezel Paşa Street, where the Bulgarian St. Stephen’s church is


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located. The significance of Fener is that it is the district where some well-known Byzantine families, who immigrated to various counties after Istanbul was conquered by the Ottoman Empire, resettled when they came back to Istanbul as a result of reorganization. This district has international significance as a center for the Orthodox church and for other churches in the area. The fact that the Patriarchate is located here also contributes to this significance. Fener and adjacent regions were places where generally Greeks and Jews resided. The residents of the district who worked in the trade sector and had duties in the Ottoman state, earned high incomes from their jobs, making it a socio-economically active district. The mansions of well-known families were located along the shore in Fener in the 18th and 19th centuries. The neighborhoods of the region—consisting of stone and wooden buildings— were reorganized after the fires. They have a vertical and orthogonal street structure and rise toward Fatih and Çarşamba. It is possible to see that the section right next to the walls did not change until the first half of the 19th century and had a traditional structure, although this section is located in a part of Istanbul that experienced frequent fires. After the 1930s, there were changes in shore usage generated by industrial planning decisions, and the mansions were replaced with factories and storage facilities. However, the most important change was the destruction and reorganization of Fener’s shores as open and green areas with the restoration of the Golden Horn launched by Istanbul Municipality in 1985. The Fener District was heavily populated by Greeks until the 1940s. Industrial factories affected the district, as did the fact that certain immigrants preferred to reside in this area due to its proximity to business centres and low rents. Wearing, aging and losses were thus seen as a result of its socio-economic structure. Changes in the employment situation with the destruction of industrial facilities in the middle of the 1980s played a key role in this. Balat is located between Fener and Ayvansaray on the historic peninsula. Balat is a significant district, which hosted Macedonian Jews and immigrants from Spain at one time. A great deal of commercial activity took place there since Balat Pier was used for shipping in the 17th century. Piers such as Ayvansaray, Balat and Fener are known to be significant since they supported the traditional centre in Eminönü on the Golden Horn shore and ensured the movement of goods and people. The area on the inner side of the walls and parallel to the walls was the most active and the centre of Balat. Important synagogues of the Jewish community are located there. One of the significant factors that affected Balat was fire. Large

Figure 1: Fener Balat Regeneration Project Area in Historical Peninsula and historical urban pattern of the project area [3,9].

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avenues and streets on the inner side of the wall are known to be in an organized settlement, and it is possible to see vertical street structures there [10,11]. The factories along the shores of Balat were built with the permissions for industrial activities. There were changes in its socio-economic structure, but the significant ones were in its social, environmental and economic structure with the destruction of these factories in the middle of the 1980s. The Golden Horn shores in Istanbul, located at the heart of intense immigration to Turkey, received their share due to the industrial facilities built along them in the first half of the 20th century. In addition, the transformation caused by population exchange was sped up by changes in industrial employment. After the second half of the 1980s, all the industrial facilities along the shore that were reported to be polluting were demolished to restore the Golden Horn shores, which were reorganized as an open and green area. In addition to the changes in physical structure, the population also changed, and significant changes were also experienced in employment as a result of this development. Wearing and aging affected the physical structure due to the fluid socio-economic structure. After the early wave of immigration, several generations resided in these regions. Spatial and social structure in Fener and Balat differ from those of districts such as Tarlabaşı and Sulukule that may be thought to resemble them. The differences are the District Fener Balat Rehabilitation Program supported by international organizations such as the EU and UNESCO and the closeness of families who have lived in a neighborhood culture for several generations [9,12]. 3  FENER AND BALAT IN THE METROPOLITAN PLANNING PROCESS Fener and Balat are on the Golden Horn, the issues of which have been addressed by a variety of planning decisions and practical means since 1985. The main specification of these plans is to open the shoreline to the people, demolish polluting industrial facilities in both the city centre and along the Golden Horn and enable urban functions to relocate. These main policies in larger scale plans appear to be implemented higher provisions in smaller scale plans. The first large-scale plan for the Istanbul Metropolitan Region was approved by the Ministry of Development and Housing on July 29, 1980. This plan is the highest level plan for decisions concerning the Golden Horn. This plan aims to address and evaluate various thorny environmental issues for the Golden Horn and adjacent regions. Water contamination which emerged due to the long-term lack of inspection and the Golden Horn basin’s borders were noted in the plan, indicating that these issues will be addressed as a whole to solve poor housing and urban functions. Main principles were to analyze each type of urban function polluting the Golden Horn basin in the large-scale plan, to eliminate manufacturing and industrial pollution from the Golden Horn, to connect the main transportation system and improve urban logistics by relocating elements used by the city such as the marketplace and dry foods, to expropriate houses in poor condition on the Golden Horn and make their locations open areas, to close industrial facilities and quarries on the Alibeyköy and Kağıthane streams in the Golden Horn basin, to remove every activities that bear the risk of polluting the Golden Horn from the Golden Horn shores and to build public spaces in the former locations of polluters. After Istanbul Metropolitan Area studies were approved by the Ministry of Development and Housing on July 31, 1980, addressing solutions and new measures for the Istanbul metropolitan area became the main issues for studies under the 1/50,000 scaled plan principles and the approval granted to local governments by Development Plan Law No. 3194. Arrangements for the Golden Horn were included in studies for opening the shores in the Istanbul metropolitan area and removing harmful and polluting manufacturing facilities from


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the city. After Law No. 3194 came into force, the mayorship of the Metropolitan Municipality of Istanbul approved the 1/5000 scaled Golden Horn Arrangement Master Development Plan, approved on December 19, 1985, in accordance with the principles and purposes implied by the large-scale plan. Arrangements for the Golden Horn were performed as per the lowerscaled plans with the cultural and recreative planning purposes of removing the manufacturing industry along the Golden Horn with the Golden Horn Arrangement Master Development Plan, moving the marketplace, dry food, small and large industrial facilities out of the central work area and placing them in areas appropriate for their functions, reorganizing the Golden Horn shores as open to public. Operations for the coordination of practices with other institutions were also implemented after 1985 [9]. Addressing and evaluating the Golden Horn shores as a whole in a plan after the 1980s and using this area as a place open to every section of society, cultural areas and recreational areas and other functions were clearly mentioned by planning policies. Additionally, provisions related to the registration of immovable cultural heritage sites were included in this plan. However, identifying and registering the cultural heritage sites in an area ruled by many different cultures at different times is a slow and laborious process [2]. Information, findings and documents indicate that there are still unregistered and unknown cultural heritage sites in the area. In addition to all plans and development operations, the fact that the Habitat II Conference was held in Istanbul in 1996 enabled a new project for Fener and Balat districts. The principle of ‘adopting urban policies that respect social and environmental rights’ included in the final declaration of Habitat Conference meant that District Fener Balat Rehabilitation Program was developed using a participatory approach. We are aware of the fact that creating a project, capturing interest at the international level, including multiple forms of participation are parts of restoration works conducted with the support of technical teams according to agreements made with the European Union. This means establishing social centres, turning the historic Balat Bazaar into an attraction centre and cooperating with the people of the district in waste management. Donations have been made for the restoration of houses, and restoration work has been partially completed according to contracts with the property owners and the building and restoration information form. The 1/5000 and 1/1000 scaled 2005 Conservation Plans to Protect the Historic Peninsula were approved by the Protection Committee after certain studies were conducted [9]. However, the 1/5000 scaled Conservation Plan to Protect the Historic Peninsula (Eminönü and Fatih) was nullified by the Istanbul Eighth Administrative Court’s resolution no. K: 2007/2444 dated 11/29/2007. The 1/1000 scaled Fatih Conservation Plan for Protect, approved with Istanbul First P. and P.N.A. Regional Council’s Resolution No. 402 dated 01/26/2005 was nullified by the Istanbul Fifth Administrative Court’s resolution no. K: 2008/1950 dated 11/04/2008. Conservation Plans to Protect the Historic Peninsula came into effect with resolution no. 2327 dated 10/15/2010 for other project areas, including regeneration areas in the Fatih District, usage decisions related to industry, housing and trading, transportation links and significant reinforcement areas. The Analysis Sheets of the Conservation Plan for Protection include studies for the 1/5000 scaled Conservation Plan to Protect the Historic Peninsula related to areas covering the borders of Regeneration areas. It was approved by the Istanbul Regeneration Areas Regional Council for Protecting Cultural Heritage with resolution no. 101 dated 11/03/2011. On the other hand, as a new conservation planning tool; Site Management Plan for Historical Sites of Istanbul was approved by UNESCO in 2011, revised in 2016. The management plan was prepared by both central and local governments, universities,

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nongovernmental organisations and local inhabitants coming together and constituting a vision, mission and main objectives and particularly within the frame of UNESCO Operational Guidelines for the Implementation of the World Heritage Convention and international agreements, regulations and principles of UNESCO and ICOMOS and its subsidiary organisation for the cultural heritage issues. The plan consists of general strategies which were determined by considering the contribution of the stakeholders as a consequence of a meticulous study under the headings of Management, Conservation, Planning, Quality of Life, Perception, Training, Awareness Raising, Risk Management and a range of action plans prepared in accordance with these strategies [12] As it can be understood from these definitions, it will be possible to develop regeneration projects in accordance with the physical structure of urban environments and the socio-economic characteristics of people in poor residential areas specified by the authorities and also should be related to the UNESCO Guideline in international level. As indicated by the upperscale plans, regeneration projects will be developed in accordance with the studies for both physical structure and socio-economic characteristics of residents. 4  CHALLENGES FOR THE FENER BALAT REGENERATION PROJECTS Fener and Balat host cultural sections from a variety of historical periods. A Transformation and Regeneration Project, started in 2006, was planned suggesting that settlement in this area was old and outdated. Significant resolutions amending city blocks in the area and spatial characteristics of the parcels are adopted in the regeneration projects (Fig. 2). This paper reviews and evaluates these regeneration and transformation projects. The projects for Fener and Balat were reviewed within the current legal framework:

• •

Law no. 5366 dated 06/16/2005 and related to “Protection and Usage of Old Historic and Cultural Immovable Heritage Sites by Regeneration and Conservation” Law Governing Regulations no. 2005/9668 dated 12/14/2005 and related to “Protection and Usage of Old Historic and Cultural Immovable Heritage Sites by Regeneration and Conservation”

Figure 2: Spatial transformation in one of zoning island by Fener Balat Regeneration Project and degeneration of historical pattern.


• •

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Law no. 5835 dated 02/04/2009 and related to Amending the Law Protecting Cultural and Natural Assets Law no. 2863 dated 07/21/1983 and related to Protecting Cultural and Natural Assets

As per the Law no. 5366 on Protection and Usage of Old Historic and Cultural Immovable Heritage Sites by Regeneration and Conservation, Council of Ministers’ resolution no. 2006/10961 published in the Official Gazette no. 26318 dated 10/13/2006 and is related to “Regarding Certain Areas in Fatih District of Istanbul as Regeneration Areas.” Fatih Fener, Balat and Ayvansaray are within these borders. The following statement is included in the Council of Ministers’ resolution no. 2006/10961: “As per the second article of the Law no. 5366 related to Protection and Usage of Old Historic and Cultural Immovable Heritage Sites by Regeneration and Conservation; regarding the areas, which are within the borders of Fatih District of İstanbul and block and parcel number of which are shown in the attached list, as regeneration areas was adopted by the Council of Ministers at 09/13/2006 upon the Ministry of Interior’s letter no. 58807 dated 09/06/2006.” When these projects are reviewed, findings obtained within the context of Planning for Historic Areas and Spatial Continuity can be summarized as follows:

• •

Twenty-one parcels of 28, which are restored under the District FenerBalat Rehabilitation Project (FBRP), are included in the preliminary project although buildings that are restored under the District FenerBalat Rehabilitation Project (FBRP) conducted conjointly by EU and Fatih Municipality are defined as out of the project in the preliminary project. Amalgamation resolutions are adopted without considering sufficient analysis in terms of parcel and block, and new projects are created by amalgamating registered parcels. Plan solutions suggested in the Regeneration Preliminary Project indicate that genuine plan structures that should be protected for registered buildings were neglected, additions and classifications were suggested without considering the original apartments, basement floors were neglected and the parking area suggestions for these floors did not consider the basement floors of registered areas. One-hundred and three new parcels were generated as a result of the amalgamation implemented on 317 parcels on 17 blocks. The parcel structure that constitutes the genuine characteristic of the environment was terminated, and the current genuine structure was spoiled with the newly generated parcels (Fig. 3).

Figure 3: Existing neighborhood structure and proposed spatial project in historical district.

• •

• • •

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Walls between the buildings in blocks are demolished as provided by the preliminary projects, new floors are added and specifications of historical heritage are demolished due to the fact that town houses or line characteristics with new front organizations are built. It was detected that half of the buildings in building blocks are registered buildings. Additionally, surveys which bear the architectural specifications of registered buildings that should be protected and would direct the restoration projects were not included in the preliminary project. Only 13 of 567 parcels, 290 of which are registered, on 19 building blocks have basement floor surveys, 122 have ground floor surveys and 121 have first floor surveys. Presence and surveys of basement floors of registered buildings were highlighted in only 13 of 290 registered buildings in the preliminary project. Parking area suggestions for these floors were not made considering the basement floors of the registered buildings. While specifying the functions suggested for the building blocks, decisions were not made considering the architectural specifications of the registered buildings that bear the characteristics of building blocks and should be protected. Preliminary projects indicate that the street orientation of building blocks was not shown in sections, and street integrity was not observed.

5  CONCLUSIONS Other than the international agreements for protecting architectural heritage, the protection principles and bylaws of the organizations such as UNESCO and ICOMOS are significant directives. Ensuring historical and cultural sustainability is significant for planning and designing historic environments. However, it is clear the regeneration projects for Fener and Balat do not observe international protection principles and bylaws. When ensuring historical and cultural sustainability is evaluated, the points that should be considered in a regeneration project can be summarized as follows:

As specified by UNESCO’s “The Protection and Contemporary Role of Historic Areas” (Warsaw-Nairobi 1976) and many international documents, the phrase “protecting historic cities and urban areas” covers the process of conserving historic cities and urban areas legally, steps for their restoration and adaptation to development and participation in contemporary life. In addition to their historical specificity, these areas also bear the values of traditional urban culture. Today, historical cities and urban areas are exposed to threats with the urban changes that accompany industrialization. They are neglected, ruined and even demolished. ICOMOS (the International Council on Monuments and Sites)—an international nongovernmental organization for protecting cultural heritage sites against this irremediable situation causing cultural, social and even economic losses, and an adviser institution to UNESCO—defined principles, purposes and methods related to protecting historic cities and areas in the international bylaw called THE CONSERVATION OF HISTORIC TOWNS AND URBAN AREAS, which was prepared to complete the Venice Charter. This bylaw aims to protect private and public residential areas in historical cities and regions and support the conservation of the cultural values, even if they are minor, which constitute the memory of humanity. The success of the conservation program, as specified as the principles and methods in the bylaw, The Conservation of Historic Towns and Urban Areas, is possible with the


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participation of the people living in urban areas. Therefore, the participation of the people should be encouraged. Conserving historical towns and urban areas interests primarily their residents. The specifications that should be conserved are the historical characteristics of the city and their physical and immaterial components. Urban structure defined by parcels and streets, relations between the buildings and green and open areas, scale, size, style and building style, components, the color and ornaments of buildings and the inner and outer appearance of buildings are among the different specificities attributed to historical cities and urban areas. Negative factors that threaten them may spoil the authenticity of the historical cities and urban areas. Authenticity value—the most important value to be conserved—consists of style and design, components and patterns, usage and function, traditions and methods, place and location and spirit and emotion. This value constitutes the identity of culture, so it is indispensable and inevitable for conservation [13]. In accordance with the conservation approach related to understanding buildings and urban structure, recognizing their history and meaning, ensuring their material conservation, restoration and assessment, contemporary conservation concepts and principles should be adapted to contemporary life. It is impossible to describe the “Design-Component-Labor-Environment” of these buildings, which turn into empty shells. Addressing all of these buildings as shells and regenerating them, for example, as theater decors for the purpose of maintaining the visual sustainability of urban structure cannot be included in urban and single building conservation. New functions and activities should be compatible with historic urban areas for the conservation of historic sites. The processes of providing necessary technical services and improving them should be conducted with caution to adapt them to contemporary life. Improving houses should be one of the main aims of conservation. When new buildings need to be built or old ones adopted, current spatial entities should be observed. In particular, the scale and parcel size should be observed.

Urban regeneration approach nothing but improvement of physical environment without considering the spatial continuity creates completely new urban areas which has never been in exist in historical neighborhoods. The new spaces created by the projects also create new life styles by destroying the traditional and local social networks and meanings. Besides the economic and physical benefits, neighborhood regeneration has a crucial mission of spatial and social, cultural continuity. REFERENCES [1] Roberts, P., The evolution, definition and purpose of urban regeneration. In Urban Regeneration: A Handbook, eds. P. Roberts & H. Sykes, Sage Publications, p. 17, 2000. [2] Smith, N., New globalism, new urbanism: gentrification as global urban strategy. Antipode A Radical Journal of Geography, 34(3), pp. 427–450, 2002. [3] Erbas, A.E. & Erbil, T. Neoliberal challenges and practices of urban regeneration projects in Istanbul. Real Corp Conference, “Planning Times, You Better Keep Planning or You Get In Deep Water, For The Cities They are a-changin” pp. 843–852, 2013. [4] Erbas, A.E., Ecological approach to planning studying samples of Istanbul within the framework of sustainable urban development, MSc Thesis, Mimar Sinan Fine Arts University: Istanbul, 1995. [5] Erden, D., Urban projects as a tool for urban regeneration, PhD Thesis, Mimar Sinan Fine Arts University: Istanbul, pp. 10–12, 2003.

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[6] Jokilehto, J., The Historic Urban Landscape Recommendation; from the Proposal to the Implementation, Historic Urban Landscape Meeting, MimarSinan Fine Arts University: Istanbul, 2014. [7] Assmann, J., Kültürel Bellek, Trans. A. Tekin, Ayrıntı Publications: Istanbul, p 21. 2001. [8] Akın, N., Balat, Dünden Bugüne Istanbul Ansiklopedisi. Ministry of Culture and History Foundation Publication: Istanbul, 2, pp. 10–12, 1993. [9] Conservation Plan Reports of Historical Peninsula, Istanbul Metropolitan Municipality, City Planning Directory, 2003, 2005, 2011. [10] Erden, D., Affects of socio-economic dynamics on urban conservation, MSc Thesis, 0: Istanbul, pp. 22–24, 1994. Istanbul Historic Peninsula Site Management Plan Report, Istanbul Site [11] Akın, N., Fener, Dünden Bugüne Istanbul Ansiklopedisi, Ministry of Culture and History Foundation Publication: Istanbul, 3, pp. 279–281, 1993. [12] Istanbul Historic Peninsula Site Management Plan Report, Istanbul Site Management Directory, p. 5, 2011. [13] Morley, D. & Robins, K., Space of Identity, Routledge, p.107, 2002.

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ABSTRACT The aim of this paper is to propose an urban intervention in the downtown of a very important tourist city, Benidorm (Spain), taking into account the scarce public funds and the financial crisis as a whole. The core of Benidorm, the most important area for tourism activity, is showing an old-fashion image, with hardly renovation during the last decades. Hence, it is necessary to refurbish the centre of the city dealing with the scarce funds. For that reason, a market-oriented instrument, specifically ‘non-financial compensation’ instruments, will be suggested to regenerate some specific areas through studying other urban renovations along the world. Firstly, the paper will describe the main characteristics of Benidorm in terms of urban evolution, tourism activity and recent problems related to old buildings located in the core of the city. Next, some international cases where non-financial compensations have been applied will be exposed as a reference to implement in Benidorm. Finally, a proposal to refurbish the old buildings in the centre of Benidorm will be drafted considering those international experiences. Keywords: Benidorm, non-financial compensations, urban regeneration.

1  INTRODUCTION The city of Benidorm is located in Alicante Province, in the Southeast of Spain, with a population of 69,010 people in 2014 [1]. The most important activity is without doubt, tourism. In fact, the average of population – inhabitants plus tourists – all over the year surpasses two hundred thousand [2], and according to the last reliable poll at Alicante Airport, 21.3% of the passengers travel to Benidorm, which is the most important destiny at this airport [3]. That magnitude shows the big intensity of the tourist activity –tourist rotations – in Benidorm. The ‘New city’ of Benidorm was born at the end of the fifties in the 20th century thanks to a land spatial plan, typically called ‘Ensanche’ in Spanish cities, which is a new land developed area linked to the historical town [4]. But, in this case, the land spatial plan was genuine because it was conceived for tourism activity. In Fig. 1 can be distinguished the small secular city in the centre and next to the sea, with a chaotic urban weave, and on the right side the new area. The urban weave of the ‘Ensanche’ has remained with hardly transformations along its half century life. It is composed by two main perpendicular axes – Europe and Mediterranean Avenues – from which the rest of the Ensanche was developed following a grid shape. The buildings inside the plots are exempts and have evolved from its conception of a city garden with detached houses and low density, to ‘tranvías -tram- buildings’ (long and horizontal buildings) and, later, to even more higher skyscrapers which dominate the current Benidorm skyline and have become in the icon of the city (Fig. 2). In the floor of the plots, there are all kind of activities such as commercial, amenities or services.

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-508-516

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Figure 1:  ‘Ensanche’ of Benidorm in 1953 over the current urban weave.

Figure 2:  Current Benidorm skyline dominated by skyscrapers. In that way, the first change from a city garden to the idea of compact city took place at the beginning of the plan, in the early sixties thanks to several modifications on the Land Spatial plans, which allowed to build ‘tram buildings’ inside the plots instead of detached houses. The changes took place because of the local landowner, who pressured the local politicians to increase the volume allowed in the plot so that enhance the land price. The issue was what kind of city they wanted to develop: a garden city for rich people or a city with building blocks for mass tourism. Finally, the local government modified the original plan, which was the origin of the current Benidorm, but taking into account the maximum volume in order to maintain the quality of the public space (an over density can generate too much traffic, noise, pollution, etc.). The mentioned evolution from detached houses to ‘tranvía buildings’ and the current ­skyscrapers deserves to be explained. Thus, the total volume of the building has not changed at all from ‘tranvía’ ones to high-rise buildings, but what has changed is precisely its


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shape: a ‘tranvía building’ occupies more land and is shorter than a skyscraper with the same volume, which occupies less land, and as compensation, is clearly higher. The advantage of the skyscraper exempt relates to landscape, so that the owners or tourists can enjoy the wonderful views and, on the other hand, there are more free space, which favors not only the views but also the bioclimatic characteristics in the ‘Ensanche’. Figure 3 depicts the evolution explained, from detached houses to ‘tranvía building’ and the current skyscrapers [5]. Nowadays, Benidorm is one of the scarce tourist cities that keeps the occupancy rates in hotels and other tourist amenities (apartments, camping, etc.) over the average in Spain. Thereby, at the end of 2014, the annual average occupancy in hotels was 74.9% over 37.920 rooms in 121 hotels while in Costa Blanca (Alicante Province) did not reach 65%[1]. Anyway, there is consensus among several sociologists, researchers who had studied the city along the last decades and society as a whole about the urgent necessity of refurbishing its public space in the downtown. As an example, the average of the incomes per room is half

Figure 3: Building typologies evolution sketch: from detached houses to ‘tranvía buildings’ and, later, the current skyscrapers.

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with respect to other mass ‘sun and beach’ tourism cities in Spain such as San Bartolomé de Tirajana or Adeje [6]. Nevertheless, the lack of public funds not only in Valencia Community or Spain, but also in many cities and countries in the world make it almost impossible for any kind of public investment. This setting leads to think about other forms for financing precise investment, among them, urban interventions. These formulas are known as marked-oriented instruments, and ­specifically in urban interventions, ‘non-financial compensations’. In this research, an urban intervention in the most emblematic area in Benidorm is ­proposed following these techniques. 2  NON-FINANCIAL COMPENSATIONS: DEFINITION AND SOME EXAMPLES IN THE WORLD Although in most developed countries spatial planning still reflects a strong awareness of the need for a more balanced and sustainable spatial development with provisions for additional space for future development, it is increasingly assumed that it is the market, not the state, which should resolve planning problems either with or without minimal (financial) public intervention. In that way, essentially, non-financial compensations relates to the government does not financially compensate a landowner for his loss of rights, but instead gives him a right that represents a financial value [7]. Next, several noteworthy examples where this kind of market-oriented development has been applied are referred, especially, those relatively similar to the case of Benidorm. 2.1  The washington mutual tower (Seattle) The (former) Washington Mutual Tower, which was finished in 1988, is situated in the downtown of Seattle, and it is a very successful example of a FAR (Floor Air Ratio)-bonus program or incentive zoning which offers bonuses to developers in return for the provision of public benefits: by providing the amenities, in particular affordable housing, but also a well-­appreciated atrium that is even used for weddings, the designers were able to add 28 of its 55 stories to the skyscraper and almost double the base floor area ratio of the site (Fig. 4). The building was built on the site of the 12-storey Savoy Hotel which was imploded in 1986 [8, 9]. 2.2  Saitama city (Tokyo) Saitama City is part of Saitama prefecture and is located 30 km from Tokio. Its population is increasing due to the influx of families, the majority of whom work in Tokio but who prefer to live in Saitama. Due to that increase of population many high-rise building are being built. Just on the west side of Yono station, the area to analyze is called Asahi Machi, which is a former low-rise high-density area of 0.6 hectares consisting of 110 different owners. To redevelop this area, two high-rise were planned and finally built. The owners, under an association which represented them, were compensated for this by receiving a certain portion of building floors in the renewed building, and, dependent on their previous tenure, shared ownership of the land. At the same time, the landowner owns, together with the leaseholders and the building owners, a certain portion of the high-rise building. Excess floor was sold to outsiders by the redevelopment association, although the major source of revenue comes from the disposal of the reserved floors (Fig. 5). The national government also provided a subsidy for dismantling of buildings and the provision of public facilities such as roads and parks [10].


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Figure 4:  Incentive Zoning in Seattle, Washington Mutual tower.

Figure 5:  Saitama City, right conversion system applied in the Asahi Machi Area.

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3  AREA SELECTED IN BENIDORM FOR URBAN MORPHOLOGY REDEVELOPMENT AND PROPOSALS FOR ACTION The area selected for remodeling is referred to ‘tranvía buildings’ located in Levante Beach, a paradigmatic space in the city. Benidorm’s residential buildings are very degraded in the core of the city due to lack of remodeling work. One of the clearest examples of this deterioration is found in Levante Beach, whose first line of buildings includes three residential buildings (Túgar, Ronda and La Gavina) and one hotel (Selomar), ‘tram buildings’, all of them (Fig. 6) that represent the tourist origin of the city but currently have a deplorable appearance that does not meet the requirements of a very busy tourist destination. Moreover, the surrounding public space is quite damaged. Figure 7 allows identifying this group of buildings thanks to the green net covering the Selomar Hotel. Therefore, the proposal (currently in discussion with the Town Hall) consists of replacing these four buildings for two new skyscrapers built over two large square blocks. These new buildings would reflect an iconic character that would promote one of the busiest parts of the city and would improve the city standards of architectural quality. In addition, these buildings would fit perfectly in the skyline which is clearly dominated by skyscrapers (Fig. 8). These buildings would have a variety of uses, such as commercial, residential, hoteliers, etc. This is one of the key aspects of the remodeling because, as mentioned, it is intended to revive the spirit of renovation in the hotel sector and to improve the urban fabric of the city while minimizing the cost of the public administrations and attracting private investment. In addition, this transformation would also affect the public space of the surrounding streets, since the proposal would free up more public space and would improve access to the beach in the area. The proposal also includes a profound renovation of the appearance of this iconic area.

Figure 6:  Old ‘Tranvía Buildings’ in Levante Beach, Benidorm.


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Figure 7: Current landscape of Playa de Levante with several old ‘tranvía’ buildings on the left.

Figure 8: Current landscape of Playa de Levante including the proposed skyscrapers on the left. Constructability has to be increased to facilitate the management of this operation, i.e. to provide incentives to both the current owners and the potential investors to convince them to accept the proposal. Increased constructability should persuade the current owners of the Ronda, Túgar and La Gavina buildings and the Selomar Hotel to join the development of the proposal. As noted, this proposal would be carried out by using non-financial compensation ­instruments to avoid spending public funds.

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4  CONCLUSIONS This article has tried to achieve two objectives: First, it outlined the evolution of Benidorm urban layout and morphology, from its intense transformation in the 1960s to its present ­tourist development marked by skyscrapers and mixed uses, highlighting the influence of the different social agents and urban development plans over its current configuration. Second, taking into account the scarcity of public funds, this article presented several ­intervention formulas to adapt Benidorm urban space to the new tendencies and to maintain adequate environmental and architectural quality standards. In particular, this article presented a proposal to redevelop the old-fashioned residential buildings of the centre of Benidorm through market-oriented compensations instruments. One of these instruments is the non-financial compensation scheme, which encompasses the Transferable Development Rights -TDR- scheme, which is commonly used in the USA, and the incentive zoning system, which is used in many other developed countries. ACKNOWLEDGEMENTS Antonio-Manuel PuchadesOrts, privatedeveloper in Benidorm. Manuel Beltrá Vidal, Alejandro Espinosa Blasco and Miguel Fernández Berenguer, e2b Arquitectos. José-Ramón Navarro Vera, Spatial Planning Professor at University of Alicante. Manuel BeltráMartínez, Spatial Planning Lecturer at the University of Alicante. ÁngelRosiqueVegal, photographer of Benidorm. Patricia FernándezAracil, University Institute of the Water and the Environmental Sciences, University of Alicante. REFERENCES [1] Instituto Nacional de Estadística, Padrón Municipal de 2014,Encuesta de Ocupación en alojamientos turísticos: establecimientos hoteleros & Encuesta de población activa tercer trimestre 2012, available at [2] Gaviria, M., Enamorados de Benidorm 2: Macromagnitudes, Ayuntamiento de ­Benidorm: Benidorm, 2010. [3] EMMA Aeropuerto de Alicante, Modos de Acceso y Lugar deprocedencia, Aeropuertos Españoles y Navegación Aérea (AENA): Madrid, 2007. [4] Concejalía de Urbanismo del Ayuntamiento de Benidorm, Plan General de Ordenación Urbana, Ayuntamiento de Benidorm: Benidorm, 1953. [5] Gaviria, M., Iribas, J.M., Sabbah, F. & Sanz, J.R., Benidorm, ciudad nueva, Nacional: Madrid, 1977. [6] Exceltur, Barómetro de la rentabilidad y el empleo de los destinos turísticos españoles, available at [7] Janssen, L., Spaans, M. & Van der Veen, M. (eds), New Instruments in Spatial P ­ lanning: An International Perspective on Non-Financial Compensation, IOS Press: Amsterdam, 2008. [8] Pacione, M., Urban Geography: a Global Perspective, Routledge: London, 2001. [9] Van der Veen, M.,Spaans, M., Putters, B. & Janssen-Jansen, L., Comparing the cases and planning for the future of non-financial compensation (Chapter 11). New Instruments in Spatial Planning: An International Perspective on Non-financial Compensation, eds. L. Janssen, M. Spaans & M. Van der Veen, IOS Press: Amsterdam, pp. 229254, 2008.


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[10] Chorus, P., Japan: using developing rights as driver for development (Chapter 3). New Instruments in Spatial Planning: An International Perspective on Non-Financial ­Compensation, eds. L. Janssen, M. Spaans & M. Van der Veen, IOS Press: Amsterdam, pp. 41-72, 2008.

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ABSTRACT The continued exploitation of natural resources has enforced governments to establish regulations through different legal instruments to encourage its land use suitably for development and conservation by means of efficient planning and management. However, there is always the dilemma between economic interests and environmental and social ones when developing tourism in natural protected areas (NPAs). The purpose is to analyse the constraints that tourism faces in natural areas from three perspectives of interest groups. Firstly, from a federal economic development project “Nautical Stations” promoted by the government and tourism investors; secondly, from environmental institutions devoted to the protection of natural areas; and thirdly, from local residents in order to satisfy their social, economic and environmental needs. The methodology has been based on literature review to support the legal and regulatory framework on urban land use planning: NPAs and federal and state tourism development policies in Mexico and Baja California as well as technical reports and surveys developed by academic institutions assessing the welfare conditions of local residents before and after the application of environmental and tourism policies in the region. Lastly, results show that the nautical stations project had poor economic benefits with respect to expectations of regional economic growth. Thus, the nautical tourist model had not been successful due to environmental regulations imposed over the region. Keywords: ecological tourism, natural protected areas, rural tourism, rural development, sustainable development.

1  INTRODUCTION The regional development project focused on nautical tourism called “Nautical Stations” is an idea that had been born in the 1970s under the name of “Tourist Marine Stations” by the Commission for Tourism Development in the Gulf of California, México. Later, in 1998, the proposal was restarted to boost tourism in the region Sea of Cortes, through the Tourism Development National Fund (FONATUR) to provide ports, roads and air infrastructure to enhance international tourism. In addition, the purpose of this project was to identify suitable sites and conduct planning processes to acquire land reserves and economic resources to implement it [1]. A new federal administration in 2000 had taken the management and had promoted it as a national mega project, supported by the Ministry of Tourism, specifically through FONATUR to detonate different regions of the country. Such was the case of the Nautical Stations of the Sea of Cortes in northwestern Mexico; Costa Maya Palenque-Agua Azul waterfalls in the southeastern region; and on the central west coast, the New Integrally Planned Center in Nayarit [2].

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-517-527


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The project had embraced a wide territory where five states were involved: Nayarit, Sinaloa, Sonora, Baja California and Baja California Sur (Fig. 1), sharing the Sea of Cortes and 15 coastal municipalities, integrating 20 nautical stations and a land bridge linking the Pacific Ocean with the Sea of Cortes (Santa Rosalillíta and Bahía de los Angeles) [1, 3]. Under a strategic planning model, the project was conceived as comprehensive, inclusive, participatory and long term, looking to detonate the region and to bring out social, economic and environmental beneficial impacts. It also had the purpose to promote low impact nautical tourism and the protection of natural and cultural resources of the Sea of Cortes. Thus, tourism would be oriented towards those segments that supported the conciliation of development and the protection of environment and culture such as eco-tourism, rural tourism, adventure tourism and health tourism. To achieve this, it was deemed necessary to create an infrastructure to support, organize and regulate tourism in the region. The project was planned on four stages: The first was planning, which had integrated market studies, environmental feasibility, technical and financial viability and acquainting socio-economic benefits among stakeholders. The second was the take-off, focusing on the use of the existing infrastructure of ports from 2004 to 2006. The third was growth, which involved the expansion and follow up on the abandoned nautical stations network from 2007 to 2012. The fourth was consolidation of the project and the overall operation from 2013 onwards [3]. The management of the megaproject had demanded compliance with law and regulations for terrestrial and marine natural resources set in ecological planning ordinances and environmental impact statements of infrastructural projects, in addition to the compliance with the preparation of urban planning ordinances and regulations of coastal human settlements and the environmental impact statements of tourism projects. To accomplish this task, coordination and concurrence of different levels of governments was required: municipal, state and federal who shared the territory. The main defiance was to have located a tourist marina project in Baja California where nearly half of the territory was a natural protected area (NPAs). The region has been known for its richness of marine and

Figure 1: Location of Nautical Tourism Stations and Valle de los Cirios NPA.

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terrestrial wildlife, all of them protected by federal law and included in the National System of NPA, which is worth visiting for its cultural heritage values. Within the state, two new tourist marinas were planned to be set in an NPA Valle de los Cirios in a rural community Santa Rosalillíta in the Pacific Ocean and in Bahía de los Angeles in the Sea of Cortes, both working as a land bridge (Fig. 1). Besides, three tourist routes were also planned: Santa Rosalillita-Bahía de los Ángeles, Cataviñá-Guerrero Negro and Bahía de los Ángeles-Bahía de las Animas [3]. Thus, the paper has three main purposes: firstly, to show the evolution of a national strategy to promote a nautical tourism experienced throughout four federal administrations; secondly, to analyse the legal basis which had led to the implementation of land use regulations for human settlements and environmental protection; and thirdly, to display social and environmental impacts as a result of tourism development promoted in NPA by tourism developers, authorities responsible for the management of protected areas, and from local residents in order to satisfy their social, economic and environmental needs. The work has been based on literature review from different sources from 1995–2015. 2  LEGAL FRAMEWORK AND PLANNING INSTRUMENTS Once the federal government had announced the mega tourism project “Nautical Stations” through FONATUR in early 2000, the machinery to develop and implement urban land use plans for small towns for the acquisition of land reserves for real estate business was launched in the State of Baja California and tourism infrastructure was introduced. Among them were the land bridge and marinas in Santa Rosalillíta-Bahía de los Ángeles, projects that could have been changed the dynamics of low impact tourism by one of high impact, oriented to real estate and tourism investors, with minimal participation of local entrepreneurs. This initiative resulted in the development of general guidelines [4] by which, in the absence of urban development programs [6], and based on Article 20 of the Law on Urban Development (1994), the State of Baja California has authorized land uses, location and construction of buildings, modifications or introduction of basic infrastructure services in small towns (Table 1) as well as actions of urbanization in the proposed draft that would regulate land use in locations to be affected by the project, including those in Bahía de los Ángeles [4]. All this had happened in a region that was already declared a protected area since the 1980s under the category of Area of Forest Protection and Wildlife Refuge and re-categorized in 2000 as Protection Area of Flora and Fauna [5], as was the case with the Gulf Islands, which were enacted since 1978 and re-categorized in 2000 [6] (Table 2). The pressure over this region of great terrestrial and marine ecological values, had encouraged the National Commission of NPAs (CONANP) to enact and protect other sensitive areas in the region affected by nautical tourism with respect to Bahia de los Ángeles, Canal de Ballenas y Salsipuedes in 2007 [7] and the Archipelago of San Lorenzo in 2005 [8]. Thus, they had to accelerate the work for the preparation, achievement of community consensus and the publication of management plans and programs for ecological and environmental protection from 2005 to 2015, as seen in Table 2. 3  TOURISM Traditional tourism in Mexico that has been linked to sun and sand, where investment in infrastructure has been developed as well as international tourism of main destinations such as Acapulco, Puerto Vallarta, Cancun, Ixtapa, Los Cabos and Riviera Maya have been promoted. During 2012, the construction of hotel rooms was concentrated in eight major


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Table 1: Tourism and urban development plans. Ecological, tourism and urban development plans and programmes State Ecological Management Plan of Baja California [10]

Decrees (PO: Official Periodical of Baja California and DOF: Official Periodical of the Federation) PO: 8/09/1995. Updated PO: 7/10/2013. Updated PO: 3/07/2014.

Urban Development Guidelines for Bahía de los Ángeles and Santa Rosalillíta [4]

PO: 11/06/2003

Urban Development Guidelines for the Tourist Corridor Bahía de los Ángeles [11]

PO: 19/08/2005

Marine Ecological Management Plan of the Gulf of California [25]

DOF: 15/12/2006

Ecological Coastal Management Program of Puertecitos-Paralelo 280 [13]

PO: 19/10/2007

Regional Urban, Tourist and Ecological Development Program for the Coastal Corridor San Felipe-Puertecitos-Bahía de los Ángeles [14]

PO: 27/12/2010

Table 2: Natural protected areas. Program

Protection Category

Creation/Re-caterorization/ Surface


Isles of the Gulf of California [6, 15]

Protection Area Decree: DOF: 02/08/1978 of Flora and Re-categorization Fauna 07/06/2000. Surface: 374,553.63 ha

Management Program DOF: 17/04/2001

Bahía de los Ángeles, Canales de Ballenas y de Salsipuedes [7, 16]

Biosphere Reserve

Decree: DOF: 05/06/2007 Marine Surface: 387,956.88 ha

Management Program DOF: 05/11/2013

Valle de los Cirios [5, 17]

Protection Area Decree: DOF: 02/06/1980 of Flora and Re-categorization: DOF Fauna 07/06/2000 Surface: 2,521,987.61 ha

Management Program DOF: 02/04/2013

Archipiélago de San Lorenzo [8,18]

National Park

Management Program DOF: 20/01/2015

Decree: DOF 25/04/2005 Marine surface: 58,442.80 ha

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destinations: Ciudad de México, Riviera Maya, Cancún, Acapulco, Guadalajara, Los Cabos, Monterrey y Puerto Vallarta [9]. Excepting for Los Cabos, most of them are located in coastal areas with humid warm climates, with public facilities, roads, airports and marine ports infrastructure. Besides, they are either in large- and medium-sized cities or closer to them, with high levels of urbanization and with ample provision of goods and services to the local as well as tourist population. In order to diversify tourism, the federal government has promoted alternative tourism, such as nature tourism, and thereby gives small towns and regions an opportunity to explore new market niches. It considers that as visitors are in contact with nature and the culture of communities they contribute to the conservation of natural and cultural resources. Ecotourism, adventure tourism and rural tourism are all considered part of this approach [9]. “Valle de los Cirios” located in the peninsula of Baja California, México, which has been taken as the case study, has been an NPA since 1980, and an arid region with relative isolation from major urban centers within the state and the country, poor infrastructure of roads and scarce air and land transportation means [19]. Conversely, its valued wildlife and cultural resources, has made this region an ideal place for those who like or study nature and desert environments. Main tourism destinations are Cataviña and Bahía de los Ángeles, while Santa Rosalillíta is a fishing settlement. These small towns are placed in a category of rural settlements, because they have lesser than 2500 inhabitants; this condition constraints urbanization as well as falls short in providing goods and services to local residents and tourist visitors [20]. Under this context, Bahía de los Ángeles would become the most affected settlement in the region since the launching of the nautical tourism stations project. Bahía de los Angeles is a coastal rural settlement in front of the Sea of Cortes, which began as a fishing camp, fishing being its primary economic base. However, over time the residents have faced various obstacles among which are [21] hot weather conditions during summer and seasonality of fishing; low income; high risk for fishermen and changes in national and international policies, especially the lack of institutional support to small producers. In terms of competitiveness, small entrepreneurs have been left out, due to high costs of production as compared to large permit holders. From this time, tourism has been developed as a complementary activity to fishing, not only because of Bahía de los Angeles’ marine resources, but also because of the efficient resource management of flora, fauna, geological interest of its surroundings, the beauty of its landscapes and the knowledge of its cultural heritage, where all these have offered potentialities to be developed, but under regulation, because this NPA has high rates of fragility in its ecosystems [22]. The origins of tourism in this town according to Zizumbo and Lopez-Casillas and Daneman [21, 23], can be traced to the 1940s, where the main travelers were Americans, who given the difficult conditions of town accessibility, have used private air plane services of low passenger capacity. By the mid-1950s a private airline had weekly trip services coming from San Diego, California. This has led to the creation of small businesses committed to providing tourist services. The same authors have indicated that in the 1970s the settlement offered lodging, fueling, food and beverages and guide services. Other people were employees, merchants, drivers and mechanics on a small scale. At the same time, it was deemed necessary to provide road access to the settlement from the main road called Transpeninsular to attract tourism travelling with motor caravans (RV’s) and, consequently, some residents were driven to set RVs parking lots, camping sites and hotels. After this decade, in the 1980s, construction process to build small houses along the beach came into force, for those visitors wanting to spend the winter season in a warmer climate. From the 1990s up to 2010 tourism has grown slightly, compared to the Nautical Stations Project’s estimations of growth.


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Common visitors attending Bahía de los Ángeles could be grouped into three: the first group, comprising young people looking for adventure in natural environments as well as Mexican and American students arriving for the purpose of marine and terrestrial research; the second group, consisting of sport fishing and sailboats fans; and the third group, represented by seniors, seeking contact with nature and a peaceful environment to spend their retirement. The group with major economic spill over local residents has been that for sport fishing mainly practiced by Americans who have huge demands for lodging, food, boats rental and hiring guides [21], whereas a lesser demand is from those with sailing boats who regularly have everything in their boats, as well as from tourists arriving in RVs. The rest of the visitors stay in the settlement from three to five days and are local tourists from Baja California who usually arrive during holiday periods. Tourism activities are focused on sun and sand, tours to missions and cave paintings, whale watching, diving, visiting the islands and coastal tourist areas, kayak tours, hiking, visiting mines and observing wildlife. Nowadays, the State of Baja California has a Tourism Observatory, created with the purpose of monitoring tourism activities in main destinations, and providing some statistical information about the performance of economic activity around tourism. According to this source it seems that Bahía de los Ángeles maintains a low flow of visitors. In 2014, this settlement received 600 visitors during Easter holidays, of which 95 percent were from Baja California, focused on sun and sand tourism and a lesser percentage practicing diving and hiking [24]. 4  TOURISM CHALLENGES IN NPA The Nautical Tourism Stations project had generated great economic expectations among investors and governmental authorities, whose effects could have produced positive impacts on the quality of life of rural communities living in this region. Despite the planning efforts and public investments done by authorities involved to create better conditions to implement the project by means of land use regulation, NPA management plans and programmes, paved roads, introduction of electricity, and the construction of marinas, the project faced several obstacles. Among them were: first, mistrust and resistance of local communities to the implementation of the project; second, the suspension and abandonment of it on several occasions for economic reasons; third, restrictions imposed by management plans and the surveillance of environmental authorities tracking environmental impacts of tourism in NPA (due to their condition of fragility and low carrying capacity ecosystems); and fourth, pressure exerted by regional and national environmental groups [29]. It is almost 15 years since the project has started, but achievements have been few and the project has not moved beyond the first stage as it had to deal with numerous financial difficulties; however, authorities are still confident that the project could be rescued, which means that they have not learnt the lesson yet. In the case of Baja California, the municipal management structure for these small towns is through delegations; they do not generate or have external financial resources to maintain adequate public services for small population (lower than 2500 inhabitants). Besides, these communities are farther from the major urban center of the municipality located in Ensenada, around 500 kilometers away from Bahia de los Angeles, where suburban transport service are often scarce and irregular in frequency [20]. The nautical stations project should also required investment to strengthen governance in small towns, as well as the improvement of telecommunications infrastructure and so also new air and land transportation services [19]. Table 3 summarizes the constraints the region faces, seen through main stakeholders, where win-win agreements have not been reached.

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Table 3: Tourism challenges by stakeholders in NPA. FONATUR: Tourism development promoters [1] • Natural and cultural resources are not prepared to meet tourist requirements • Put in value natural resources, restoration, improvement and necessary maintenance to cater to tourists. • Difficult access to places and thus need to improve roads • Small towns with reduced populations • Deficit of telecommunications networks • Lack of water and energy • Lack of accommodation and restaurants • Preference for sun and beach places • Recognize the fragility of ecosystems CONANP: Conservation promoters [27] • Limited qualified human resources for the management and development of tourism in NPAs. • Lack of intra- and inter-institutional coordination for development and tourism management at the local, regional and national level. • No homogenous application of planning and management tools for developing tourism in NPAs. • Insufficient budget for management and development of tourism. • Insufficient and / or inadequate infrastructure to support tourism to minimize negative impacts. • Lack of clear investment criteria for infrastructure and tourism projects in NPA. • Degradation of tourist attractions from planning processes and by unplanned developments, as well as overcrowding or by wrong use of places. • Current environmental deterioration of suitable tourism areas in the country, caused by productive activities, urban development and overexploitation of some natural and cultural resources. • Mexico has positioned itself as a massive tourism destination of sun and sand. • Public policies orientated to development that does not encourage conservation as a key hub of the country. • Institutional disarticulation that does not allow integrated planning and public financing oriented to priority needs. CONABIO: Biodiversity promoters [28] • • • • • • •

Development of tourism infrastructure of high impact Pressure by poor tourism practices Pollution (water and soil) Unplanned exploitation of forest resources (timber and non-timber) Land speculation for sale of land plots, mining and tourism development projects Erosion and soil degradation Overexploitation of water bodies and aquifers


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Table 3: (Continued) Community: Residents of Bahía de los Ángeles [21]. • Drug and alcohol abuse among youth • Insecurity • Lack of recreational, sports and cultural facilities to meet the needs of different age groups. • Lack of training to develop different productive activities • Limited promotion of productive investments • Poor accessibility of communities and deteriorating infrastructure of roads • Low quality of infrastructure of water, sewage, energy and telephone coverage • Marginalization of population • Loss of young population, expelling population areas • Public investment is driven towards the needs of tourists and not for the needs of communities to improve their quality of life.

With regard to changes in the levels of the welfare of the inhabitants living in the area, in the study conducted by Riemann, Santes-Alvarez and Pombo [25] regarding the role of NPA in the local development of the peninsula Baja California, their results show that, on the one hand, these areas represent opportunities for development but on the other, regulations do not allow people to reach higher levels of welfare in terms of use and protection of natural resources. Results of the study demonstrate that welfare levels have not changed despite the resources conducted through several Regional Sustainable Development Programs (PRODERS) for the period studied 1990–2000. According to the assessment conducted by CONANP-UNAM [21] about PRODERS programs implemented in NPA during 2001 and 2006, results has revealed that changes are incipient on issues like population incomes for those who have been participating in the implementation of programs. However, there have been positive impacts, basically in group creation and involvement in the process, the valuation of effort and development of organization capabilities and self-management, that have allowed them to implement some actions [26]. In both cases, the studies agree that views of changes are unnoticeable with regard to local development. In summary, policies coming from institutions promoting the protection of natural resources, as well as those derived from economic development of tourism have not had a real impact on improving the living standards of the inhabitants in small towns in the region of Valle de los Cirios. 5  CONCLUSIONS The local development scenario of communities living in an NPA will always be influenced by the prime objective of a Natural Area, that is, the protection of ecosystems and environmental quality. Thus, tourism development and human settlements are not likely to experience sustained economic growth to improve a population’s standard of living substantially. It has been proven that massive tourism developments based on sun and sand generate higher revenues to regions, and usually are located in coastal areas with lesser environmental constraints. Regarding tourism that can be developed in this NPA, Valle de los Cirios, it should be restricted to nature (eco-tourism, rural tourism and health tourism), which so far has not expressed an economic impact on the region, since it was proposed by FONATUR [1, 2].

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Despite planning efforts conducted by different government levels and institutions, management remains the key factor, taking into account technical failures in the formulation of projects, anomalies in compliance with legal procedures, delay in processes to reach consensus, approval of management plans and programs, and financial and political issues due to social rejection. Within government levels, the weakest chain is municipality and the delegations structure, which have a minimum operating budget that is insufficient to support small communitys’ demands and, even more, the quality of public services for tourism. The project has had several ups and downs from 2000 to 2015 and has gone through three federal administrations and different political parties, that have all tried to rescue the project, but so far have failed to achieve it beyond the first of the four scheduled stages. REFERENCES [1] Fondo Nacional de Fomento al Turismo (FONATUR), Proyecto Escalera Náutica del Mar de Cortés, Documento Básico, 2001, available at regiones/r-no/2002-2004/sesiones_ordinarias/18_sesion_2001/esc-nau-18so-no.pdf [2] Fondo Nacional de Fomento al turismo (FONATUR). Proyecto Mar de Cortés, available at Mar%20de%20Cortes.pdf [3] Secretaría de la Función Pública (SFP) Fondo Nacional de Fomento al turismo (FONATUR), Informe de Rendición de Cuentas de la administración 2000–2006, available at [4] PO, (Periódico Oficial del Estado de Baja California), Directrices de Desarrollo Urbano Bahía de los Ángeles y Santa Rosalillíta, 11 julio 2003, available at [5] DOF, (Diario Oficial de la Federación), Área de Protección de Flora y Fauna Silvestre Valle de los Cirios, 7 junio de 2000, available at [6] DOF, (Diario Oficial de la Federación), Área de Protección de Flora y Fauna Islas del Golfo de California, 7 junio 2000, available at php?codigo=767360 [7] DOF, (Diario Oficial de la Federación), Reserva de la Biosfera la zona marina conocida como Bahía de los Ángeles, canales de Ballenas y de Salsipuedes, 5 junio 2007, available at [8] DOF, (Diario Oficial de la Federación), Parque Nacional Zona Marina del Archipiélago de San Lorenzo, 25 abril 2005, available at =2034061&fecha=25/04/2005 [9] DOF, (Diario Oficial de la Federación), Programa Sectorial de Turismo 2013-2018. 13 diciembre 2013, available at fecha=13/12/2013 [10] PO, (Periódico Oficial del Estado de Baja California), Plan de Ordenamiento Ecológico del Estado de Baja California, 3 de julio de 2014. [11] PO, (Periódico Oficial del Estado de Baja California), Directrices Generales de Desarrollo Urbano del Corredor Turístico Bahía de los Ángeles, 19 agosto 2005, available at


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[12] DOF, (Diario Oficial de la Federación). Programa de Ordenamiento Ecológico Marino del Golfo de California, 15 diciembre 2006, available at archivosanteriores/temas/ordenamientoecologico/Documents/documentos%20decretados/decretos_2010/decreto_poemgc.pdf [13] PO, (Periódico Oficial del Estado de Baja California), Programa de Ordenamiento Ecológico Costero Puertecitos-Paralelo 280, 19 de octubre de 2007, available at http:// documentos%20decretados/actualizacion_2012/acuerdo_p28.pdf [14] PO, (Periódico Oficial del Estado de Baja California), Programa Regional de Desarrollo Urbano, Turístico y Ecológico del Corredor Costero San Felipe-Puertecitos-Bahía de los Ángeles, 27 diciembre 2010, available at gobierno/legislacion/periodico/2010/SECC-II-27-12-2010.pdf [15] DOF, (Diario Oficial de la Federación), Programa de Manejo del Área de Protección de Flora y Fauna Islas del Golfo de California, 17 abril 2001, available at http://dof.gob. mx/nota_detalle.php?codigo=767360&fecha=17/04/2001 [16] DOF, (Diario Oficial de la Federación). Programa de Manejo del área natural protegida con la categoría de Reserva de la Biosfera la zona marina conocida como Bahía de los Ángeles, canales de Ballenas y de Salsipuedes, 5 noviembre 2013, available at http:// [17] DOF, (Diario Oficial de la Federación), Programa de Manejo del Área de Protección de Flora y Fauna Silvestre Valle de los Cirios, 2 abril 2013, available at nota_detalle.php?codigo=5294191&fecha=02/04/2013 [18] DOF, (Diario Oficial de la Federación), Programa de Manejo del Parque Nacional Zona Marina del Archipiélago de San Lorenzo, 20 enero 2015, available at http://www.dof. [19] Sánchez-Crispín, A. & Propin-Frejomil, E., Transporte y turismo en la península de Baja California, México. Revista Transporte y Territorio, 5, pp. 40–71, 2011. [20] Rojas-Caldelas, R.I., Planeación del desarrollo rural: elementos del marco regional y local para el caso de Bahía de los Ángeles. Construyendo el futuro. Visiones para un desarrollo rural sustentable en las comunidades de Baja California, ed. A.L. QuintanillaMontoya, Universidad Autónoma de Baja California-Miguel Porrúa, librero-editor: Mexicali, pp. 93–119, 2006. [21] Zizumbo-Villarreal, L., El turismo en Bahía de los Ángeles. Construyendo el futuro. Visiones para un desarrollo rural sustentable en las comunidades de Baja California, ed. A.L. Quintanilla-Montoya, Universidad Autónoma de Baja California-Miguel Porrúa, librero-editor: Mexicali, pp. 215–251, 2006. [22] Godínez, A. & Zavala, C., La conservación del paisaje desértico y costero como vocación de uso del territorio peninsular. Construyendo el futuro. Visiones para un desarrollo rural sustentable en las comunidades de Baja California, ed. A.L. QuintanillaMontoya, Universidad Autónoma de Baja California-Miguel Porrúa, librero-editor, pp. 311–335, 2006. [23] Casillas-López, B. y G.D. Danemann., Servicios Turísticos. Bahía de los Ángeles: Recursos naturales y comunidad línea base 2007, eds. G.D. en Danemann y E. Ezcurra, Secretaria de Medio Ambiente y Recursos Naturales, Instituto Nacional de Ecología, Pronatura Noroeste A.C. y San Diego Natural Museum: México, D.F, pp. 657–675, 2008, available at [24] OTBC, (Observatorio Turístico de Baja California), available at

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[25] Riemann, H., Santes-Alvarez, R.V. & Pombo, A., El papel de las áreas naturales protegidas en el desarrollo local El caso de la península de Baja California. Gestión y Política Pública, 20(1), pp. 141–172, 2011. [26] Universidad Nacional Autónoma de México (UNAM) Comisión Nacional de Áreas Naturales Protegidas (CONANP), Evaluación de pertinencia, gestión e impacto socioeconómico y ambiental del ejercicio 2006 del Programa de Desarrollo Regional Sustentable, PRODERS, Informe final, available at [27] Secretaria de Medio Ambiente y Recursos Naturales (SEMARNAT) Comisión Nacional de Áreas Naturales Protegidas (CONANP), Programa de Turismo en ANP 2006 – 2012, Estrategia Nacional para un Desarrollo Sustentable del Turismo y la Recreación en las ANP de México, available at TurismoEstrategia.pdf [28] Comisión Nacional para el Conocimiento y Uso de la Biodiversidad (CONABIO). Sitios de manglar con relevancia biológica y con necesidades de rehabilitación ecológica, Ficha de caracterización Bahía de los Ángeles, available at http://www.conabio.gob. mx/conocimiento/manglares/doctos/caracterizacion/PN01_Bahia_de_los_Angeles_ caracterizacion.pdf [29] Alianza para la Sustentabilidad del Noroeste Costero, A.C. (ALCOSTA). ¿DESARROLLO TURÍSTICO REGIONAL? Monitoreo de los desarrollos turísticos e inmobiliarios costeros del noroeste de México 2005–2006, The David and Lucile Packard Foundation, Fondo para la Conservación del Golfo de California y National Wildlife Federation, available at

Wei Cheng, et al., Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017) 528–540


WEI CHENG1, BEHZADSODAGAR2& FEIFEISUN3 of Urban and Architecture, Wuhan University of Science and Technology, China. 2School of Architecture and Design, University of Lincoln, UK. 3Department of Energy and Environmental Design, NPS Group, UK.

ABSTRACT With rapid economic growth and urban expansion in China, the Chinese building sector is now facing the huge challenge of balancing its energy demand and pollution. In order to minimise the environmental impact, the Ministry of Housing Urban-Rural Development (MOHURD) has set an ambitious energy reduction target requiring that 30% of all new constructions to be green by 2020. This paper presents comparative analysis of two environmental rating systems: the latest version of Chinese Green Building Label (GBL 2014) released by the MOHURD in order to promote the market transformation of green buildings and Building Research Establishment Environmental Assessment Method (BREEAM 2014), the widely recognised environmental assessment methodology in the global construction industry. To compare the two environment assessment standards, a public office building currently under construction in Fujian (China) has been used as a case-study to rate its environmental credentials using both BREEAM and GBL. Results have shown that although both standards use a similar methodology, they require different levels of input data and may result in differentratings for the same building. Keywords: BREEAM, carbon emissions, energy consumption, environmental assessment methods, ­environmental impacts, GBL, green buildings, LCA.

1  INTRODUCTION The construction industry is a major contributor to climate change [1] as it is responsible for almost half of the global greenhouse gases and consumes 40% of the materials entering the global economy [2, 3]. The effect of carbon emissions on climate change can arguably be seen as the greatest impact and therefore of the most urgent priority [4]. As a result the construction industry has become increasingly concerned with understanding the whole life impact of buildings as it is increasing required to declare the greenhouse gas (GHG), carbon footprint or business CO2 emissions [5]. In addition to investigating and monitoring the effects of buildings on climate change, it is also important for the research community to investigate the effects of climate change on future energy consumptions of buildings as consumptions will change under future climate scenarios [6]. As worldwide population grows and hence more buildings will be needed, one may assume that the construction industry will continue to increase its carbon dioxide emissions unless it changes its practice [4]. This has resulted in energy efficiency in buildings to become a main criterion for energy policy in many countries.

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-528-540

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Table 1: Classification of building environmental assessment methods. Assessment tool

Tool type







U.S. National Institute of Standards and Technology





ATHENA Sustainable Material Institute LCA Denmark Danish Building Research Institute LCA Netherlands IVAM, University of Amsterdam CBT UK Building Research Establishment (BRE) CBT USA U.S. Green Building Council Australia Green Building 2003 CouncilAustralia Japan Japan Sustainable 2004 Building Consortium


BEAT Eco-Quantum BREEAM LEED Green Star




1999 1999 1990 1998

In this context, the concept of green building plays a significant role in focusing on increasing energy efficiency, sustainable use of resources and moreover enhancing health and wellbeing of building users. In order to assess the environmental performance of the design and build, a number of codes, standards and assessment rating systems have been developed. The codes, standards and procedures have created lively debates and increase awareness within the building industry globally about the actions required to tackle climate change [4]. For example, the EU proposed the Energy Performance Buildings Directive (EPBD) In 2002 to monitor and to reduce energy use, Brunsgaard et al. [7] analysed how the main EPBD was implemented by EU participating countries. Sharifi and Murayama [8] proposed a review of 7 well-known building environmental assessment tools worldwide with a view to introduce a framework for evaluating the effectiveness of existing tools. Haapio and Viitaniemi [9] analysed and categorised 16 existing building environmental assessment toolsfocusing on the tools developed in Europe and North America. According to Ali and Al Nsairat [10], there are two types of building environmental assessment tools: (i) method based on criteria-based tools (CBT) and (ii) method based on the Life Cycle Assessment (LCA). Table 1 lists a few widely used assessment tools using CBT or LCA approaches. The aim of LCA method is to evaluate the environmental impact of products and processes during their whole life span from cradle to grave [11], as used for example in assessment tools such as BEES (Building for Environment and Economic Sustainability,USA), ATHENA™ (Canada), BEAT (Building Environmental Assessment Tool, Denmark) and Eco-Quantum (Netherlands).LCA methods can be used as a decision making support to analyse complex and different sets of alternatives during the design phase with the purpose of optimising materials, energy use,waste management and transportation options. Because of very specific and technical language of most assessment toolsspecialists professions are usu-


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ally their main user groups [10, 12] limiting the wide spread use of tools as most stake holders and decision-makers in the building industry are not specialists enough to initiate the assessment process in all projects. It is therefore crucial to facilitate the use of assessment tools and also promote use of intelligible assessment tools capable of creating easy and simple interaction with potential clients on the market [13].To achieve truly sustainable buildings there must be a co-coordinated approach involving all stake holders including the client, the industry and local authorities and government [4]. It is also important to realise that in order to minimise carbon emissions, assessments should be carried out at the outset of the design when refinement of design strategies and options have the maximum potential of reducing whole life emissions [5]. Ford et al. [14] argue that without the involvement of the building users (clients) in the design to identify their needs and goals it will be difficult to judge which of energy saving concepts and measures perform well and which do not work at all. As a ‘checklist approach’, criteria-based tools (CBT) are more widely accepted and globally used throughout the life-cycle of buildings [15]. To this end, this study analyses the potential of CBT in the environmental assessment of buildings. CBT methods are based on a system of allocating points to determine credits and classesby evaluating environmental loads [10]. Among the first criteria-based environmental assessment tools is BREEAM (Building Research Establishment Environmental Assessment Method) which was established by the Building Research Establishment (BRE) in the UK in 1990. BREEAM has been used to assess the environmental credentials of buildings over 70 countries worldwide [16]. LEED (Leadership in Energy and Environmental Design) is another widely used assessment tool developed by the U.S. Green Building Council(USGBC) in 1998 with registered projects in covers 30 different countries [17]. Another CBT is the Green Star, a national voluntary environmental rating tool which was launched in 2003 by the Green Building Council of Australia (GBCA) [18]. In Japan, CASBEE(Comprehensive Assessment System for Building Environmental Efficiency) was set up by the Japan Sustainable Building Consortium (JSBC) in 2004 aiming to promote eco-efficient buildings by evaluating the environmental loads and the environmental quality and performance during the life cycle [19]. One of the reasons for comparing GBL and BREEAM in this paper is that an increasing number of buildings are certificated under BREEAM in China as well as due to the fact that GBL2014 is developed based on principles and methodology used in BREEAM. 2  AIMS AND OBJECTIVES The aim and scope of this paper is to review the role of assessment methods in the design and procurement of sustainable buildings and to compare the predicted performance of an office building under construction in China using two widely used assessments methodsin China, i.e. BREEAM and GBL. 3  SCOPE AND METHODOLOGY The research uses quantitative analyses and investigations. BREEAM and GBL rating methods have been examined and used for assessing the sustainability credentials of a case study office building in China. BREEAM has provided a benchmark for a range of building types in the UK. New rating of Outstanding was introduced in 2008 [16] to further reward the best examples. The use of whole life assessment tools are becoming more popular as new buildings constructed to more stringent energy efficiency targets will have a higher ratio of embodied emissions to operational, and this situation will only become more acute as both

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domestic and non-domestic buildings are designed to meet zero carbon targets [20].Even in buildings designed to be zero carbon in use and attempt to have low embodied emissions by substituting alternative materials such as replacing cement with lime, embodied emissions remain significant [21]. BREEAM assesses the environmental performance of design and build by allocating scores to nine technical sections. The sections are management, health and wellbeing, energy, transport, water, materials, waste, land use and ecology, pollution. Scores gained from each section are weighted by the ‘environmental weightings’, which reflects the relative importance of each section.The weighted scores are then added up to obtain the overall score, which has a base of 100 points.The category ‘Innovation’ can be achieved with 10 additional points [16].The number of points obtained determines the final level of the certification. There are five progressive levels of certification: Pass, Good, Very Good, Excellent and Outstanding (Table 2). In 2006, the Chinese Government released the first national green building assessment standard−GBL. As a CBT, it was developed by Society for Urban Studies and administrated by the Ministry of Housing Urban-Rural Development(MOHURD). The new version 2014 of this standard came into force on 1st January 2015 in order to help achieve the national target in China requiring 30% of all new constructions to be green by 2020 [22]. GBL is classified into five sections being: Landscape, Energy efficiency, Water efficiency, Material and resource, Indoor environment. Similar to BREEAM, GBL certification is a point-based score rating with a percentage weightingsystem. Likewise BREEAM, ‘Innovation’ can also be gained in GBL with 10 additional points. There are three ‘classes’ of certifications in GBL being: one-star, two-star or three-star, with three-star being the highest achievement (Table 2). Figure 1 illustrates the sections in BREEAM and GBL from which scores may be obtained. Due to different number of sections in each method and in order to make the comparison Table 2: Sections and levels of BREEAM and GBL.

Categories and Weighting

Levels of certification and score



Management 12%

Landscape 16%

Health and Wellbeing 15% Energy 15% Transport 9% Water 7% Materials 13.50% Waste 8.50% Land use and ecology 10% Pollution 10% Innovation(additional) 10% Pass 30–44 Good 45–54 Very Good 55–69 Excellent 70–84 Outstanding 85+

Energy efficiency 28% Water efficiency 18% Material and resource 19% Indoor environment 19% Innovation (additional) 10%

one-star«50–59 two-star««60–79 three-star«««80+


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Table 3: Redistribution of credits to the new sections for BREEAM. Land Use and Ecology ● LE01 Site selection ● LE02  Ecological value of site and protection of ecological features ● LE03 Minimising impact on existing site ecology ● LE04 Enhancing site ecology ● LE05 Long term impact on biodiversity Transport ● Tra01 Public transport accessibility ● Tra02 Proximity to amenities ● Tra03 Cyclist facilities ● Tra04 Maximum car parking capacity ● Tra05 Travel plan Energy ● Ene01 Reduction of energy use and carbon emissions ● Ene02 Energy monitoring ● Ene03 External lighting ● Ene04 Low carbon design ● Ene05 Energy efficient cold storage ● Ene06 Energy efficient transportation systems ● Ene07 Energy efficient laboratory systems ● Ene08 Energy efficient equipment ● Ene09 Drying space Water ● Wat01 Water consumption ● Wat02 Water monitoring ● Wat03 Water leak detection ● Wat04 Water efficient equipment Materials ● Mat01 Life cycle impacts ● Mat02 Hard landscaping and boundary protection ● Mat03 Responsible sourcing of materials ● Mat04 Insulation ● Mat05 Designing for durability and resilience ● Mat06 Material efficiency Health and Wellbeing ● Hea01 Visual comfort ● Hea02 Indoor air quality ● Hea03 Safe containment in laboratories

10.00% 2.00% 2.00% 2.00% 2.00% 2.00% 9.00% 3.75% 1.50% 1.50% 1.50% 0.75% 15.00% 5.81% 0.97% 0.48% 1.45% 0.97% 1.45% 2.42% 0.97% 0.48% 7.00% 3.89% 0.78% 1.55% 0.78% 13.50% 5.80% 0.96% 3.86% 0.96% 0.96% 0.96% 15.00% 4.09% 3.41% 1.36%


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Table 3: (continued) ● Hea04 Thermal comfort ● Hea05 Acoustic performance ● Hea06 Safety and security Pollution ● Pol01I mpact of refrigerants ● Pol02 NOx emissions ● Pol03 Surface water run-off ● Pol04 Reduction of night time light pollution ● Pol05 Reduction of noise pollution Waste ● Wst01 Construction waste management ● Wst02 Recycled aggregates ● Wst03 Operational waste ● Wst04 Speculative floor and ceiling finishes ● Wst05 Adaptation to climate change ● Wst06 Functional adaptability Management Man01 Project brief and design Man02 Life cycle cost and service life planning Man03 Responsible construction practices Man04 Commissioning and handover Man05 Aftercare

2.05% 2.73% 1.36% 10.00% 2.31% 2.31% 3.84% 0.77% 0.77% 8.50% 3.80% 0.94% 0.94% 0.94% 0.94% 0.94% 12.00% 2.29% 2.29% 3.42% 2.29% 1.71%

Figure 1: Sections of certification for BREEAM and GBL. between the two methods more meaningful, five shared sections based on universal environmental impacts were identified for both methods. There are landscape, energy and atmosphere, water, materials, indoor environment. The new weightings (%scores) were counted by adding up the individual scores of each section for BREEAM (Table 3) and GBL (Table 4) and in accordance with the aspects embedded in the new five sections identified for both methods.


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Table 4: Redistribution of credits to the new sections for GBL. Landscape


● Lan01 Landutilization ● Lan02 Outdoor environment ● Lan03 Transportation and public services ● Lan04 Site design and site ecology Energy efficiency ● Ene01 Building and envelope ● Ene02 HAVC ● Ene03 Lighting and electrical system ● Ene04 Energy utilisation Water efficiency ● Wat01 Water-saving system ● Wat02 Water-saving utensils and facilities ● Wat03 Utilisation of non-traditional water resources Material and resources ● Mat01 Material-saving design ● Mat02 Material selection Indoor environment ● Ind01 Indoor acoustic environment ● Ind02 Indoor lighting environment ● Ind03 Indoor thermal environment ● Ind04 Indoor air quality

5.44% 2.88% 3.84% 3.84% 28.00% 6.16% 10.36% 5.88% 5.60% 18.00% 6.30% 6.30% 5.40% 19.00% 7.60% 11.40% 19.00% 4.18% 4.75% 3.80% 6.27%

Table 5: New sections and score (%weighting) for BREEAM and GBL.

Landscape ●

Energy and atmosphere



Indoor environment













The colour coding used in Tables 3 and 4 relates to the five new sections as shown in Table 5. The new five sections were standardised on the basis of 100 once the new weightings (%scores) were set up (Table 5). The performance reactivity for BREEAM and GBL is shown on the histogram in Fig.2. BREEAM allocates more points to the landscape section as compared with the other 4 sections. Table 3 demonstrates there are 13 issues included in thelandscape(red colour) allowing for factors related to the sustainability of the landscape choice such as ecology and amenity issues. In GBL more attention has been paid to land utilisation (Lan01) accounting for 34% of the total scores allocated to the landscape section (Table 4). The

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Figure 2: Comparison new sections between BREEAM and GBL. main reason for emphasising this aspect in GBL is due to the shortage of available land in China. The energy and atmosphere performance in BREEAM emphasises on reduction of greenhouse gas emissions, such as CO2 and NOX [16]. This section in GBL attracts the highest portion of scores, 28% of total scores (Table 5). There is a considerable difference in the level of scores allocated to water in the two methods. BREEAM focuses on reducing the demand for potable water, while GBL focuses on optimising water-supply. GBL has higher water weighting compared with BREEAM. Material is the second most prioritised section after landscape in BREEAM in order to minimise the environmental impacts, reducing waste and promoting sustainable sourcing of materials. Indoor environment section relating to lighting, acoustics, thermal and air quality, is a common area in both methods and the weightings are relatively similar. In our study, we have not included management and innovation in the composition of the new five sections. This is due to the fact that management, a category existed in BREEAM for managing the service quality, is not linked to any environmental credit. As for innovation, it is an additional category existed in both BREEAM and GBL. So by excluding the management and innovation in our analysis, the quantifiable results are not affected in terms of environmental sustainability. This has resulted for the total maximum possible scores achievable in the five new sections in BREEAM equate to 88 while the corresponding figure is 100 in CBL (Figs 4 and 5). 4  PILOT STUDY The building selected for the study is 105m tall, 30 story public office building (named building C82), located in Fujian, China, which is currently under construction (2016) and due to be completed by the end of 2017 (Fig. 3). Table 6 lists some characteristics of the building. The area of the site is13,300 square meters. The building has a total floor area of 109,860 square meters, of which 25,678 square meters is underground. Four public transport stations are near the entrance of the site, with walking distances less than 500 meters to the building. The building is made of reinforced concretewithfully glass curtain walling facade.The building is equipped with varied refrigerant volume (VRV) air conditioning system with condensation heat recovery fresh air unit. Rainwater is collected and stored in anunderground tank for reuse as gray water after being flocculated, filtered and disinfected, for purpose such as irrigating the landscape, road cleaning and garagewashing. Gray water is not used for flushing toilets. BREEAM and GBL require energy performance of the design against a ‘Notional ­building’ by using the approved simulation tools according to each standard [23, 24]. For BREEAM,


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Figure 3: The case building-‘C82’. Table 6: Summary information for ‘C82. Location


Gross floor area Site area External wall U-value Window U-value (include glass curtain wall) Roof U-value Heat/cooling generator Thermostat settings(designed)

109,860 m2 13,300 m2 1.02 W/m2K 2.25 W/m2K 0.573 W/m2K Heat pump Summer25oC Winter18oC

the ‘Notional building’ has been defined in the NCM2013 [25] and the simulation software ‘Energyplus’ was used to examine energy performance of the building. For GBL, the ‘Notional building’ has been definedin the national standard GB50189-2015 [24] and ‘PKPM’, the most widespread software for analysing dynamic energy consumption in China, was applied to evaluate the energy performance of the case study building. 5  RESULTS AND CONCLUSIONS This section discusses the main differences in the composition of total score calculated by BREEAM and GBL methods for the building case study. Table 7 present the results obtained from our analyses. The building is classified as ‘Good’ with 50.93 points for BREEAM and two-star with 63.66 points for GBL. The correlations between the results for the corresponding categories can be seen in Figs 4–6. The landscape category encourages sustainable land use as well as better access to sustainable means of transport for building users. The two methods appear to show relatively close scores for the landscape category. The case study building has archived a score of 14.63 in BREEAM out of the

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Figure 4: Score achieved in C82 related to maximum score of the new BREEAM’s sections.

Figure 5: Score achieved in C82 related to maximum score of the new GBL’s sections. Table 7: Results of BREEAM and GBL for the building ‘C82’ GBL. BREEAM


Section Score

Management6.00 Health and Wellbeing11.04 Land Use and Ecology5.00 Transport5.25 Energy6.77 Water3.88 Material7.71 Waste1.88 Pollution7.69 Innovation(additional)0

Landscape11.04 Energy efficiency15.12 Water efficiency15.84 Material and resources10.26 Indoor environment11.40 Innovation(additional)0

Final score Rating

50.93 Good

63.66 ★★

maximum available 24.4 (Fig.4) representing 60% achievement (Fig.6). GBL has estimated a score of 11.04 out of a possible maximum 16 (Fig.5) representing a 70% achievement (Fig.6). According to the results for energy and atmosphere section, similar performance is ascribed to the building C82 by the dynamic simulations, but we can see BREEAM gives fewer points than GBL for this category as seen in Figs 4 and 5. Because the two schemes are based on different energy assessment methods, 46% of the total scores (9.07 out of 16.9 as in Fig. 4)


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Figure 6: Comparison between BREEAM and GBL results(new sections) for the building of C82. are awarded by using BREEAM in comparison with 54% of the total scores (15.12 out of 28 as in Fig. 5) awarded by GBL (Fig.6). The biggest difference between the two methods is the results for the section ‘water’ for the case study building.The reuse of water is highly prioritised by BREEAM, while the percentage of water saved is of concern in GBL. According to GBL requirements, saving water is a practice that has excellent potential for reducing consumption, so the case study building gets a high score for water (15.84 out of 18), while the corresponding score for BREEAM is only 3.1 out of 7 as shown in Figs4 and 5, respectively. Regarding the section of material, both methods consider the percentage of recyclable materials used and the reduction of waste. BREEAM pays more value to low embodied impact materials over their life. Examining the item of materials 43% of the score is related to the total in BREEAM while the corresponding figure is 54% in GBL. For indoor environment, limited evaluations of acoustic, lighting, thermal and air quality are assessed by both methods. BREEAM covers more details than GBL in the Indoor environment section in general and specifically in the containment and secure use. The case study building in BREEAMachieves only 6.13 points out of a maximum possible 15 representing 41% while in GBLscores 11.4 out of a maximum possible 19 representing 60%. The building has achieved a total score of 42.52 out of a possible available 88 points (Fig. 4) representing an overall achievement of 48% in BREEAM while the corresponding figures in GBLis around 64% (Fig. 5). This paper analysed the environmental performance assessment of a case study office building by using two widely used assessment methods, i.e. BREEAM and GBL in China. Among the aims of the study was to compare GBL procedure and its results with those of BREEAM through using both methods in evaluating environmental performance of a case study office building under construction in China. In order to make comparisons between the two methods more compatible and meaningful, it was necessary to devise a new structure within which the credits can be redistributed to five main common sections applicable to both methods. These five new sections are landscape, energy and atmosphere, water, materials, indoor environment, respectively. The comparison showed that the main objectives of BREEAM and GBL methods are very similar and that generally speaking their assessment and certification are relatively close. The

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two methods, however, allocate different levels of emphasis to different assessment criteria. The results obtained are based on analyses carried out for one case study office building in China and hence cautious should be exercised when applying the results universally. REFERENCES [1] Urge-Vorsatz, D., Harvey, L.D.D., Mirasgedis, S. & Levine, M.D., Mitigating CO2 emissions from energy use in the world’s buildings. Building Research & Information, 35(4), pp.379–398, 2007. [2] Asif, M., Muneer, T. & Kelly, R., Life cycle assessment: a case study of a dwelling home in Scotland. Building and Environment, 42(3), pp.1391–1394, 2007. [3] United Nations Environment Programme (UNEP), Buildings: Investing in Energy and Resource Efficiency.UNEP, 2011, available at [4] Sodagar, B. &Fieldson, R., Towards a low carbon construction practice. Construction Information Quarterly (CIQ) Journal Chartered Institute of Building (CIOB), 10(3), pp.101–108, 2008. [5] Fieldson, R., Rai, D. &Sodagar, B., Towards a framework for early estimation of lifecycle carbon footprinting of buildings in the UK. Construction Information Quarterly (CIQ) Journal, Chartered Institute of Building (CIOB), 11(2), pp. 66–75, 2009. [6] Sun, F., Sodagar, B. & Bell, J., Building heating consumptions under present and future climate scenarios. PLEA2013 of the 29th Conference on Sustainable Architecture for a Renewable Future, Germany, 2013. [7] Brunsgaard, C., Dvořáková, P., Wyckmans, A., Stutterecker, W., Laskari, M., Almeida, M., Kabele, K., Magyar, Z., Bartkiewicz, P. &Op’t Veld, P., Integrated energy design Education and training in cross-disciplinary teams implementing energy performance of buildings directive (EPBD). Building and Environment, 72, pp.1–14, 2014. [8] Sharifi, A. & Murayama, A., A critical review of seven selected neighborhood sustainability assessment tools. Environ Impact Assessment Review, 38, pp.73–87, 2013. [9] Haapio, A. &Viitaniemi, P., A critical review of building environmental assessment tools. Environ Impact Assessment Review, 28(7), pp.469–482, 2008. [10] Ali, H.H. & Al Nsairat, S.F., Developing a green building assessment tool for developing countries- case of Jordan.Build Environment, 44(5), pp.1053–1064, 2009. [11] Ortiz, O., Castells, F. &Sonnemann, G., Sustainability in the construction industry: a review of recent developments based on LCA. Construction Building Materials, 23(1), pp. 28–39, 2009. [12] Suzer, O., A comparative review of environmental concern prioritization: LEED vs other major certification systems.Environmental Management, 154, pp. 266–283, 2015. [13] Krause, A.L. & Bitter, C., Spatial econometrics, land values and sustainability: trends in real estate valuation research.Cities, 29(2), pp.19–25, 2012.


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[14] Ford, B., Schiano-Phan, R.&Zhongcheng, D., The passivhaus standard in European warm climates, Passive-on Project, [15] ZabalzaBribian, I., ArandaUson, A. &Scarpellini, S., Life cycle assessment in buildings: state-of-the-art and simplified LCA methodology as a complement for building certification. Building Environment, 44(12), pp.2510–2520, 2009. [16] BREEAM,available at [17] LEED,available at [18] Green star,available at [19] CASBEE, available at [20] Fieldson, R. & Smith, B., Gathering diverse and complex energy use data for monitoring and analysis. London Business Conferences,2007available at www.researchgate. net/publication/237665752 [21] Sodagar, B., Fieldson, R. & Gilroy Scott, B., Design for sustainable architecture and environments. The International Journal of Environmental Cultural Economic & Social Sustainability, 4(4), pp.73–84, 2007. [22] MOHURD, available at [23] Schwartz, Y.&Raslan, R., Variations in results of building energy simulation tools, and their impact on BREEAM and LEED ratings: a case study. Energy & Buildings, 62(7), pp. 350–359, 2013. [24] Ministry of Housing Urban-Rural Development (MOHURD), GB50189-2015: Design standard for energy efficiency of public buildings. MOHURD, China, pp.11–15, 2014. [25] NCM, National Calculation Methodology (NCM) Modeling Guide. Building Research Establishment Ltd, 2013.

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FROM ECOCITY TO ECOCAMPUS: SUSTAINABILITY POLICIES IN UNIVERSITY CAMPUSES L.A. SANDOVAL HAMÓN1, C.E. BAYAS ALDAZ1, J. RODRÍGUEZ POMEDA1, F. SÁNCHEZ FERNÁNDEZ2 AND F. CASANI FERNÁNDEZ DE NAVARRETE1 1Department of Business Organization, and Research Institute on Higher Education and Science (INAECU), Universidad Autónoma de Madrid. Spain. 2Department of Social Psychology and Methodology, and Research Institute on Higher Education and Science (INAECU), Universidad Autónoma de Madrid, Spain.

ABSTRACT Cities generate environmental impacts that have focused the global interest of scientists and authorities on the search for environment-friendly alternatives. The ‘Ecocity’ concept provides an innovative and sustainable vision of how to build and live in these settlements. Translating this vision to the university campus as a small-scale replica of a city is one of the challenges facing higher education institutions. Through teaching, research, outsourcing, association and university management, these institutions can promote and disseminate more advanced activities in sustainability. The purpose of this paper is to analyze the experiences in this area on two different campuses, one urban in a historic city and another suburban in the outskirts of a large city. The methodology adopts a qualitative method based on the technique of the focus group and in-depth interviews with academics and the ‘Ecocampus’ offices from two Spanish universities, one in an urban context and another in a suburban. The hypotheses indicate that sustainable policies in terms of setting, infrastructure, waste and water are best met by the suburban university. The sustainability efforts of the university in an urban environment stand out in energy-related indicators, transportation and education. In general, the paper suggests that higher institutions adapt their sustainability policies depending on the location of the campus; that is, in urban and suburban areas. The implications of this work addresses two perspectives, the first consists in sustainability policies of universities and the second in the contribution of these best practices to the environmental problems of the city. The originality of this study is to learn from the different experiences of sustainability policies of universities with different types of campuses and the influence of these in the development of cities. Keywords: ecocampus, ecocity, higher education, suburban, sustainability, urban.

1  INTRODUCTION The notion of Ecocity “was first proposed in 1971 as a formal scientific concept during the process of the United Nations Educational, Scientific, and Cultural Organization Man and Biosphere Program” [1]. The idea ‘Ecocity’ provides an innovative and sustainable vision of how to build and live in these settlements. “The framework offered by sustainability cannot only be a matter of concern at the governmental level, rather all institutions need to take an active role in achieving the goal of sustainability” [2]. This challenge also can move a small-scale amongst institutions of Higher Education. In this manner, ‘universities are considered to be similar to small towns because of their large size, population, and the various complex activities taking place on campuses’ [3]. Furthermore, universities and research centers have local impacts, such as employment, revenue generators, environmental management and human resources.

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-541-551


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In this context, universities, that have the important role of becoming places for the interchange of new ideas through teaching, researching and university’s management, can promote and disseminate more advanced activities in sustainability and to be vehicles for social change. The purpose of this study is to analyze the experiences of sustainability policies on two different campuses, one urban in a historic city and another suburban in the outskirts of a large city. This paper is organized into five parts. First, conceptual insights from prior studies that had been focused on Ecocity and Greening of campus (Ecocampus), and with emphasis in the sustainability policies (Section 2). Second, the research methodology and an overview of the two cases which are being presented (Section 3). Finally, we present a discussion of the results in Section 4 and the conclusions in Section 5. 2  THEORETICAL BACKGROUND 2.1  Ecocity There is a vast variety of terminology associated with ‘Ecocity’; such as ecological city, green city, ecopolis, garden city and sustainable city. In fact, when the literature analyses a common definition, the authors give different points of view to understand this concept. In other words, there is not consensus with the definition of this kind of alternative city. Despite of this context, some of the most cited definitions are displayed on Table 1. The changes of these big issues for city development require innovation and cooperation of the different agents of the community. Table 1:Ecocitydefinitions. Author(s)


Register [4]

An ecocity indicates a city in which ecology and health are i­ntegrated and the health and vitality of humans and nature are pursued. Register, considered that ecocities are ecologically healthy cities that are compact, dynamic and energy conserving settlements in harmony with nature.

Huang and Yang [5]

An ecocity is a sustainable subsystem sharing a fair quota of carrying capacity in the global or regional ecosystems. Ecocities are complex systems, with harmonious natural environments, just societies, and efficient economies established based on ecological principles and ideological living environments consisting of unique humanistic coordination between human and nature and harmony among people.

Liao and Chern [6]

Ecocities refer to ecologically healthy cities in which economic, social and natural systems are integrated to enable inhabitants to lead high-quality and low impact lives.

Wang et al. [7]

The eco-city is an essential model to achieve sustainable development, and the assessment of an eco-city, forms the quantitative basis of eco-city planning, construction and management effectiveness.

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2.2  Ecocampus – greening campuses Translating the ‘Ecocity’ vision to a university campus, as small-scale replica of a city, is one of the challenges that have to face higher education institutions. There is a common understanding in the literature that a sustainable university campus implies a better balance between economic, social and environmental goals in policy formulation as well as a long-term perspective about the consequences of today’s campus activities [8]. The Ecocampus model adds an innovative guide to articulate a structure, which has challenged the university community to commit to sustainability. The Ecocampus can also become a model for the external community by gathering and sharing effective ideas and practices. Universities can promote a positive image to the greater society that is increasingly concerned with the environmental movement. [2] It is well-known that in a green campus operation, one of the important issues is the energy consumption, in order for “physical changes to existing built infrastructure and changes in the behavior of facility users that will lead to reduced energy use’ [9]. On an Ecocampus model, ‘planning can be helpful in securing American and European government funding to construct energy efficient green buildings and make use of renewable Aeolic-wind and heliacal-solar energy sources and photovoltaic parks. Most importantly, sustainability education provides an opportunity to teach young minds an open, socially responsible philosophy for earth, environment, forest, energy and water conservation’ [10]. Transportation generates a series of direct and indirect effects that should occupy a central position in university policies [11]. For this reason, the research about the transportation, higher education and sustainability has increased in the last decade. Overall, the literature shows that ‘only those students who live on campus walk as a principal mode of transportation to classes and even in this case, there are more students who use private vehicles. For students living off campus, automobiles are by far the principal choice of transportation. Buses are used by many students but bicycling is still fairly rare as a means of commuting’ [12]. Therefore, sustainable transportation policies at the university need to continually reassess their outcomes. In line with the proposal by Kaplan [12] “there is significant potential for increasing the modal share of walking and cycling trips to the campus given the current figures” [11]. Another implication is water use on campuses, ‘the water consumption reduction effort will have fulfilled its role of a precursor action toward the insertion of sustainability practices in the university’ [13]. Finally, other aspects to merge sustainable development into policy and practice, is waste management. Universities generate thousands of tons of waste and this topic has become a key issue for institutions of higher education. The starting point is, separation and quantification of solid residual resources that contribute to the following fact, “It is thus essential to design and implement strategies that will minimize barriers to recycling and previous studies have suggested that a convenient infrastructure also plays a vital role” Kelly et al. (Kelly, Mason, Leiss, & Ganesh, 2006) also, convenience in this case incorporates two factors: the distance to the collection spot where recyclables are carried to and the time spent on recycling activities [14]. 2.3  Urban and suburban campuses Any effort that is made to achieve sustainability must take into account that universities are unique places functioning in specific contexts [15]. Some of the contexts of the campuses


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where these institutions have locations are in the urban and suburban areas. While the universities and sustainability receive much attention in the literature, the context (where they integrate urban and suburban areas with universities and sustainability) is under investigated. In the case of urban areas, universities and sustainability, a study “...evaluate the ecological footprint of an urban, public university in the United States” [16]. This way, an ecological footprint analysis (EFA) for the University of Illinois in Chicago (UCI) included “97,601 global hectares (2.66 global hectares per total faculty, staff and students). The ratio of ecological footprint to land area is very high for a highly urban university (UIC – 1005) as compared to a very rural university (Holmes Lacey College – 1.23)” [16]. A similar study published by Zhang et al. [14] “...Evaluate the ecological footprint of an ecological construction of a public university near urban centers. The institution was Xi’an University of Architecture and Technology from China (21,398 global hectares). Findings of the study say that ‘compared to the large urban universities in North America, university campuses in China show similar high density of land use while appear lower consumption levels and utilization rate of resources’ [14]. In the case of suburban areas, universities and sustainability, Miralles-Guash and Domene [11] analyses the transportation challenges of the Universidad Autónoma de Barcelona (UAB) campus which have arisen from implementing a sustainable transportation policy. These authors recognize that ‘Universities are characterized by the fact that they represent a cross-section of the population from different socio-economic backgrounds and ages, generate irregular schedules and the constant movement of people throughout the day. This is even more noticeable in university campuses located in suburban settings: daily commuting of the university population, longer distances travelled and the predominance of private car use over non-motorized means of transportation’ [11]. 3  METHODOLOGY The research questions are related to the experiences of sustainability policies on two different universities, one mostly urban in a historic city and the other mostly suburban to the outskirts of a large city. A case study method is used to explore the sustainability policies of two types of universities. A qualitative case study method is appropriate, because the aim of this study is to generate fresh and deeper insights into the universities about their sustainability policies relating to the area and the city in which they are located. Data collection included five semi-structured interviews (with academics and the responsible of ‘Ecocampus’ offices), corporate reports and the public domain. We follow a case study research strategy by using a triangulation of various data sources [17]. QDA Miner software was used to analyze the transcriptions of interviews. This methodology allowed presenting the most relevant categories cited by respondents. University ‘A’ refers to a case on an urban setting in one of the most important cities of Spain, which has been declared World Heritage by UNESCO as well, the institution, has more than 27,000 students and 5400 staff. It has three campuses where 60% of the university community is in downtown and the 40% is in the external campus. University ‘B’ is above all a suburban public university of Spain. With about 25,000 students, more than 2400 staff, University ‘B’ offers a comprehensive range of graduate and postgraduate studies in its eight faculties: seven in a suburban campus and one in an urban campus.

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As for the importance of the university within city development, the Chief for the Office of General Affairs widely justified it by stating “University A is one of the biggest enterprises in the City”. Furthermore, this university has occupied for many years a very important position on the UI Green Metrics ranking, being a green campus with some limitations, one of the most significant are their historical buildings, like the Chief’s quote: “…An important issue is when the infrastructure is old, it can’t even get certify with an important energy classification, because if the building its notrate with a specific energy classification, it won’t get the certification”. Additionally, the Chief indicated other barriers to consider in green campus operation: “To design a plan to change heaters or to adapt to better systems would take 15 years, like everyone knows the problem for universities is about budget, in the community, we all want a sustainable university but there is not enough money, so that we create a plan that can be afford with no money, or at least self-sufficient”.

“At the external campus, which has the newest buildings, we had the opportunity to make a renewable energy sample of a biomass boiler, cogeneration of natural gas, photovoltaic solar energy, mini wind power generation” 4.2  Suburban university B In line with the implementations for sustainable development strategies, the Ecocampus Office was founded in 1997 at university ‘B’. The guidelines sustainability policies at University ‘B’ are similar for the two campuses although the context was considered for its adaptation. In the case of sustainability policies related to water, suburban campus ‘B’ has a wide ground for grass and despite measures such as drip irrigation lawn, the extension of grass is a variable that affects a considerable proportion of water consumption on campus. This university has favored other technical measures for water management such as: ‘that all taps have diffuser and that the cisterns have double switch. In addition, this university has tried other types of gardening and design of the city to rethink public space that is not only meadow grass, but also other materials that involve different types of maintenance and cleaning’. In short, the awareness of the university’s community requires more effort than the technical measures. These technical measures are solved with more financial resources available. An advantage of a suburban university as ‘B’ is that fast visibility of sustainable initiatives. In fact, according to a professor of this university “…all people know each other and everything that you do has an immediate impact, such as: green week...” In the words of the person responsible for the Ecocampus office, ‘communication between faculties of a suburban campus is interesting because when any conference is scheduled on any of the faculties, people can participate more easily than other types of campuses”. For a public institution of higher education, ‘B’ is sensitive to environmental policies, although a professor of this university stated that these kinds of institutions need “a global institutional policy, with an awareness that extends all levels”.


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4.3  Descriptions of universities about Green Metrics According to 2015 IU Green Metrics the two universities ‘A’ and ‘B’ are in the best positions in the ranking amongst Spanish universities. However, there is a difference of 20 positions between urban university ‘A’ and the suburban university ‘B’. Figure 1, shows the results of each university ‘A’ and ‘B’ with a difference of about six GreenMetrics indicators. Overall, ranking by indicators show that sustainable policies in terms of education, transportation and energy-related indicators have better scores by the urban university, while the suburban university achieved the highest scores in the setting and infrastructure, water and waste indicators. 4.4  Sustainability policies from ecocampus Figure 2 shows the frequency of the main key words which have been used regularlyin depth interviews, most of the time in both cases, the word ‘campus’ is mention in 24% of the conversation; also, ‘suburban’ is important to highlight the 12% of comments; the main idea in this type of campus is how new infrastructure can be a very interesting contribution to a green campus, the Chief of the department at university A declared “The University’s energy consumption is 50% of thesuburban campus”, as well as the person responsible of Ecocampus’ office at university B added “advantage of being a suburban university is the good communication between faculties and buildings, we are like a small city where all the community knows each other, and everything has a big impact, also the access to our campus is easier than other type of campus…” The two views are interesting and illustrate that there are some considerable evident differences between an urban campus and suburban one according to the settings and context. With respect to Fig. 3, the software has been selected a second group of words which are less frequent than the ones shown on Fig. 2. However, not less relevant, transportation, sus-

Figure 1: Comparative UI green metrics indicators.

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Figure 2: Frequency of key words – topics.

Figure 3: Frequency of key words - Sub ………... topics.

tainability, consumption and money are concepts that have been emphasized. “The people’s quality of life whom live in the same city where the university is make a difference, the community can move around the city at the same time as the university campus; nevertheless, to move by vehicle is more difficult, because of being in a historical city. There is not enough parking spaces inside the city.” – said the person interviewed from University A. As opposed to university A’s person interviewed, the person interviewed from University B said “there are not limitations for transportation by car”. Nevertheless, both universities agree that transportation is a challenge to improve. Additionally, there is a relation between sustainability and


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Figure 4: Frequency of codes.

economic resources, “the economic crisis has made it a challenge to be sustainable as well as prioritizing budget decisions” interviewees of university A said, and people from university B also said “the country’s crisis have affected green initiatives”. In this context, the answers about the sustainability of their campus are focus in same UI Green Metrics indicators; Fig. 4 describes a clear idea of a reference of every type of campus, urban, suburban and campuses to refer for both campuses (urban and suburban). Suburban campus in University B is notable in water indicator, as a consequence of its environment. The optimization of water consumption is based on the correlation with the university’s community awareness and the green areas of the campus. “The awareness is a very complicated problem, in summer when the grass is not green there are a lot ofemails asking what happen with the irrigation of the gardens, not everybody is aware of spending water” – responsible from University B’s Ecocampus. Another substantial benefit is the encouraging

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waste indicator. This suburban campus is responsible for the completed waste management system, because the source of water comes to the campus without any purification treatment. Whereas University A’s strength is energy while it has limitations energy efficiency and conservation is an initiative that has been strongly focus to improved building’s technology, also incorporating academic programs for students to learn with its renewable energy equipment. “A student may be taught in how this technology works” – interviewee from university A. Based on our findings from the literature study to be an Ecocampus, an important characteristic for the reduction of energy use is to built sustainability infrastructures and establish performance improvement programs under capital constraints, Faghihi et al. [9] “focus in physical changes and changes in the behavior of facility users that will lead to reduced energy use”. Also, Petratos and Damaskou [10] to take a model of green energy efficient buildings with some renewable energy sources which are the key to provide sustainable education as well as University ‘A’ does. Literature compiled some of the more common models of transportation in a university community have a “...significant potential for increasing the modal share of walking and cycling trips...” [12], and this is a potential strategy in both cases of universities where the Ecocampus offices have bicycle programs; according to Fig. 3, bicycle is a relevant subtopic classified for both universities interviewed as an outstanding task to improve. In this framework, strategies conservation actions were selected based on each case, and whether the literature cases measured water consumption control adopted by each campus setting [13]. On one hand, the City Hall’s water management saves operations’ budget, and meanwhile, in a suburban campus, the institution is responsible to make water drinkable and all the purification system, representing high cost. 5  CONCLUSIONS In this paper, we began by acknowledging that Ecocity is one of the main sustainability challenges faced by today’s society and how this vision is applied, under the Ecocampus concept, to the sustainable policies on university campuses. The main initiatives are related with energy and water consumption, transportation and mobility and waste reduction and recycling processes. The current work has examined the experiences of sustainability policies of two different campuses of Universities in Spain, one urban setting in a historic city (University ‘A’) and the other suburban setting in the outskirts of a large city (University ‘B’). The main lesson derived from the analysis of these case studies is that urban university ‘A’ has encouraged the economic and social development of the city, while the suburban university ‘B’ has greater autonomy with a reduced impact in the local settlements. Overall, the results of university ‘A’ and ‘B’ about Green Metrics indicators and with the depth interviews, indicated that sustainable policies in terms of energy indicators have better scores by the urban university, but this kind of campus has limitations with historical infrastructure, while the suburban university has better outcomes in the water and waste management. Both universities need to improve the sustainability policies of the transportation. The guidelines for sustainability policies for Universities ‘A’ and ‘B’ are similar for both campuses. However, there are aspects such as, location and the economic resources of the university, which have a direct effect on adaptation measures of sustainability policies. Ecocity and Ecocampus have similar challenges from different scales. In fact, both concepts are inter-related, because both administrations, local and university, should work in


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coordination to cope with the environmental problems that they have to face. This exploratory study offers the local authorities and the academic community some interesting environmental experiences in university campus. ACKNOWLEDGEMENTS This research was supported by the project “Research on energy efficiency and sustainable transport in urban areas: analysis of scientific development and the social perception of the subject from the perspective of metric information studies” (CSO2014-51916-C2-1-R). Spanish Ministry of Economy and Competitiveness (2015-2018). REFERENCES [1] Jun Zhu, D.X., City School Books–Eco-city Theory, China Social Sciences Press: Beijing, China, 2000. [2] Finlay, J. & Massey, J., Eco-campus: applying the ecocity model to develop green university and college campuses. International Journal Sustainability in Higher Education, 13(2), pp. 150–165, 2012. [3] Alshuwaikhat, H.M. & Abubakar, I., An integrated approach to achieving campus sustainability: assessment of the current campus environmental management practices, Journal of Cleaner Production, 16(16), pp. 1777–1785, 2008. [4] Register, R., Ecocity Berkeley: Building Cities for a Healthy Future, North Atlantic Book: Berkeley, CA, 1987. [5] Huang, Z.Y. & Yang, D.Y., The theoretical approach of the ecological city. City Planning Review, 25(1), pp. 59–66, 2001. [6] Liao, Y.T. & Chern, S.G., Strategic ecocity development in urban-rural fringes: analyzing wulai district. Sustainable Cities and Society, 19, pp. 98–108, 2015. [7] Wang, Y., Ding, Q. & Zhuang, D., An eco-city evaluation method based on spatial analysis technology: A case study of Jiangsu Province, China. Ecological Indicators, 58, pp. 37–46, 2015. [8] Newman, L., Change, uncertainty, and futures of sustainable development.Futures, 38(5), pp. 633–637, 2006. [9] Faghihi, V., Hessami, A.R. & Ford, D.N., Sustainable campus improvement program design using energy efficiency and conservation. Journal of Cleaner Production, 30, pp. 1–10, 2014. [10] Petratos, P. & Damaskou, E., Management strategies for sustainability education, planning, design, energy conservation in California higher education. International Journal of Sustainable in Higher Education, 16(4), pp. 576–603, 2015. [11] Miralles-Guasch, C. & Domene, E., Sustainable transport challenges in a suburban university: The case of the Autonomous University of Barcelona. Transport Policy, 17(6), pp. 454–463, 2010.

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[12] Kaplan, D.H., Transportation sustainability on a university campus. International Journal of Sustainable in Higher Education, 16(2), pp. 173–186, 2015. [13] Marinho, M., do Socorro Gonçalves, M. & Kiperstok, A., Water conservation as a tool to support sustainable practices in a Brazilian public university. Journal of Cleaner Production, 62, pp. 98–106, 2014. [14] Zhang, J., Liu, J., Liu, W., Wang, L., Shi, H. & Du, H., Comparative analysis of ecological footprint on ecological campus of a Urban University in China. Advanced Materials Research, 616–618, pp. 1085–1089, 2013. [15] Tolley, R., Green campuses: cutting the environmental cost of commuting. Journal of Transport Geography, 4(3), pp. 213–217, 1996. [16] Klein-Banai, C. & Theis, T.L., An urban university’s ecological footprint and the effect of climate change. Ecological Indicator, 11, pp. 857–860, 2011. [17] Yin, R.K., Case Study Research: Design and Methods, Sage publications, 2003.

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SMART MONITORING OF BENZENE THROUGH AN URBAN MOBILE PHONE NETWORK LUCA DALLA VALLE1, ELENA CRISTINA RADA1, MARCO RAGAZZI1 & MICHELE CARAVIELLO2 1Department of Civil Environmental and Mechanical Engineering, University of Trento, Italy. 2Telecom Italia, Joint Open Labs, Trento, Italy.

ABSTRACT Benzene is one of the main air pollutants because of its dispersion throughout the territory and its carcinogenicity. Thus, in accordance with the current European Directive 2008/50/EC, benzene is monitored punctually in EU countries. In this context, the University of Trento and Telecom Italia, in response to specific studies, have developed an approach that could be conceptually divided into two phases: (A) the first one assumes the distribution of low-cost sensors to a part of the local population for the monitoring of carbon monoxide that, in this case, could be used for its indirect role of tracer. These sensors, compatible with smartphones and therefore with the network, allow acquiring remotely a huge amount of data that could be used to create detailed maps of air quality after a process of validation/selection (based on algorithms already developed by Telecom). (B) The second phase is based on the fact that the correlation between carbon monoxide and benzene is scientifically proven in homogeneous areas; thus, through an ad hoc study, it is possible to set a specific correlation carbon monoxide – benzene for each pre-selected area. The result of this method is quantitative information on exposure of the resident population to benzene with a detail not reachable through conventional approaches and suitable for an enhanced activity of decision makers. For a full scale exploitation, this approach requires an economic effort achievable only with external financing as, presently, the official monitoring activity allows only conventional actions. Keywords: correlation CO – C6H6, human exposure, low cost and portable sensors, new approach, smart monitoring.

1  INTRODUCTION Air pollution is one of the major environmental health problems to which about 7 millions of premature deaths are ascribable worldwide. This finding confirms that air pollution is now the world’s largest single environmental health risk [1–5]. In particular, the same WHO estimates approximately 80% of premature deaths related to air pollution are caused by ischemic heart disease and stroke, 14% of deaths are due to chronic lung disease or acute infections of the lower respiratory tract, and finally, the 6% of deaths are due to lung cancer. Related studies have shown that these diseases are related to several factors, such as the consumption of tobacco combined to air pollution promote lung cancer. These studies also showed some of these deaths could be prevented improving air quality or reducing the consumption of tobacco [6]. The problem of air pollution is still related to sources that could not be managed and controlled by the individuals (transports, waste, construction, agriculture, etc.), it is why in recent years, especially in advanced countries, a specific legislation focused on air quality standards has been developed. For example in European countries, enacting the European Directive 50/2008, it was necessary also to establish monitoring networks in order to control the concentrations of the main pollutants. This methodology employs expensive equipment that need

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-552-558

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fixed locations or dedicated mobile stations. Then the collected data are used to extrapolate the air quality throughout the related area, only for some of the pollutants monitored. However, with this method, there are pollutants, with significant impacts on health and environment, excluded from the air quality analysis. It is important to note the general environment reveals different and multiple air contaminants’ concentrations. The advantage of the mobile platforms instead of traditional monitoring station is the ability to acquire air quality data referred to a wider area. This is very important considering for example the different effect regarding air pollution, in space and time, referred to the primary emissions and secondary formation. Another important factor to take in consideration is the high level of temporal changes that affect generally the air in our cities [7]. The mobile measurements consent to monitor better this kind of pollutant data also to a micro-scale level of variation. The mobile monitoring could also be used to collect data on a wider level in term of space and time [8] and need to be taken into account on a European level for future recommendations regarding the air quality to the related countries. The objective of this study is to create spatial and temporal high-resolution maps of a determined pollutant currently measured in few fixed stations in the referred area. With this kind of monitoring, it is not possible to extrapolate the concentrations in the related area. For the purpose of this study, the polluting substance chosen is benzene (C6H6): a colourless hydrocarbon, with a characteristic odour, highly inflammable, in volatile liquid form, able to evaporate quickly. Its dispersion in the atmosphere, being a natural compound of petroleum and its derivatives, is due for the most part to the vehicle traffic (over 80%), as used as antiknock in gasoline [9]. The hazard level of benzene is due to its strong toxicity; in facts, its carcinogenicity was classified belonging to the group 1 by the International Agency for Research on Cancer [10]. The substances included in this group have been proved to be carcinogenic to humans, and in this regard the IARC specifies [11]: this category is used when there is sufficient evidence of carcinogenicity in humans. Exceptionally, an agent may be placed in this category when evidence of carcinogenicity in humans is less than sufficient but there is sufficient evidence of carcinogenicity in experimental animals and strong evidence in exposed humans that the agent acts through a relevant mechanism of carcinogenicity. If inhaled in high concentrations it could cause death; at lower concentrations may still cause disorders such as drowsiness, headache, dizziness, tachycardia, confusion or loss of consciousness [9]. 2  MATERIAL AND METHODS The idea that is gaining ground in many academic environments is a denser monitoring network, based on devices with lower costs and better distributed on the territory. Moreover, given the prevalence of smartphones, it is felt the need to have free and real time data access. All this could lead to a raise awareness of the people on air pollution, an issue of great ­importance and relevance, as well of public interest. In this context, the University of Trento and Telecom Italia have developed an approach based on low-cost and portable sensors that allows the collection and elaboration of polluting data with a high spatial resolution and in real time. This method can be conceptually divided into two phases. 2.1  Phase A: SecondNose The SecondNose system is composed by four components: an air pollution sensor, an Android mobile phone application, a backend with collection and analytics components and a web application to visualize the data [12].


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Figure 1: Portable multi-sensor SensordoneTM.

Eighty portable multi-sensor Sensordrone™ (Fig. 1) were distributed among the population of Trento (Italy). This detector was produced from Sensorcon, an American company with over ten years of experience in the design, production and integration of environmental sensors. Such tool, inter - connectable with smartphones through special applications, is equipped with various types of sensors such as precision gases, oxidizing gases, reducing gases, temperature, humidity, pressure, infrared temperature, capacitive proximity, intensity of colour (red, green and blue) and brightness. Sensordrone™’s dimensions are 6.78 × 2.80 × 1.24 cm3. This tool provides a carbon monoxide concentration measurement with a quite good precision (resolution: 1 ppm; range: 0–2,000 ppm; accuracy: ±10% of reading; response time: 10–20 seconds to reach 90% of final signal; [13]), but on the other hand with not satisfactory reliability for the criteria required by the current law and regulations. Need to be underlined that the purpose of this paper is the presentation of an innovative approach in the field of the air quality monitoring and not an accomplished method, at least regarding the instrumentation. Through an Android mobile phone application, it is possible for the users to visualize a real-time data collection from the ambient sensor Sensordrone™. The application provides real-time feedback reporting: the temperature detected, the atmospheric pressure trend, that is, based on the last ten samples of pressure, and the overall air quality, on a 5-values scale based on EPA AQI colouring scheme. It is also necessary, for a proper analysis of the data, to distinguish if the sensor is located in indoor or outdoor environment. For this purpose, Telecom has developed a prototype, still to be finalized, based on an algorithm that could differentiate the signals between indoors and outdoors environments. Since April 2014, for few months, data had been remotely collected, with an interval of five minutes and a daily total of 30k of data, values related to: temperature, pressure and the concentrations measured from the Sensordrone™ Precision gas sensor, pre-calibrated on carbon monoxide (CO). As explained better in the second stage, the CO is used in an indirect manner as a tracer for benzene. The web application provides access to the aggregated data of the last seven days collected from the reading of the users involved. In particular, the CO concentration levels, geo referenced using GPS, are inserted into a map and spatialized on the area considered after a process of validation / selection based on algorithms developed by Telecom (Fig. 2). There is therefore the opportunity to view the history of personal measurements and, anonymously, the ones collected by other users. It is also possible to have the detailed air quality maps referred to the pollutant considered.

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Figure 2: Example of a monoxide carbon’s concentration map. 2.2  Phase B: Correlation carbon monoxide – benzene The correlation between carbon monoxide and benzene has been scientifically proven: there are many studies recognizing trends of similar concentration for the two pollutants in homogeneous areas [14, 15]. This correlation is due to the fact that the two pollutants’ main sources of emission are the same [14] among which: the vehicular traffic, the combustion of the wood and the tobacco’s smoke. Another correlation’s factor between the concentrations of carbon monoxide and benzene has been found: the atmospheric lifetime of benzene, that could last for several days [16]. That means that benzene is removed from the urban environment by meteorological processes, which is how CO is mostly removed [17]. Through an ad hoc study, it is possible to set a specific correlation carbon monoxide – benzene for each pre-selected area. It is possible to establish a relationship of proportionality between the two pollutants considered, starting by measured data in the fixed monitoring stations (determined station as required by the European Directive 50/2008). This relationship could be explicated through different expressions depending by the choices made during the study of the pollutant concentration’s data. This is also due to some gaps at regulation and law level to a precise procedure in this regard. Some Italian Regional Agencies for Environmental Protection (ARPA) have already analysed and used the correlation between carbon monoxide and benzene for further deductions and observations. In the Table 1, some correlation - relationships could be observed as reported from different Italian ARPA. Uniformity as already reported above is not present in the formulation of this table.


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Table 1: Some ARPA’s correlation between CO – C6H6. Correlation CO - C6H6 (*)




[C6H6] ≈ 2 * [CO]

Emilia Romagna



[C6H6] = 3.465 * [CO] – 0.3616




[C6H6] = 2.017817 * [CO]





[C6H6] and [CO] are respectively expressed in μg/m3 and mg/m3

Once got the correlation- relationship between carbon monoxide and benzene, it is sufficient to apply it to the monoxide carbon concentrations’ data measured by Sensordrone™. Applying this method air quality’s maps could be provided related to benzene at high spatial and temporal variability. 3  RESULTS AND FUTURE DEVELOPMENTS The result of the approach developed jointly by the University of Trento and Telecom Italy is a quantitative information on the exposure of the resident population to carcinogenic substance as benzene. This approach, extendible to other pollutants, primarily allows to sensitize and erudite the population on an issue very important as the air quality is. This theoretically could lead to improve the life quality of the population involved, limiting as much as possible the exposure to certain pollutants. At this regard, changing the route of the journey or minimizing the permanence in the areas with the highest concentrations could be practical examples. Moreover, the authorities and the decision makers could find in so detailed information and data analysis a useful tool to understand which are the critical areas. This could help also to define more appropriated solutions and plans in order to reduce pollutants’ exposure. However, such considerations make sense only with regard to very detailed information that nowadays is impossible to get from conventional approaches. On the other hand, it is clear that the approach here presented would like to be an example of an innovative method and not a concrete proposal. For a full scale exploitation further studies are needed, possible through an economic effort achievable only with external financing. In fact there are many aspects that would deserve an in-depth analysis, here are illustrated the main ones:

• • • • •

To develop a sensor with the sensitivity and reliability to ensure this approach could meet the requirements imposed by the relevant law and regulations; To establish the sensor density (n. Sensors / km2) useful to obtain a number of data necessary in order to proceed: previously to their validation and then to the spatialization on the related area; To study a standard methodology in order to set a correlation CO - C6H6 starting from fixed stations’ data, also for other pollutants; To study a methodology able to define the extension of the area within which the ratio of carbon monoxide – benzene could be considered homogeneous; To study an algorithm that allows users (of sensors) passing close to the fixed monitoring stations to reset the baseline’s sensor that could provide certainly more precise values.

In conclusion, also with the above mentioned in-depth analysis, this approach could be thought as a support and a complement to the possible gaps of the current legislation. This

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could help in the future to develop an air quality mapping with a higher spatial and temporal variability. REFERENCE [1] 7 million premature deaths annually linked to air pollution, World Health Organisation (WHO), available at: [2] Schiavon, M., Redivo, M., Antonacci, G., Rada, E.C., Ragazzi, M., Zardi, D. & Giovannini, L., Assessing the air quality impact of nitrogen oxides and benzene from road traffic and domestic heating and the associated cancer risk in an urban area of Verona (Italy). Atmospheric Environment, 120, pp. 234–243, 2015. [3] Rada, E.C., The sustainable city and air pollution. WIT Transactions on Ecology and the Environment, 191, pp. 1369–1380, 2014. [4] Schiavon, M., Antonacci, G., Rada, E.C., Ragazzi, M. & Zardi, D., Modelling human exposure to air pollutants in an urban area. Revista de Chimie, 65(1), pp. 61–64, 2014. [5] Rada, E.C., Ragazzi, M., Brini, M., Marmo, L., Zambelli, P., Chelodi, M. & Ciolli, M., Perspectives of low-cost sensors adoption for air quality monitoring. UPB Scientific Bulletin, Series D, 74(2), pp. 243–250, 2012. [6] Ambient (outdoor) air quality and health, World Health Organisation (WHO), available at: [7] Van den Bossche, J., Peters, J., Verwaeren, J., Botteldooren, D., Theunis, J. & De Baets, B., Mobile monitoring for mapping spatial variation in urban air quality: Development and validation of a methodology based on an extensive dataset. Atmospheric Environment, 105, pp. 148–161, 2015. [8] Kuhlbusch, T.A., Quincey, P., Fuller, G.W., Kelly, F., Mudway, I., Viana, M., Querol, X., Alastuey, A., Katsouyanni, K., Weijers, E., Borowiak, A., Gehrig, R., Hueglin, C., Bruckmann, P., Favez, O., Sciare, J., Hoffmann, B., EspenYttri, K., Torseth, K., Sager, U., Asbach, C. & Quass, U., New Directions: the future of European urban air quality monitoring. Atmospheric Environment, 87, pp. 258–260, 2014. [9] Benzene; United States Environmental Protection Agency (USEPA), available at: http:// [10] International Agency for Research on Cancer (IARC), Chemical agents and related ­occupations - vol. 100F - A review of human carcinogens, IARC monographs on the evaluation of carcinogenic risks to humans, Lyon, 2012. [11] Preamble; International Agency for Research on Cancer (IARC), available at: http:// [12] Leonardi, C., Secondnose: an air quality mobile crowdsensing system, Proceeding of the 8th Nordic Conference on Human-Computer Interaction: Fun, Fast, Foundational (NordiCHI ‘14), eds. B. Lepri, A. Cappellotto, F. Antonelli & M. Caraviello, Association for Computing Machinery (ACM): Finland, pp. 1051–1054, 2014. [13] Developer Guide and Sensor Specs, Sensorcon, available at:


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[14] National Research Council of the National Academies (NRC), Managing Carbon Monoxide Pollution in Meteorological and Topographical Problem Areas, The National Academies Press: Washington D.C., 2003. [15] Von Schneidemesser, E., Monks, P.S. & Plass-Duelmer, C., Global comparison of VOC and CO observations in urban areas. Atmospheric Environment, 44, pp. 5053–5064, 2010. [16] Air quality in Europe — 2012 report; European Environment Agency (EEA), available at: [17] Benzene; United States Environmental Protection Agency (USEPA), available at: http:// [18] Rapporto annuale sulla qualità dell’aria Comune di Reggio Emilia; ARPA Emilia Romagna, available at: re/sinmet_rapparia_2000_comunere.pdf [19] Campagna di monitoraggio qualità dell’aria, Comune di Verbania; ARPA Piemonte, available at: Relazione_ARPA_2001_I.pdf [20] Campagna di monitoraggio della qualità dell’aria con laboratorio mobile; ARPA Puglia, available at: &cd=2 &cad=rja&uact=8&ved=0ahUKEwjulrekqffLAhXJiCwKHbrYC0sQFgghMAE&

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ABSTRACT In 2014, former Governor General of Canada Adrienne Clarkson gave a lecture series entitled Belonging: The Paradox of Citizenship. In her first lecture, Clarkson questions the dominant notion of evolution as an “upward staircase” producing ever-more superior versions of species and societies. She contends rather that evolution is a kaleidoscope, in which evolving subjects are constantly shifting and adapting to changing stimuli. The concept of “evolution as a kaleidoscope” can be applied to longrange community planning. This perspective suggests that community development is less about urban areas trying to be better than others and how they once were, and more about a continuous movement towards resiliency and relevancy in the face of external realities, be they economic, environmental, social or otherwise. In Lethbridge, a city in southwest Alberta, Canada, approaching a population of 100,000, the evolutionary kaleidoscope is shifting. As the City nears this meaningful moment, it offers a unique opportunity for self-reflection, revealing a City increasingly influenced by conversations about the environment, demographics and relationships with Indigenous peoples. Resiliency and relevancy are presented as tools to help bring focus to complex, changing and often daunting external realities. This article explores resiliency, relevancy and community evolution through the City of Lethbridge’s on-going long-range planning work. Keywords: Alberta, community engagement, community planning, Lethbridge, long-range planning, resiliency, relevancy, reconciliation.

1  INTRODUCTION The community planners at the City of Lethbridge will tell you—tongue firmly planted in cheek—that at precisely 9:36 am on 28 March 2018, the population of the City of Lethbridge will reach 100,000 people. Despite the significant milestone, no one suggests that this turn of the population odometer will result in a real or immediate shift in community perceptions, expectations or even municipal servicing strategies. Like most things in the world of urban development, those types of changes are gradual and are influenced by a multitude of factors, not simply population size. However, what 100,000 does offer is an opportunity. Perhaps because of the subconsciously appealing roundness of the number, it catches people’s attention and, when nudged, allows them to reflect back on what it means to live in a city that size. How does a city of 100,000 look and feel? What services does it provide? How does it consider the environment? Where do people work, live, and play? How do citizens get engaged? There is no shortage of intriguing questions that municipal staff would love to ask residents leading up to this particular moment in time to get a glimpse of what the future may hold.

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-559-569


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For planners, this is a rare opportunity. While the work of long-range planning is essentially ask and analyse these types of questions constantly, it is typically a frustrated process confounded by planners’ struggle to relate to residents and explain the goals of their work. This may be because it is often difficult for residents to see themselves in the long timelines of such work and in the long-range plans themselves, leaving them little incentive to ­participate. Beyond being presented with a unique opportunity to frame values and visioning questions, Lethbridge’s planners also recognize 100,000 as a chance to reflect on prevailing ideas of community development. It is a chance to consider what it means for a city to evolve over time, and how each new emerging iteration of the city relates to the fundamental values and external realities relevant at that moment: be they economic, environment, social or otherwise. This article explores the journey that the City of Lethbridge is currently taking to conceptualize its next iteration of future growth, as captured through its highest-order statutory plan, the Municipal Development Plan or MDP [1]. Two key concepts—resiliency and relevancy—are presented as tools to help bring focus to complex, changing and often daunting external realities that influence the evolution of a community. These concepts are particularly relevant in Lethbridge as it nears its key moment of reflection, and relate to three key conversations: protection of the local environment, adapting to changing demographics, and building relationships with Indigenous peoples. Before discussing the City’s current long-range planning work, it is important to first discuss the meaning of “community evolution,” introduce the City of Lethbridge, and shed light on the key external realities the City currently faces. 2  AN ALTERNATIVE VERSION OF COMMUNITY EVOLUTION In 2014, former Governor General of Canada Adrienne Clarkson gave a series of lectures entitled Belonging: The Paradox of Citizenship [2]. In her first lecture, “The Circle Widens”, Clarkson questions the predominant notion that evolution is an “upward staircase” producing ever-more advanced or superior versions of species or societies. (In this article, I expand the idea of evolution to also include communities as another type of evolving subject.) In this prevailing evolutionary paradigm, the evolving subject changes over time to become better than it once was. Evolution in this sense is seen as both the means and the end: to become better for the sake of being better. When we look forward up the staircase we see our better selves, and when we glance back, we see how far we have progressed. From this perspective, as cities grow and develop, the pursuit of superiority reigns supreme. That perspective often translates into inter-municipal competition and unrelenting boosterism. Immediately after Clarkson suggests this version of evolution, she refutes it. She contends rather that evolution is more accurately seen as a kaleidoscope, quoting A General Theory of Love, in which the “shapes and varieties of species are constantly shifting” (p. 22, [2]). In this alternate reading, species or in our case communities change in relation to something else, often outside pressures or stimuli, and not just for their own intrinsic betterment. The stimuli influence how the kaleidoscope turns and how the resulting image (the community) emerges. Thinking about community evolution in this way links us with other concepts such as resiliency and relevancy: resiliency is defined by the Gaia Foundation [3] as “…the capacity to mitigate (diminish impacts) or adapt (respond to change)”, and relevancy is defined by the Oxford Dictionary [4] as “The quality or state of being closely connected or appropriate”.

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2.1  Resiliency and relevancy Before resiliency and relevancy are achieved, a community must first understand its place within larger processes (environmental, social, economic, etc.), and have an acute awareness of what may lay on the horizon. A community cannot, as the Gaia Foundation suggests, mitigate (diminish) or adapt (remain flexible) to the impacts of incoming pressures if there were unanticipated, or at the very least, if once experienced, there is no way of knowing what the effects might be. From the perspective of resiliency, while it may be impossible for a community to predict when an extreme weather event may come, a state of resiliency implies knowing the most likely types of events, planning for their occurrence, and building mitigating and adaptive properties (including attitudes) into the structures and systems that will face the greatest of the events’ forces. From the perspective of relevancy, a relevant community knows the impacts of demographic changes over time, is familiar with its demographic profile, and is aware of the underlying values, needs and challenges of each constituent group (the elderly, new immigrants, Indigenous peoples, youth, etc.). In this example, relevancy also implies that a community has taken steps towards reflecting its diversity in the way it engages and interacts with residents. For example, does the community translate its website or program materials into the languages most widely spoken in the community? Is the diversity of the community reflected in the administrative staff, who greet residents when they show up at City Hall? With these concepts in mind, it is my contention that communities capable of remaining resilient and relevant in the face of new outward pressures can thrive, while those that cannot, face potential economic and infrastructural decline, social fracturing and political irrelevancy. If we support the contention that evolution is a kaleidoscope, we begin to see community development and growth in a new way. Evolution is less about trying to be better than before and better than others, and more about constantly shifting to be better suited and more responsive to the ever-changing world. From there, and as current external realities start to enter our consciousness, we begin to challenge prevailing paradigms such as “growth pays for growth”, (the idea that infrastructure and servicing requirements of endless urban expansion are financially sustained through the added tax revenue of the growth itself), how we relate to the environment, and even the ways in which we speak to our residents. In Canada and North America, some noticeable external realities include:

• • • • •

Massive municipal infrastructure deficits [5], leading some American municipalities to declare bankruptcy [6]; Fragmented landscapes/land-use competition [7]; Growing cultural diversity in communities [8]; Changing global and local climates; and Stronger Indigenous voices in conversations about resource development and conservation.

Like many places in North America, Lethbridge is not alone in observing change on the horizon. Many communities across Canada and the world have identified that the world is a different place than it was after World War II or even a few years ago, and that a new set of realities are driving future planning and decision making. However, every jurisdiction has a


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unique history, and is guided by local values that, along with a similarly unique set of external stimuli, help to shape its on-going evolution—as has always been the case. Lethbridge’s community planners are approaching their current work to update the City’s guiding long-range plan (the MDP) from the second “evolutionary perspective:” that collaboration, openness to new perspectives, and a willingness to understanding the realities around them can do nothing but lead to better, more informed outcomes and a more resilient, relevant community. 3  CITY OF LETHBRIDGE, A BRIEF HISTORY Lethbridge is located in southwestern Alberta, at the confluence of the St. Mary and Oldman Rivers, within the South Saskatchewan River Watershed. The City is approximately 200 km south of Calgary, the province’s largest City, and 100 km north of the United States border. Lethbridge is a regional economic, service and educational hub in southwest Alberta, and has a trade area of over 275,000 people stretching west into the neighbouring province of British Columbia and south into the US [9]. The City of Lethbridge is almost entirely surrounded by the Lethbridge County, a municipality economically and culturally linked to agriculture. The City also shares a meandering 10-km border with the Kainai First Nation. The pre-contact history of the region stretches back millennia, what the Indigenous Blackfoot peoples describe as since time immemorial. The traditional territory of the Blackfoot stretches many hundreds of thousands of square kilometers across the Great Plains of North America, including into what are now the provinces of Alberta and Saskatchewan, and the state of Montana. The place where we find Lethbridge, located at the confluence of two rivers and around a productive riverine ecosystem, would have provided resources and refuge for the Blackfoot both seasonally and year-round as they travelled and occupied all corners of their extensive traditional territory. Shortly after Canada’s confederation in 1867, Indigenous peoples were forced onto Reserves where they were confined in relative physical and ideological isolation from the rest of society. It was in this isolation that Indigenous peoples experienced a massive state-­ sponsored project of assimilation, abuse and neglect [10]. Indigenous peoples today, including in Lethbridge, are working to regain their voice and place in society. The City of Lethbridge was founded in 1906, and the history of this City largely reflects a changing regional economy: from the fur trade, to the arrival of the coal industry, and later irrigation agriculture and agri-processing. In more recent years, the local economy has been strongly influenced by public sector work, including the City’s two post-secondary institutions, a regional hospital, federal agricultural research and large municipal and provincial workforces. In 2011, nearly 30% of employment in the City was in health care and social assistance, educational services and public administration [11]. 4  CHANGING REALITIES This article touches on three issues that currently, and will increasingly dominate conversations about Lethbridge’s future—protecting the environment, adapting to changing demographics, and relationship-building with Indigenous peoples—and how they influence an on-going long-range planning project. These conversations are not unique to Lethbridge, as many municipalities in the post-industrial and post-colonial world are also experiencing them. Alberta has an extremely fragmented landscape, challenged by multiple and competing land uses, including: urban growth, conservation, agriculture, linear infrastructure (e.g. pipe-

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lines, roadways), resources extraction (e.g. natural gas, coal, timber), and recreation. In recent years, there has been growing consensus that land-use competition is stressing the ability of natural systems to provide the ecological goods and services needed to support the region’s communities and economies. Moreover, with the anticipated impacts of climate change and growing knowledge of cumulative impacts, there is uncertainty about what the future holds for stressed ecosystems species and landscapes, and the people relying on them. Albertan communities, like many across Canada, are also experiencing the results of growing reliance on immigration to fill jobs left by an aging workforce. This is producing urban areas that are ever more ethnically diverse. This is especially the case when we examine the changing set of origin countries that dominate immigration patterns in Canada: first led by countries in Western and Eastern Europe, and now by Asia, and to a lesser extent Africa and Latin America [8]. For example, Lethbridge has the largest Bhutanese community in Canada [12], and Spanish is now the most widely spoken home language after English [13]. Another demographic change on the horizon is a new generation of homebuyers and renters (Generations Y and Z), and the values and economic realities that will drive what types of neighbourhoods and homes they want to live in. Interestingly, at the same time as our cities look and feel more global, the presence and importance of Indigenous peoples has grown in our local consciousness. In recent years, this has been the result of social movements such as Idle No More, the findings of a national Truth and Reconciliation Commission [10], and calls for a National Inquiry into Missing and Murdered Indigenous Women and Girls. An awareness of Indigenous values and issues is especially important in urban areas as they are home to the majority of Indigenous people in Canada [14]. Again, while these topics are not necessarily new or unique to Lethbridge or even Alberta, in recent years they have emerged with a new intensity, reflected in both regional legislation, and as discussed below, community planning. 4.1  Changing realities reflected in legislation The City of Lethbridge is faced with new legislative direction in the form of a regional landuse plan [15]. The South Saskatchewan Regional Plan (SSRP), adopted by the Province of Alberta in 2014, embodies many of the external stimuli discussed above and provides strategic and legislative direction to municipalities to ensure their consideration in planning and decision making. The SSRP emerges from the need to balance multiple, competing and often seemingly incompatible land uses (e.g. resource extraction, urban growth, agriculture, tourism, conservation) in a watershed that is home to more than two million people, is governed by a patchwork of 84 rural and urban municipalities and First Nations, and which faces stressed landscapes and ecosystems [7, 15]. In many ways, the SSRP supports the notion that economic growth is only possible when ecosystems are intact and healthy and when resources and growth are managed sustainably. This, in contrast to what I would argue has historically been the dominant paradigm in many communities in Alberta: that resources exist to be extracted, and the “environment” is just the thing that gets in the way or is the place you go to recreate on the weekend. The SSRP also pushes planners and decision makers to consider the changing needs of their communities in terms of housing, recreation and municipal services. As previously mentioned, the changing demographic realities of the region’s communities include: an aging population;


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the rise of Generations Y and Z as the next wave of property owners and renters [16–18]; and growing ethnic diversity. As well in Lethbridge, poverty and socio-economic equality are also important as the City has among the highest rates of child poverty in the Province [19]. Finally, the SSRP encourages greater dialogue between Indigenous and non-Indigenous planners and decision makers. This follows a similar shift in Canada towards greater collaboration between industry, government and Indigenous communities. In fact a growing number of cities have recently begun to reimagine their relationship and responsibility to Indigenous residents and First Nation neighbours (cities like Calgary, Edmonton, Ottawa and ­Vancouver). It is largely from these perspectives, and the broader realization that all residents within the watershed share a finite landscape with limited resources, and the impacts of land use tend to flow across the landscape irrespective of political boundaries that a profound realization emerges: we are all in this together, so why haven’t we been working together? Starting in 2014 with the adoption of the SSRP, Lethbridge’s community planners have been trying to understand the implications of these and other external stimuli. For example, what does it mean to balance urban growth with the protection of environmental resources? Similarly, what is the most appropriate way for the City of Lethbridge to engage with Indigenous peoples? At a higher level, these external realities have challenged Lethbridge’s community planners to think about how their work contributes to a creating a resilient and relevant community in the face of external stimuli. 5  MUNICIPAL DEVELOPMENT PLAN UPDATE All Alberta municipalities with a population greater than 3,500 people are required to prepare a Municipal Development Plan (MDP). MDPs are the highest order statutory plan that municipalities prepare (along with Inter-municipal Development Plans, which coordinate the interface of adjacent municipalities). MDPs are intended to set the legislative goalposts for a community, indicating the values and vision through which community growth and development will occur in the future (in Lethbridge, the MDP sets forth a 40-year vision). At a minimum, MDPs contain language about future growth and the provision of municipal infrastructure and services. They also may speak to the preservation of environmental and historic resources and resident quality of life. All lower order municipal plans, policies and bylaws are then required to be in compliance and ultimately support the values and vision of the MDP. In the same way, with the adoption of the SSRP, all municipalities in the region are required to ensure their MDPs contribute to regional outcomes; and they must do so by 2019. To begin the work of incorporating the outcomes of the SSRP, in 2015 Lethbridge initiated a four-year process to update its MDP. The update will be completed by mid-2019, and roughly aligns with the City’s normal 10-year MDP update cycle (the current MDP was adopted in 2010). This will be the first MDP completed under the SSRP, and as such will be the vehicle used to demonstrate compliance with its outcomes. The next MDP will also be the first completed after surpassing a population of 100,000—that significant moment of reflection. This MDP update is different than previous updates. This time, rather than strictly being about reflecting community values in broad policy, MDP policy recommendations (they are only recommendations until ratified by Council) will be informed by a comprehensive collection of baseline data related to:

• • • •

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Historical patterns of growth and anticipated demographic trends; Environmental resources (e.g. wetlands, riparian areas, wildlife corridors, species at risk, air and water quality) and pressures like climate change; Historic resources (including for the first time both First Nation and post-settlement resources) and the concept of “reconciliation” [10]; and, Up and downstream implications of these patterns, resources and pressures, including on neighbouring municipalities and First Nations.

Data gathered in each area will inform resident, stakeholder and ultimately political conversations about the required actions (i.e. MDP policies) needed to reach desired local and regional outcomes. So how does this work relate back to resiliency and relevancy? As mentioned earlier, the foundation for resiliency is knowing what trends, issues and pressures may lie on the horizon, anticipating local impacts, and creating systems, structures and attitudes capable of mitigating risk and adapting. Relevancy comes from doing that work in a way that makes sense locally. 5.1  Planning for resiliency The community planning team is fostering resiliency in three ways: 5.1.1  Situate project work within external realities Understanding how a community fits into larger external realities begins with knowing how the world is changing. For example, an awareness and appreciation for demographic trends, and environmental and social changes can help a community more adequately plan for the future. Because community planning is a long-term, iterative and political process, it is important to constantly have conversations about external realities in a variety of contexts. The project team has done this by framing data collection (in-house and through consultants) and project information (e.g. press releases, presentations) with larger realities in mind (such as the aforementioned social, economic and environmental realities). The idea is that this helps individuals working both inside and outside the project to identify and gain a sense of comfort with external realities that may at first seem too daunting or abstract. For example, over the course of the project, the case for building relationships with Indigenous peoples has been examined in different ways (e.g. in relation to social movements, court cases and provincial legislation). Offering multiple entry points into a larger conversation about why relationship building with Indigenous peoples is so important, provides various opportunities to connect to a topic that may at first not appear relevant or that seems overwhelming. Feeling comfortable with external realities allows individuals to more easily see potential local impacts and how small actions can have ripple effects. 5.1.2  Use data to drive outcomes To understand how external realities become local impacts, baseline data are crucial. A community cannot create resiliency in the face of, climate change for example, if there is no awareness about the state of local ecosystems, biodiversity, and air and water quality etc. Once data are collected, systemic, cross-discipline thinking is needed to see how the external realities may play out.


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One of the first steps in the MDP update was to identify key pieces of information that would be needed to support the future creation of policy targets. This work was done in collaboration with a multi-disciplinary group of City staff. Data mapping in this way has helped bring in new perspectives and has the added benefit of helping to identify which departments have access to what data. The belief is that baseline data will ensure project outcomes are grounded in objective, ground-truthed reality. As the intention of the project team is to ultimately turn data and objectives into targets in key outcome areas (e.g. density, urban footprint, air quality etc.), the baseline data act as a snapshot in time against which to measure progress (resiliency) after the MDP is adopted. Indeed a key aspect of resiliency is being able to monitor change over time and ensure the community’s response is adequate and can be sustained. 5.1.3  Build partnerships between staff One of the ways the project team is creating resiliency in its structures, systems and attitudes is by ensuring that there is a cross-discipline support team assisting with data collection and analysis. The project team takes the perspective that when information is shared beyond one or two departments, and when analysis is a collaborative exercise, buy-in for future action comes easier. As an example, the environmental baseline data gathering work has a support team representing 15 departments, including Planning, Parks, Transportation, Transit, Water and Wastewater, Waste and Recycling, Communications, and Community Social Development. The support team enhances the project by brining technical expertise, data and analysis, and connections to department-specific planning. Moreover, the project team has made a concerted effort to bring together staff at the beginning of their careers (although not to the detriment of gathering key institutional knowledge) to ensure that the “witnesses” to data gathering and analysis are able to shepherd that information along for many years to come. The partnerships created between staff support resiliency because they result in greater consensus and support for the work needed to actually create the resilient structures and ­systems. 5.2  Planning for relevancy The community planning team is creating relevancy in the three ways: 5.2.1  Create the opportunity for local values to inform outcomes A theme that resonates throughout the MDP update is the idea that while baseline data collection is an objective process, the point at which data is then used to create resiliency, it becomes more subjective. What this means is that ultimately local values need to drive whatever action is taken in response to the external realities present in the community. For example, while we may at a general level understand that more and more young people want to live in dense, centrally located, vibrant neighbourhoods [18], it is yet to be seen if and how this resonates locally. The definitions of “density”, “centrally located”, and “vibrant neighbourhood” are likely different in Lethbridge than they are in the other North American cities where this trend has been documented. The project team manages this by bringing a diverse set of residents and stakeholders together to inform data collection and analysis. Infusing diverse agenda and values helps to

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ensure that the data are contemplated and interpreted in a way that is locally appropriate and representative. 5.2.2  Bring new voices to the table Building on the last point, the stakeholders who are brought together to provide input signals to the broader public which community voices are valued and which are not. As our communities change over time and demand greater transparency, we need to actively seek and value the input of new voices. The project team has sought to balance the need to bring together stakeholder groups with specific expertise or knowledge, or who may be directly impacted by MDP updates, against the need to have a varied group of generalists. For example, when gathering data about future residential housing trends, it is natural to bring together developers, builders, real estate professionals and housing agencies. Seeing this as a minimum level of engagement, the project team has additionally and actively soughtout community resident participation from all geographic areas of the City, different age groups (youth and seniors), and groups working specifically on Indigenous and immigrant housing. The symbolism of having often-marginalized groups at the table signals a shift in thinking, but also leads to more interesting and relevant outcomes: the youth and seniors learn from each other, as do the for-profit and non-profit sector representatives, and non-profits working with Indigenous or immigrant clients can create relationships with industry and each other. All of this leads to more well-informed results, and helps to reassure the ultimate decision makers that outcomes are driven by extensive and meaningful engagement. 5.2.3  Change the conversation While the first two points speak to how to engage targeted and new voices, it is important to not neglect the larger public. However, it is often a challenge for planners to capture the interest of residents. In Lethbridge, this is often because planners have a hard time relating their long-range visions to individual residents, and because residents have a hard time seeing themselves in the outcomes of long-range planning. So why not change the conversation? The project team is changing the conversation in two ways. First, they are flipping typical MDP engagement on its head. MDP engagement usually involves hosting forums to bring residents and stakeholders together to contribute directly to an MDP vision and policies. In Lethbridge, participation at these events is relatively low, and residents who do attend, tend to be those who always do. Getting a diversity of perspectives then becomes quite difficult. Again, if we cannot explain the goals of long-range planning in the first place, we cannot expect residents to be motivated to show-up and share their voices. However, what people do turn out for are projects and initiatives that speak to their personal interests or that tangibly impact their daily lives. When the City is twinning a road, building a leisure centre or planning bike lanes in a neighbourhood, local residents take an interest. The project team has therefore begun conducting MDP engagement at each of these and other discrete events. In that way, the MDP begins to compile resident values and concerns about many different topics at the very moment that residents are interested in speaking about them. The MDP then becomes the common thread that links together each distinct project into a larger exercise of community evolution and gets people to start stretching beyond themselves to see larger City outcomes as connected.


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Even still, it is hard to really appreciate the role of an MDP as a tool to guide future planning and decision making. Instead of even mentioning the MDP, the project team is instead taking advantage of the significant 100,000 population milestone. This is the second way they are changing the conversation. It seems that when conversations about policy are removed, and engagement focuses on what it means to be a City of 100,000, and what the future holds for Lethbridge, people have an easier time relating (and stretching). Residents get to imagine life 20 years from now when the City has 30,000 more people: where they will live, where their kids will live, where they will work, and how they will get around. 6  CONCLUSION While the formal work of Lethbridge’s community planners to update the MDP is just beginning, they have spent a great deal of time thinking about the context of their work, and their role in supporting the City’s evolution. As Clarkson [2] suggests, evolving subjects are constantly shifting and adapting to changing stimuli. Evolution is therefore more about being resilient to change (flexible and adaptable) and remaining relevant (connected to local realities). High-level visioning documents such as MDPs are intended to set goalposts for planners and decision makers. They also provide clarity to residents, stakeholders and neighbours so that they can see how the community is evolving. The process of supporting community evolution involves an awareness of what may lie on the horizon, how incoming external stimuli might impact local systems, structures and attitudes, and ensuring the action taken to remain resilient to those external stimuli is relevant. The City of Lethbridge planning team has structured their project work in such a way that ensures outcomes are grounded in the concepts of resiliency and relevancy. They do so by starting open conversations with their colleagues, residents and stakeholders about how they see the world changing, bringing together diverse perspectives to confirm and then interpret those changes, and ultimately ground-truthing or analysing objective data through the kaleidoscope of a multitude of local realities. The belief is that this work will lead to stronger, and more resilient and relevant outcomes that truly reflect the City’s next iteration, with the support of the community itself. REFERENCES [1] City of Lethbridge, Integrated Community Sustainability Plan / Municipal Development Plan (Bylaw 5650), 2010. [2] Clarkson, A., Belonging: The Paradox of Citizenship, House of Anansi Press: Toronto, 2014. [3] Gaia Foundation, available at [4] Oxford Dictionary, available at english/relevance?q=Relevancy [5] Mirza, S., Danger Ahead: The Coming Collapse of Canada’s Municipal Infrastructure, Federation of Canadian Municipalities: Ottawa, 2007. [6] NewsHour Productions, Which American Municipalities Have Filed for Bankruptcy? February 8, 2014. [7] Government of Alberta, Land-use Framework, Queen’s Printer, 2008. [8] Department of Justice, Cultural Diversity in Canada: The Social Construction of ­Racial Difference, 2015. available at

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[9] Economic Development Lethbridge, available at trading_area.php [10] Truth and Reconciliation Commission of Canada, Honouring the Truth, Reconciling for the Future: Summary of the Final Report of the Truth and Reconciliation Commission of Canada, Truth and Reconciliation Commission of Canada: Winnipeg, Canada, 2015. [11] Statistics Canada, National Household Survey, 2011. [12] Global News, Lethbridge Home to the Largest Bhutanese Community in Canada, 13 May 2014. [13] Statistics Canada, Lethbridge, Alberta Census Profile: 2011 Census, 2011. [14] Indigenous and Northern Affairs Canada, Fact Sheet—Urban Aboriginal Population in ­ Canada, 2010. available at 1100100014302 [15] Government of Alberta, South Saskatchewan Regional Plan: 2014–2024, Queen’s Printer 2014. [16] Alberta Senior and Community Supports, Demographic Planning Commission F ­ indings Report, 2008. [17] Statistics Canada, 2011 National Household Survey: Homeownership and Shelter Costs in Canada, 2013. [18] Lackman, L.M. & Brett, D. L., Gen Y and Housing: What They Want and Where They Want It, Urban Land Institute: Washington, 2015. [19] Vibrant Lethbridge, Understanding the Impacts of and Finding Community Solutions to Poverty in Lethbridge, 2015.

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CITYOPT PLANNING TOOL FOR ENERGY EFFICIENT CITIES PEKKA TUOMINEN1, OLLI STENLUND1, CHARLOTTE MARGUERITE2, NICOLAS PARDO-GARCIA2, ELINA GRAHN1, JANNE HUVILINNA3 & BRANISLAV IGLAR2 1VTT Technical Research Centre of Finland Ltd, FI-02044 VTT, Finland. 2AIT Austrian Institute of Technology, Donau-City-Straße 1, Vienna, Austria. 3Helen Ltd, Finland.

ABSTRACT There are many ways to integrate components (renewable energy sources, storages and energy efficient buildings) into a sustainable district or city and various corresponding urban strategies. However, the best solution is not always straightforward, and simulation tools are needed to select the optimal design according to specific criteria. The objective of the CITYOPT project is to create tools to support planning, designing and operating sustainable energy solutions in cities. In particular, the CITYOPT planning tool will support simulating, optimizing and analyzing various city planning alternatives. This holistic approach will integrate, among others, energy dynamics of local grids, buildings and consumption behavior and patterns, energy storages, and local energy production using renewables. The results from test use of the tool are presented alongside with business models for the case areas. For the Vienna case, the CITYOPT planning tool will allow to assess different possible designs for an industrial waste heat-based micro district heating network, supplying low-energy buildings. Existing renewable energy solutions and thermal storages (long and short term) are also considered. The Helsinki case consists of electricity storage solution planned in Kalasatama district and a combination of sustainable heating solutions planned for the Östersundom district. Keywords: city, optimization, planning, simulation, tool.

1  INTRODUCTION The current increase of urban population highlights the importance of the development of more sustainable urban areas which should be more energy and resource efficient. Specific issues have to be addressed, such as the use of renewable energy sources, the reduction of CO2 emissions, the engagement of stakeholders and users, administrative and regulatory barriers and new business models. There are many different ways to integrate components (renewable energy sources, storages and energy efficient buildings) into a sustainable district or city and various corresponding urban strategies. However, the best solution is not always straightforward, and simulation tools are also needed to select the optimal design according to specific criteria. CITYOPT is a collaborative project supported by the European Commission through the Seventh Framework Programme (FP7). The objective is to create tools to support planning, designing and operating sustainable energy solutions in cities. In particular, the CITYOPT planning tool will support simulating, optimizing and analyzing various city planning alternatives. This holistic approach will integrate, among others, energy dynamics of local grids, buildings and consumption behaviour and patterns, energy storages, and local energy produc-

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-570-579

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tion using renewables. In this paper, the CITYOPT planning tool being developed, the methodology behind it and the test use results are presented alongside with business models for the case areas. 1.1  Case areas 1.1.1  Vienna – reuse of waste heat The Viennese is based on three office buildings, which two are passive buildings with ground heat pumps and solar panels. They lie in close proximity to the climatic wind tunnel facilities of Rail Tec Arsenal GmbH (RTA). This facility tests the operation of vehicles in all weather conditions and specifically at low temperatures. During these tests, a huge amount of waste heat is rejected from chillers. The goal of this study case is to integrate the existing thermal energy supply systems of the office buildings with the waste heat rejected from RTA’s climatic tunnel in one thermal network including a high-temperature and a low-temperature thermal storage to balance the heat production and demand and to deal with the different temperature levels of the waste heat rejected. A heat pump booster is also associated with the low-temperature storage to supply the network with the appropriate temperature level whenever necessary. 1.1.2  Helsinki – electricity storage in Kalasatama The Kalasatama area, a district in eastern Helsinki, is a former harbour and industry area that is being redeveloped into a residential and business area. The area is about 175 hectares and when the completion of the conversion project is finished in the 2030s, there will be 20 000 inhabitants and 390 000 m² of office premises and 45 000 m² of service buildings [1]. An electricity storage system is under consideration for the area. 1.1.3  Helsinki – next generation district heating network in Östersundom The Östersundom area had 6 400 inhabitants in the year 2013. Between the years 2020 and 2060, the area is expected to grow into a suburb of Helsinki with perhaps as many as 70 000 inhabitants and 15 000–30 000 new jobs [2]. Östersundom is a pilot site for environmentally friendly energy solutions and the business model created focuses on a possible solution for heat supply and heat storages in the area. 2  METHODS 2.1  CITYOPT planning tool CITYOPT planning tool is a web application that can be used for comparison and optimization of different energy systems. The tool is implemented as web application that can be browsed with any web browser. The tool has been deployed on a publicly available web server and therefore can be reached over the Internet. PostGRES is used as database to store input data and results, which can be imported and exported later on. The solution has been developed with Java, Java Server Pages and Spring. The energy system models that the tool optimizes are based on an Apros energy model that is imported to it. Currently, Apros simulator software is used to run the simulations on the server, but CITYOPT does necessitate the use of Apros. Other modelling software can also be interfaced to the CITYOPT tool.


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In CITOPT, the user can customize the model parameters and run the simulation repeatedly to test different values. The tool is also able to import and export data from and to other applications through CSV file format. This includes project, scenario and time series data. Also optimization problems can be imported and exported. The tool architecture is shown in Fig. 1. CITYOPT planning tool uses ‘projects’ and ‘scenarios’ for storing the data. Project refers to a certain area that is being studied, while scenario refers to a certain set of parameters being applied to a project. The user is able to create and modify them. A project has all the basic data from the energy site like input, output and external parameters. Also metrics may be used for representing mathematical formulas. A project has usually many scenarios that describe the different comparable energy solutions. The scenario output parameter values are calculated by simulating the scenario. The user is also able to define project-related external parameters like energy prices. The application has an authentication system and user authorisation for various user roles, namely administrator, expert, standard and guest. User roles restrict the usage of the application and make it more secure. For example, guests are allowed only to view data, not change it. Standard users may change some basic data of the project, but not all. Experts are able to change project-related data, but not to manage user accounts. Administrators are not restricted at all. In general, standard users have access only to certain projects that they have been given rights or they have created themselves. The tool has two different optimization methods: database optimization and genetic algorithm (GA) optimization. Database optimization compares the existing scenarios in the project and finds the best scenario based on the user-defined objective function. It is able to minimize or maximize the value. Also the user is able to define constraints for parameters meaning minimum and maximum values. GA optimization is a more complex type of optimization. New scenarios are generated using random scenario changes and combinations of the scenario parameters. It may have many objective functions that can be optimized at the same time. The results are visualized in the form of a Pareto curve. If there is more than one objective function, then the user has to compare the objective function’s results and decide which solution represents the actual optimum.

Figure 1:  CITYOPT planning tool architecture.

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The tool can generate different kinds of visualization charts: time series chart, summary chart and genetic optimization chart. The time series chart can be used for visualizing output variable time series in a time series or scatter plot format. On the other hand, the summary chart may be used to compare metrics in different scenarios. It may be presented in scatter plot, bar chart or pie chart format. Genetic optimization chart shows the genetic optimization results for comparison. The results include the objective function values in each scenario. Two objective functions (one for each axis) can be compared at the same time. The tool is also able to view the simulation results in table format. 2.2  Development of business models The business models developed are based on Osterwalder’s business model canvas [3]. The purpose of the business model canvas is, on the one hand, to provide a framework for laying out the stakeholders, activities and resources needed to produce a value proposition and, on the other hand, to present the customer relationships and channels needed to deliver the value proposition to the customer segments. Also included are the cost structure and revenue streams. The idea is to provide a very concentrated description of a business model while making sure that all key issues are addressed. The business model canvas is presented in Fig. 2.

Figure 2:  Key issues included in Osterwalder’s business model canvas [4].

Figure 3: The process of developing business models.


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To involve the relevant stakeholders in the business model definition process, a series of activities has been executed in the three pilot cases. Business model development was structured as is presented in Fig. 3: the main data sources are workshops and interviews, along with other discussions with the stakeholders. This has been complemented with literature reviews to make sure that the development of business models was informed by past studies. The workshops began the work of developing the business model, as the participants of the workshop provided their inputs to the business model canvas. This canvas worked as a first draft for the development, but the researchers modified the draft as they were informed by other sources, namely the literature review, interviews and discussions with the stakeholders. The following discussions with stakeholders included telephone and contextual interviews, both to involve stakeholders who could not attend the workshops and to better define the specific business model requirements. Interviews have been structured on a case-by-case basis, according to the specific needs. This resulted in a second draft of the business model. The draft has been sent to the stakeholders for comments, after which a final version of the business model has been crafted and is described in the results. 3  RESULTS 3.1  Calculation example A calculation example is presented for the Viennese case as a demonstration of the use of the CITYOPT calculation tool. Eight scenarios are simulated, based on four network configurations and two price combinations, the heat pumps are operated with a minimum cost-based control strategy. The scenarios are described in Table 1. In Scenarios C and D, an additional building similar to the low-energy buildings is considered to assess an increase of the heat demand and a connection to the main district heating (DH) of Vienna is envisaged to weight back-up possibilities. The two price combinations, based on the Viennese market, are the following: Prices 1 (electricity €200/MWh; heat €40/MWh [5]) and Prices 2 (electricity €132/MWh ; heat €66/­MWh  [6]). After running the simulations through CITYOPT, three different indicators are calculated separately, the primary energy used (PE in MWh), the CO2 emissions (CO2 in tons/MWh) and the operating costs (OC in €/MWh). To compare the scenarios in a more global way, an

Table 1: Description of the scenarios simulated. Standard Low-energy Add. Industrial HT LT DH Buildings buildings Building Waste Heat Storage Storage Vienna Configuration A





Configuration B Configuration C Configuration D















x x x


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Figure 4:  Evaluation function value for the scenarios simulated. A1 stands for the Configuration A run with the price combination 1. In red, the scenario D2 has the minimum value. evaluation function, f(x), (eqn 1) is calculated, based on the previous indicators and weighting factors which correspond to the importance given to each indicator.

f ( x ) = PE + 2 CO2 + 3 OC 


All the indicators and evaluation function values are stored in the database and can be used in the optimization phase. In the example presented in this paper, the database research algorithm is run to determine the scenario that minimizes better the function f(x). Figure 4 represents the values corresponding to each scenario simulated. The results of the database search show that the Scenario D2 is the best scenario among all the scenarios simulated. Indeed, it presents a global evaluation value between 4% and 80% less than the other scenarios. 3.2  Business models 3.2.1  Vienna – Business model for the reuse of waste heat Due to the novelty and complexity of the energy system proposed in the Vienna case, a new business model has to be developed. A centralised structure is considered the most suitable because of the small number of potential participants in the local heat market and the absence of suitable software solutions for the market operation. A New Energy Service Company (NEW ESCO) has to be established, which is taking over the different responsibilities and is managing the purchase, the distribution and the sales of the heat. The existing ownership structure of the buildings, the heat production units (gas boiler, heat recovery, solar thermal panels and heat pumps) and the necessary equipment will remain but their heat production will be sold to NEW ESCO. Recovered heat from the RTA facility will be used as first option. If the recovery heat production is higher than the demand, the excess will be stored and used later in case that the recovery heat production cannot cover the demand. If the heat-stored tank cannot supply heat under the established quality (temperature level), the other heat producers will be connected.


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The implementation of this system is favourable for all the actors. The consumers will reduce the individual heat-energy costs. RTA will convert its waste heat into a valuable product, and the NEW ESCO will focus on the investment in the adaptation of energy generation units, the heat storages and the district heating network as well as a control system. ­Additionally, the NEW ESCO could extend the district heating network to other buildings to increase its business opportunities. The operation will be based on long-term heat purchase and supply contracts in terms of heat quantity and quality. The possibility to supply heat at different temperature levels can increase the number of suppliers due to the inclusion of the heat pumps and the thermal solar system, which can supply ‘low temperature heat’ to the passive office buildings to cover their space heating demands. For the implementation, the NEW ESCO has to bear large investment costs for the design of the district heating network and the adaptation of the existing heat production facilities. The payback time can last for several years or not be reached, in which case possible support from funding agencies as well as the expansion of the grid to other buildings would lower the risk. 3.2.2  Helsinki – electricity storage in Kalasatama Business model for Kalasatama case is divided to two distinct chronological phases. The first pilot phase composed of R&D-focused operations separately agreed between the project partners. The pilot phase will last for three years. The second phase is focused on commercialization, during which the capabilities of the Battery Energy Storage System (BESS) are offered to the competitive markets. The execution of the second phase will largely depend on the experiences on the optimal practices obtained during the pilot phase. The owner and operator of the BESS will be Helen Oy. Fingrid Oyj and Helen Sähköverkko Oy are partners and customers for Helen Oy. The Ministry of Employment and Economy has an auxiliary role in providing funding for the project. The BESS system provider will also be engaged to the R&D project to optimize the system to meet the specific needs of all the project partners. During the 3-year project pilot phase, the BESS owned and operated by Helen Oy will serve Helen Sähköverkko Oy and Fingrid Oyj. Helen Sähköverkko Oy is responsible to maintain voltage regulation throughout its distribution network. Voltage is a local attribute, which can be regulated by injecting or consuming reactive power. In addition to voltage regulation, the BESS provides opportunity for electric energy peak shaving. Helen Sähköverkko Oy provides the site for the BESS and pays for the reactive power compensation service. Fingrid Oyj is the statutory frequency regulator in Finland. Fingrid Oyj is required to maintain power system frequency within acceptable limits. Frequency can be controlled by increasing or decreasing active power. Helen Oy and Fingrid Oyj have agreed on a deal, in which the Helen Oy BESS system will be producing frequency control for Fingrid Oyj. Utilizing the BESS unit, Helen Oy is capable of producing reactive power compensation, frequency control and peak load shaving as an independent aggregated service. The BESS can be viewed as an alternative power source for conventional reserve power generation. As such, BESS provides the opportunity to reduce the need of conventional polluting reserve power, such as gas turbines, in a frequency control. Due to peak shaving capabilities, the BESS also reduces need for new distribution lines and reactive power compensation equipment. The energy used by the BESS to realize the above-mentioned functions can be produced with renewable energy sources whenever they are available, thus increasing the utilization of environmentally friendly energy production.

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Helen Sähköverkko Oy and Fingrid Oyj require Helen Oy to provide service usability above 90% during the pilot phase. Usability requirement of 90% gives Helen Oy possibility to experiment with 10% of total time in different markets and uses without financial repercussions. Other key activity will be data sharing and communication between partners. During the three-year pilot contract, partners have agreed to share costs according to the value of service. Helen Oy will be the owner and operator of the BESS and is paid a fixed income from its customers until the end of the three-year pilot programme. This fixed income model reduces the financial risk for the Helen Oy to an acceptable level. The fixed income also ensures the sustainability of the planned operations for the first 3 years. 3.2.3  Helsinki – next generation district heating network in Östersundom The Östersundom business model is based on the idea of a bidirectional district heating (DH) network that is operated by the local DH company. The inhabitants in Östersundom will have the opportunity to produce a part of the needed heat in their buildings themselves by using renewable energy sources such as biomass, pellets and solar energy. In case surplus heat is created, this can be sold to the DH network. When the inhabitants’ own heat production is smaller than their heat demand, additional heat is bought from the DH network. Thus, the inhabitants in Östersundom are prosumers of heat. To optimize the utilization degree of heat produced by prosumers, heat storages in the form of small hot water tanks will be installed at the prosumers’ sites. The business model requires close cooperation between the prosumers and the DH company in Östersundom. These two groups are also the main stakeholders of the business model. Other partners incorporated in the model are producers of small-scale heat production equipment, banks and investors and the municipalities of Östersundom. Additionally, organisations and companies in Östersundom also take part in the business model since they are customers of the DH network. The value propositions of the business model can be divided into two parts: value propositions for the prosumers and value propositions for the DH company. The possibility to use different renewable energy sources and the transparency of the heat production process are expected to be attractive qualities of the business model from the prosumers’ point of view. Other value propositions of the business model such as control of heat production and usage and the opportunity to sell surplus heat to the grid are also features that are expected to attract the prosumers. From the DH company’s point of view, one value proposition of the business model is that it could attract new customers to connect to the network. Prosumers connected to the DH network would also become more committed to the network. Other values proposed to the DH company in the model are increased security of supply through the capacity of the prosumers’ heat production equipment, the possibility to buy cheap excess heat from the prosumers and positive PR. The investments needed for the implementation of the business model are rather large, since both investments in the district heating network and energy production devices are large. Therefore, the payback time for the investments will be long or payback may not be reached for all investments. The operating costs are based on fuel costs and other costs such as labour costs and the size of them depend on the fuel price. A functional and efficient cost structure would facilitate the provision of affordable heat for the prosumers and end users. The revenue streams of the business model are decided in the contracts done between prosumers and DH company and DH company and organizations and companies in Östersundom.


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4  CONCLUSIONS 4.1  District energy modelling The modelling of the micro-district heating network of Vienna case presents an example of one possible use of the finished CITYOPT tool. A calculation such as the one presented can help to understand and evaluate the complexity of the interaction between all the components involved from the consumer side as well as from the producer side. The assessment of the different design scenarios possibilities, taking into account different price scenarios combinations is done in the CITYOPT planning tool, through the calculation of several specific and global indicators. The optimum result, obtained after a database search among all the results from the realized simulations, shows that the scenario which optimized the chosen indicators in a general way involves the DH of Vienna with an operation at the prices combination 2. However, whenever the DH of Vienna is not considered, the global results related to the scenario with only the high-temperature storage and the scenario with both high and low-temperature storages appear to be very close. In that case the evaluation function calculated for each case is not enough and an optimization regarding a specific indicator has to be run. From a modelling point of view, the CITYOPT tool is very flexible and can perform various simulations and optimizations according to the user needs. The studied case was not very complicated, but nevertheless the CITYOPT tool provided results that were not easy to foresee. 4.2  Business models The value propositions of the developed business model in Kalasatama are several: the BESS system gives a chance to avoid the use of expensive reserve power, less reserve power capacity is needed and less transmission line and power grid investments are needed. The size of the considered BESS is quite unique and the operating costs are quite low. However, the purchasing of a BESS system requires large investments. Overall the BESS system is still far from profitable in commercial operation but the business model studied here offers insights into how and what kind of services BESS operators might offer as technology progresses. The value proposition of the business model in Östersundom includes an opportunity for the inhabitants to produce heat from renewables themselves thus increasing the share of renewable energy in the network. The inhabitants also know the origin of their heat and their awareness of the heat consumption is raised. The value proposition for the DH company is a possibility to attract new customers and an increased commitment to the DH company among the customers. Sources of waste heat may also prove to be lower in cost than conventional heat production. However, for most buildings, the investments needed for both the DH network and heat production units are so high that they are not likely to reach financial viability in the immediate future. This business model may be sensible under two sets of conditions. The first is as a test bed for new technology to test new solutions to see which are the likeliest to mature to profitability. This could justify public support for the project. However, other locations could be explored to see if profitability could be better elsewhere. The other possibility is that over time the price of technology comes down or the price of energy raises enough to allow profitability for the investments. Many technical solutions envisioned in this business model are, while available, not yet installed in such large quantities that the prices would have been brought down by competition and mass sales.

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The Viennese study case is not entirely different from the Östersundom, but it is focused on a local district heating network for a group of office buildings with utilisation of waste heat from a train testing facility. Under the new business model, the actors buy and sell heat to and from a new central entity, a NEW ESCO that manages the purchase of heat, takes care of the distribution as well as sales to the customers. The main aim is the coverage of the full heat energy demand of the involved consumers on site by utilising the available waste heat and heat from other existing energy generation units included in the system. The sales of the heat energy will be based on a long-term contract. For the implementation the NEW ESCO has to consider large investment costs such as the district heating system including storage needs to be designed and implemented and the existing energy production facilities adapted. Therefore, the payback time is likely to be very long. REFERENCES [1] City of Helsinki, Information about the development of Kalasatama, Online, available at [2] Östersundom toimikunta, Kaavaselostus/ehdotusvaihe – Östersundomin yhteinen yleiskaava, 2014. City planning department, Helsinki. [3] Osterwalder, A., Business Model Ontology, Université de Lausanne: Lausanne, 2004. [4] Osterwalder, A. & Pigneur, Y., Business Model Generation, Modderman Drukwer: Amsterdam, 2009. [5] OIB Richtlinie 6, Energieeinsparung und Wärmeschutz Oktober 2011, Online, available at [6] OIB Richtlinie 6, Energieeinsparung und Wärmeschutz Marz 2015, Online, available at

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ABSTRACT Rochester, New York, a city that thrived on manufacturing in the 1900s, has declined over the years. The fall of Kodak, caused by inadequate business decisions and thus left behind in the transition to a digital age, started a downward trend. The impacts of the economic downturn, suburbanization, and the highway system impeding pedestrian access to downtown Rochester, all took their toll on the city’s once vibrant urban fabric, which has now deteriorated into surface parking and buildings in disrepair. The city of Rochester has started a conscious effort to rebuild its downtown, which brings with it an increased population as the current downtown has been reduced to office buildings and parking lots with little residential options, thus placing a strain on the power grid and infrastructure as old buildings are restored and new buildings are constructed to meet the needs of the increased urban population. As the strain on the power grid increases, the carbon emissions produced increase as well. At the global level, Sweden has been leading the charge toward carbon neutrality and with a very supportive government-developed Roadmap 2050, a systematic approach toward achieving carbon neutrality in the entire country. With regard to the city of Rochester, since the increase in population is directly related to the increase in the city’s carbon emissions, I propose that the city of Rochester aligns with the goal of carbon neutrality by 2050 with Sweden. To achieve this goal, my paper addresses the revitalization efforts of the city with an alternate and sustainable solution by (1) determining the current energy consumption of Rochester’s downtown, (2) developing a schematic positive energy building to determine energy offset, (3) determining the energy generation capabilities of the proposed building, and (4) discussing the implementation of positive energy buildings to support the goal of carbon neutrality in Rochester. Keywords: carbon neutrality, energy consumption, positive energy, urban environment.

1  INTRODUCTION Rochester, New York, a city that once thrived on commercial manufacturing and industries in the 1900s, has declined over the years. While the fall of Kodak, caused by inadequate business decisions and thus left behind in the transition to a digital age, started a downward trend, the impacts of the economic downturn, suburbanization, and the highway system impeding pedestrian access to downtown center of Rochester, all took their toll on Rochester’s once vibrant urban fabric, which has deteriorated to surface parking and buildings in disrepair. The city of Rochester has started a conscious effort to rebuild its downtown similar to most American cities [1], which brings with it an increased population, thus placing a strain on the current power grid and infrastructure as old buildings are restored and new buildings are constructed to meet the needs of the increased urban population. Electricity production accounted for 40% of carbon dioxide emissions in 2009 [2], and this figure has been steady since then. In 2015, Rochester’s energy usage was approximately 33.9 mmBtu per year with the buildings accounting for about 25.2 mmBtu according to the New York State Power Authority [3], meaning buildings account for 79% of Rochester’s total energy consumption. While Rochester plans to reduce this consumption by 20% by 2030, at This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-580-588

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the global level, Sweden has been leading the change toward carbon neutrality and with a very supportive government developed Roadmap 2050, a systematic approach toward achieving carbon neutrality in the entire country [4]. With regard to the city of Rochester, since the increase in population is directly related to the increase in the city’s carbon emissions, I propose that the city of Rochester aligns with the goal of carbon neutrality by 2050 with Sweden. This study addresses the revitalization efforts of the city by proposing an alternate and sustainable solution to redeveloping urban areas. I propose that using alternative techniques, such as urban infill and positive energy buildings, will help the city of Rochester offset the annual energy consumed, therefore reducing carbon emissions from the building sector. These positive energy buildings not only sustain themselves, but also supply renewable energy back to the surrounding city, thus supplementing the existing infrastructure. This proposal allows for a greater reduction of total energy consumed supporting the possibility of a carbon neutral Rochester by 2050. 2  NOMENCLATURE ASHRAE – American Society of Heating, Refrigerating, and Air Conditioning Engineers CO2 e – Carbon Dioxide Equivalent GHG – Green House Gas KWh – Kilowatt Hours LEED – Leadership in Energy and Environmental Design mmBtu – Million British Thermal Units mBtu – Thousand British Thermal Units MWh – Megawatt Hours NYSERDA – New York State Energy Research and Development Authority R-Value – Thermal Resistance SIP – Structurally Insulated Panel HDD/Heating Degree Day – Amount of days that require heating annually based on a set temperature; every 24-hour period is 5 days CDD/Cooling Degree Day – Amount of days that require cooling annually based on a set temperature; every 24-hour period is 5 days 3  ROCHESTER’S ENERGY CONSUMPTION AND CONTEXT 3.1  Annual energy consumption and CO2 equivalent While Rochester’s electrical grid consists of renewable sources, only about 34.6% of electrical generation is from those sources. Therefore, Rochester’s region emits less CO2 than the national average according to the US Environmental Protection Agency [5], but the city of Rochester still consumes about 25.2 mmBtu, which produces approximately 1.4 million metric tons of Co2 e annually according to the New York State Power Authority [6]. That means Rochester is producing the equivalent CO2 of 127,388 SUVs driving 15,000 miles a year. As this paper only addresses the downtown district of Rochester, estimations on energy consumption and carbon emissions are made accordingly. To determine the amount of energy consumed by the downtown district, as seen in Fig. 1, Rochester’s urban fabric needs to be considered. Since Rochester has a small dense downtown consisting of mid to high-rise buildings, with a large surrounding area of suburban context, I have estimated approximately 20% of Rochester’s energy consumption as currently being consumed by the downtown district. This equates to 5.04 mmBtu.


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Figure 1:  Downtown extents.

Figure 2:  Existing downtown quadrant map. 3.2  Proposed building location and context By dividing the city into quadrants (Fig. 2) and selecting an infill site in one of the quadrants (Fig. 3), my research quantifies the energy contributions and CO2 e mitigated in the urban context while repairing the deteriorating urban fabric. The surrounding context consists of midrise and high-rise office or residential structures as is typical of downtown Rochester. 3.3  Climate information Rochester presents some challenges when considering a positive energy building. According to the National Weather Service [7], Rochester experiences a rather mild summer, spring, and

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Figure 3:  Site location.

Figure 4:  Rochester’s monthly energy generation. fall, but can experience a long and harsh winter. The average energy generation in Rochester can be seen in Fig. 4. The peak energy generation times are in the months of January, March, and April likely due to Rochester’s climate. With Lake Ontario influencing winter weather until March or early April, energy spikes are seen in both January and March for the midseason and end of season. In August the spikes are likely due to the need for cooling as the lake begins to lose its cooling capacity and starts the heating and humidity phase. It is clear that the building envelope will be an important factor when designing a positive energy building in Rochester’s climate.


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4  POSITIVE ENERGY CONSTRUCTION AND CONSIDERATIONS Positive energy construction is very similar to that of Net Zero Energy construction as they are both energy efficient. But there is one difference that positive energy building generates enough energy to help sustain the surrounding built environment. The most important aspects are the building envelope, energy efficiency, and renewable energy sources. For the purpose of this study, a proposal for a mixed use, urban infill building in the city of Rochester will be designed and analyzed. The base assumptions and systems used for the analysis are below. 4.1  Building use and height The proposed building will be a multi-use facility in downtown Rochester consisting of retail on the first floor, office space on the second floor, and residential units on the remaining floors. The building will have eight floors, with floor-to-floor height of 12 feet, totalling 96 feet. These design decisions were made in order for the building to respect the surrounding architectural context of downtown Rochester. 4.2  Building envelope The building envelope, being the only thing separating the indoor and the outdoor environment as discussed before, may be the most important aspect in terms of energy considerations. For this reason Structural Insulated Panels (SIPs) will be used. While there are many benefits to using SIPs, the biggest by far is the high r-value. R-value is an important factor as it is the thermal resistance of a material, which dictates how fast temperature differences move through a material. These panels typically range from an r-value of 14 all the way up to an r-value of 58 according to the Structural Insulated Panel Association. When comparing SIPs to a standard wall with an r-value of 19, SIPs can triple that value resulting in a better-­ performing wall. For the purpose of this study, an r-value of 58 will be used for the walls and roof of this project. 4.2.1  Fenestration systems Fenestration is one of the biggest contributors to heat losses in the building envelope so it is important that it is limited, and that an insulated window is used. For this reason a wall-towindow ratio of 40% will be used as it is a code maximum, and triple pane low E glazing with thermal breaks in the frame will be used in all fenestrations. 4.3  Heating Ventilation and Air Conditioning system The building envelope and HVAC system work together to condition and maintain interior spaces, so it is important that a high efficiency system is selected. According NYSERDA in 2015 Rochester had 6,426 heating degree days and 681 cooling degree days [8]. This puts a significance on the efficiency of the heating system as it is used most of the time. 4.3.1  Heating system With the cooling season being intermittent and heating being a major part of the year as seen above, efficiency is the main concern. For this reason a tankless boiler and hot water heater will be used in this project. Since most manufacturers are able to produce efficiency rating of 95%, it becomes the best choice for its modularity and efficiency.

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4.3.2  Cooling system To address the cooling needs during the summer, natural ventilation will be used as often as possible. For that reason, a chilled beam system will be incorporated to be as efficient as possible when cooling rooms during these times. Being efficient is necessary because while there are a few times when this would be needed, cooling is an energy intensive process. 4.4  Lighting system Lighting systems consume about 40% of typical energy in a building, so it is important to allow for reductions in watts per square foot by using ASHRAE reductions as well as using LED lighting. 4.4.1  Energy efficiency and light power density To reduce that 40% of energy consumption, two options will be deployed, the watts per square foot will be reduced as per Ashrae standards, while also reducing our Light Power Density (LPD). To do this, LED light fixtures can be used, by decreasing the LPD by 90% should allow for a possible reduction of about 20%. According to Jinsung Byun et al., by using LEDs, it is possible to reduce our consumption by about 20% [9]. 4.4.2  Day lighting Incorporating day lighting controls into the model allows for an analysis of how much energy can be offset by supplementing artificial light with natural light. In this study the building is day lighted to LEED Version 4 requirements. Using this technique lighting energy consumption can be cut even further if used in tangent with daylighting controls. 4.5  Renewable energy systems One of the main aspects of a positive energy building is that it generates more energy than it consumes. While this is traditionally done with a photovoltaic system, this study will also implement a fuel cell in order to supplement the photovoltaic system during times when more power is needed. 4.5.1  Photovoltaic system For this study a single crystalline photovoltaic panel will be used because it has one of the highest efficiencies on the commercial market at 13.8%. Roof coverage will be approximately 95%. This can be accomplished because none of the surrounding buildings cast a shadow on the new building due to its height, location, and orientation, allowing for the maximum amount of solar time to occur. 4.5.2  Fuel cell technology Fuel cell technology is beginning to become commercially available, and the option to burn hydrogen and create electricity is appealing. The positive about these systems is that while hydrogen is recommended, they can create hydrogen out of a standard natural gas input. A running fuel cell creates two by-products, water and heat. For this study, a 300-kWh fuel will be installed with an included heat capture device to help further offset heating cost in the winter.


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5  ENERGY MODEL Using the building considerations listed above, a simulation of a building energy model will be created using Revit. In order to determine how much energy and CO2 e proposed building will generate and offset, three things need to be determined: the building system boundary, annual energy consumption, and annual energy offset. After that an energy balance can be determined. 5.1  Building systems boundary To determine the amount of energy consumed and offset by the building, a system boundary needs be established. In this study, Green Building Studio was used to run the analysis, and a predefined system boundary was used. This predefined system boundary consists of the following seven factors: building geometry, spaces and thermal comfort, surfaces and heat transfer, material properties, buildings systems, loads from occupancy and exterior conditions, and lastly, heat transfer modelled over time. This system boundary allows for an accurate estimation for energy consumption and energy offset. 5.2  Energy consumption After running the simulation, the buildings schematic energy consumption has been estimated at 2,857,959 kWh per year. In order to understand this number in relation to GHG emissions and city energy usage it needs to be converted to mBtu and CO2 e. See the conversion factors listed below. 1 kWh = 3,413 Btu (1) 1 kWh = 6.89551 × 10−4 MT CO2 (2) With similar terms, the proposed building only emits about 1970.7 MT CO2 e and consumes 9,754,214 mBtu of energy per year, which seems like a significant amount, but this does not account for strategies such as natural ventilation. 5.3  Energy offset Considering energy offsets, there are two main factors to consider: active systems such as renewable energy systems, and passive systems such as natural ventilation and day lighting. 5.3.1  Passive strategies Passive systems, such as day lighting and natural ventilation, are the most obvious. Since daylighting was deducted when initially running the energy analysis in green building studio, the only other strategy that needs to be accounted for is natural ventilation. While green building studio does not include this in its energy calculation, it does calculate natural ventilation potential. With natural ventilation being able to reduce the carbon footprint by 949.3 MT CO2 e, using the conversion factors above that accounts for 1,376,402 kWh per year. 5.3.2  Active strategies In this study, there are only two active or renewable energy systems considered: photovoltaics and hydrogen fuel cell technology. The photovoltaic system on the roof could produce as

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much as 743,324 kWh per year. This number has been calculated by green building studio using the National Renewable Energy Labs calculation method, which accounts for typical weather conditions throughout the year in a specific location. For the fuel cell installation, as stated above, a 300 kWh hydrogen fuel cell will be used in the project allowing for the creation of 2,620,800 kWh annually if ran 24/7. 5.4  Energy balance To determine the energy balance for the proposed building, a simple calculation of energy consumed minus energy offset will be completed. While the building consumes 2,857,959 kWh, and the building produces 4,740,526 kWh that leaves a positive energy contribution of 1,882,567 kWh or 6,425,201 mBtu. This calculation will allow for the direct comparison with the city’s energy usage. 6  DISCUSSION/CONCLUSION These results show that creating a positive energy building in an urban environment is not only possible, but can be very successful. Suppling about 1.9 million kWh to the grid allows this building to make a significant contribution to the surrounding urban context. In fact it could possibly accelerate that goal depending on the amount and size of the buildings that are constructed in the proposed time frame. Excluding the factor of time, it would take approximately 784 buildings to produce the amount of electricity that the downtown district of Rochester currently consumes. While it may be unrealistic to assume that 784 buildings of equal size and energy offset can be created, if Rochester cuts its energy consumption by 20%, and the 34% of renewable energy that is already supplied to the grid is accounted for, that would mean that it would only take 393 buildings to accomplish the same. With this in mind, the strategic placement of positive energy buildings throughout the city, shown in Fig. 5, shows how the downtown center of Rochester could be supplemented by green energy and become carbon neutral. Understanding that each and every new or renovated building can not

Figure 5:  Proposed downtown quadrant grid.


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be the same size or create the same offset, it can be assumed that the energy offset has a relationship to the amount of energy consumed. Therefore, using this paper as an example, a positive contribution of about 60% of building energy consumption could be used to supply the surrounding urban context. With this, I believe that aligning with and completing the goal of a carbon neutral downtown Rochester by 2050 is a definite possibility. REFERENCES [1] Quick Facts Rochester New York, United States Census Bureau, Available at http:// [2] U.S. Energy Information Administration, Emissions of Greenhouse Gases in the United States 2009, p. 2, 2011. [3] New York Power Authority, Five Cities Energy Plan: City of Rochester, p. 17, 2015. [4] Sweden Tackles Climate Change, Available at­tacklesclimate-change/ [5] NPCC Upstate NY Power Profiler, United States Environmental Protection Agency, Available at [6] New York Power Authority, Five Cities Energy Plan: City of Rochester, p. 24, 2015. [7] Rochester Climate Narrative, National Weather Service, Available at http://www. [8] Monthly Cooling and Heating Degree Day Data, New York State Energy Research and Development Authority, Available at EA-Reports-and-Studies/Weather-Data/Monthly-Cooling-and-Heating-Degree-­DayData [9] Jinsung, B., Insung, H., Byoungjoo, L. & Sehyun, P., Intelligent household LED lighting system considering energy efficiency and user satisfaction. IEEE Transactions on Consumer Electronics, 59, pp. 70–76, 2013.

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FUNCTIONAL ASPECTS OF MODERN AND ANCIENT PEDESTRIAN MOBILITY ON HISTORIC STONE PAVEMENTS E. CEPOLINA1, A. MARRADI1 & D. ULIVIERI2 of Civil and Industrial Engineering, University of Pisa. 2Department of Civilisations and Forms of Knowledge, University of Pisa. 1Department

ABSTRACT Walking is a fundamental human activity and is an essential component in sustainable transport: it is a viable alternative to private and public transport, in case of short trips, and it also plays a key role in the public transport mode, since public transport is a transport inter-modal chain where the foot journeys have an important weight. Besides, walking is an ancient and natural act, it has always been connected with open space, but the same action of walking brought up, at least until the first half of the 18th century, considerable difficulties. The ability to use public spaces with facility and freedom was enjoyed in different ways depending on gender and social class. The stylistic and typological differences between men’s and women’s shoes, between shoes worn by people belonging to low and high rank determined over the centuries different mobility patterns. The ability to walk is connected with the type of the road surface and with the structure of the shoe that changes over the centuries as the concept of walking is changing. The road networks of inner city centers and the topic of the historic pavements to the same degree express the historical image of a place as the colors of the facades on buildings overlooking the streets. The paper aims to explore safety for pedestrian mobility in the present and in the past. With reference to stone pavements, it focuses on the analysis of all the properties that affect safety, particularly in terms of roughness, texture and skid resistance. Friction in dry and wet conditions will be analyzed taking into account different types of shoes, used both in the past and in the present time. The paper ends with remarks about safety for pedestrian mobility, specifically addressed to the historical city centre of Volterra, Tuscany, Italy. Keywords: historic stone pavements, pedestrian mobility, Tuscany, Volterra.

1  INTRODUCTION Most of the European historical city centers are characterized by stone road pavements that have been hereditated from the medieval period. The particular characteristics of these road pavements are an important historical value, which has been preserved until today despite the new need for speed and endurance. On these roads, footways are absent and the road is shared by pedestrians and vehicles now as it was in the past. In the past, the roads were mainly used by carriage transport and less by pedestrians now it is the other way round. Road pavements have been preserved across the centuries thanks to maintenance. Conversely, the material in contact with the pavement surface changed a lot in time. The cart wheels were made of wood with a band of iron around the outside rim, now vehicle wheels are tires. The soles of shoes were made by cork or wood or leather, and they were extremely rigid due to the thickness. Now shoes have very often flexible soles made with natural rubber or newer materials and often have spikes embedded in the outsole to improve traction. The paper has been structured mainly in two parts. The first part presents an historical analysis (from the Medieval age until

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-589-598


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the present time) about stone road pavements and mobility materials in the urban centers of the Tuscany region. Specifically, Chapter 2 investigates Towns councils’ commitments to the maintenance and construction of roads that, from the Middle Ages, translated into an increase in statutory provisions on the subject. Chapter 3 analyzes the wheeled transportation and pedestrian mobility: leather, wooden or cork shoes, animal’s hooves and iron-rimmed cartwheels criss-crossed the Tuscan stone paved roads until the early 20th century; also, the chapter considers the shoes with rubber or leather soles and tires. The ability to move is therefore linked to the type of road surface and the structure of the footwear, which changes over the centuries. From here came the idea to launch a series of experimental investigations into the specific slip resistance tests on as laid down in standard UNI EN 14231/2003 on Volterra panchina stone (samples 1, 2 and 3) for the purpose of assessing the validity of local experience. The results of these investigations are set out in Chapter 4. 2  WITH REGARD TO “THE VERY USEFUL WAY OF PAVING THE ROADS”: GOVERNMENT REGULATIONS AND MUNICIPAL BY-LAWS In Tuscany, however, ‘surfacing the roads with stone slabs’ was an ancient custom. After all, paving is nothing more than ‘a covering of stones laid flat on the ground for ease of walking’. As early as the XIII century, ‘the very useful way of paving roads’ was introduced in Florence [1]. The use of paving stones was, however, limited to urban areas, and particularly to those public roads which were most heavily trafficked and subject to the greatest wear and tear. Less busy minor roads, on the other hand, were cobbled or more often unpaved. Andrea Palladio takes care to distinguish ‘the place where men walk from that which serves for the use of carts and animals’, and states that it is good working practice to pave the edges of the road with bricks ‘because walking on it does not harm the foot at all’ [2]. Then again, the iron-rimmed wheels of carts needed paved, well-connected roads. On dirt roads, especially if muddy, they risked getting bogged down and even breaking. Moreover, stone material is worn smooth ‘by long, incessant friction from animal hooves and the wheels of vehicles’ [3]. Too smooth stone slabs, steep slopes and bitter winter weather put the poor pedestrians and the animals in serious danger as they constantly risked falling. However, the serious problem of constant road maintenance weighed on the community, and archival records are full of continual complaints by inhabitants about the damage caused by carts to the paving. The paving of roads was an art form worthy of respect, to the extent that in 1681 Filippo Baldinucci included the entry “Lastricato e Lastrico” in the famous Tuscan Dictionary of Art and Design [4]. At the end of the XVI century, as a result of the growing interest in the policy of urban paving, specific roles such as ‘Road Agent’ and ‘Paving Commissioner’ were added to the body of experts. Towns councils’ commitments to the maintenance and construction of roads and bridges also translated into an increase in statutory provisions on the subject. In fact, from the Middle Ages, regulations relating to waterways and roads were one of the most important aspects of the various legal systems. Medicean legislation employed the provisions established in 14th and 15th century regulations, and the rules continued in almost identical form until the second half of the 18th century. The grand-ducal laws, the enormous body of statutes governing the cities and territorial communities overlapped, and often ‘legislation on the environment was entrusted to local statutory law’ [5].

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From the 17th century, probably simultaneously with growing use of the cart, regulations regarding ‘repaving or restoring’ the streets of the town multiplied, obliging the owners of ‘Houses, Shops and other properties’ facing onto the stretch of road to be paved to pay their share of the expense. To try to preserve the road surface, Grand-Duchy laws and town by-laws prohibited carts with ‘nail studded iron-rimmed wheels’ from crossing the towns, but it is obvious that the stagnant water also damaged the paving by penetrating into fissures and splitting apart the stones. At least until the end of the 17th century, the laws did not include detailed technical information about the paving of roads. This already centuries-old practice in Tuscany had not been codified in writing since in reality there had never been the need to do so. After all, the skilled tradesmen based themselves on direct observation. Their knowledge was not written but founded on local experience, the method was experimental. Therefore, best working practices already implicitly contained all the instructions and checks. According to Leon Battista Alberti, the paving stones should be neither too big nor too small ‘to the point where the animals slip on them’. The quality of the stone is important, explains Alberti. Indeed, the material wears down ‘due to friction from animals’ hooves and the wheels of the vehicles’. After all ‘even the friction from ants’ feet ends up furrowing a path in paving stones’. “Indeed, the ancients preferred stone paving [...] because it is less slippery for those walking on it” [3]. During his visit to Florence in 1786, the erudite and noble Neapolitan Giovan Battista Malaspina noted that despite the paving being ‘comprised of large oblong stones, very comfortable for pedestrians’, the good practice of ‘tapping the stones with a chisel, since their smoothness can only be dangerous in the rain’ had been completely abandoned [6]. In Volterra the regulations for carrying out road paving works insist on the dimensions of the blocks of panchina stone, chosen ‘without veining, cavities or other imperfections’, the thickness and the finishes. The stones for new lastricato had to be no less than 50 cm long, 40 cm wide and 18 cm thick. Stones for new selciato, instead, had to be no less than 25 cm per side by 10 cm thick. All stones, whether new or old, had to be rough surfaced and ­re-rough surfaced in order to prevent the surface from becoming smooth and dangerous. In the first decades of the 19th century, the training of engineers and architects began to be disciplined. In 1826, the regulations for the new corps of engineers approved by Grand Duke Leopold II was edited and published in Florence. According to the fifth section of the regulations every engineer should ‘always observe the results of local experience’. By virtue of this approach, which continued until the end of the 19th century and beyond, Tuscany demonstrated a technical and professional culture that observed, tested and interacted with the local building culture. The Regulations of the Engineering Corps included a section headed Lastrici e selciati, consisting of detailed standards which integrated and codified the empirical basis of valuable local experience. The systems recommended by municipal engineers for maintenance of the paving included technical directions that already formed part of the cultural baggage of stonemasons and specialized tradesmen. Best working practices relating to Lastrici e Selciati included provisions regarding the construction of new Lastrici and Selciati, and the ‘Restoration and Patching’ of material worn smooth at the points of greatest friction by rough finishing the surface. The best practices codified by Nineteenth century engineers are the same ones followed by masons and specialized tradesmen, such rules being the result of a series of practical experiments.


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Even if in Pietro Leopoldo’s time, in agreement with scientists’ considerations regarding public health, an attempt was made to regulate management of the inland roads and those of local interest, by then reduced to inaccessible mule tracks, in the wake of the Restoration, the general condition was substantially identical. The roads in towns were dirty; paving, if present, was covered with mud and filthy, evil smelling water; sidewalks were very rare and rubbish spread everywhere. Until the time when it became compulsory to construct cess pits, that is, from the first half of the 19th century, effluent from homes, stables, carriage houses and other even dirtier water was thrown directly into the street and the drains, which regularly became blocked. 3  MOBILITY MATERIALS: WHEELS, HOOFS AND SHOES, CHOPINES AND LEATHER-SOLED STOCKINGS During the early Middle Ages, wheeled transportation increased, but it was never as important as shipping by water during the period. Its importance was mostly local and personal, in the form of simple carts. Wagons and carts allowed heavy objects to be moved easily facilitating movement or transportation while supporting loads. As in Roman times, oxen still pulled the very heavy wagons. The wagons were of either a two-wheeled or a four-wheeled variety. The two-wheeled cart was much more common the four-wheeled. Two-wheels sufficed to carry the load, a twowheeld cart was easier to maneuver on a deeply rutted road or track. The wheels contain either 8 or 12 spokes. Iron banding of wheels which was common during the Roman Empire also appears to have been lost to the Middle Ages. In the late Middle Ages, the majority of wagon wheels were still without metal banding [7]. Additional nails, left sticking out a bit, could give the wheels more traction. All through the Middle Ages, the earlier technique of nailing wooden strakes around the wheel remained very popular. Wheels properly attached to a cart or a wagon were set at an angle to counterbalance the swaying of the animal’s movement, the shifting of the load, and especially the uneven road surface. In winter or in very steep places where more friction with the ground was helpful, sledges were also used [8]. From the Middle Ages, pedestrian mobility was also subjected to a series of limitations imposed by physical factors such as the absence of sidewalks and the awful state of the roads. The skill to use public spaces with facility and freedom was enjoyed in a different way and depended on gender and on social class of people. The stylistic and typological differences between men’s shoes and women’s shoes, including shoes for feet of low social status and shoes for feet of high rank determined over the centuries different mobility patterns [9]. If the shoe is the interface between the human body and physical space, the ability to move on foot is therefore linked to the type of road surface and the structure of the footwear, which changes over the centuries like the concept of walking itself. In the latter centuries of the Middle Ages, men and women, rich and poor, usually wore cork or wooden pattens as protection against the mud and dirt of the town streets. Pattens, usually made from walnut, elm or plane tree wood, had a low or high sole and a simple leather band across the foot. Until the beginning of the XVIII century, we still find pattens with a double elevation, one under the heel and one at mid-foot, which would give way to the use of an increasingly high, slender heel [10]. So if the sidewalk can be considered the lifeline from the bog of the road, the patten is no less than its forerunner. Baldinucci explains that the patten is a type of shoe ‘similar to the

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chopine but with a wooden sole notched in the middle of the part that rests on the ground, made to elevate the foot and keep it above the wetness of the ground’ [4]. In the XIV century, a new type of shoe began to be made, called chapins in Spanish and French, chopines in English and pianelle in Italian, with a leather or fabric upper and a wooden or light cork sole. Chopines, therefore, were nothing more than the product of a gradual transformation of the patten [11]. At least originally, chopines were ‘outdoor’ shoes open behind the heel, with a cork sole for lightness, and were worn by men and women alike. But while the chopines worn by men had a platform just a few centimetres high, those worn by women could reach dizzying heights (from about 20 cm to half a metre), Fig. 1. Men often wore knee-length boots, or ‘soled stockings’, that is, with a thick leather reinforcement under the sole of the foot, Fig. 1. In the chopines, the wedge at the front of the sole gave women a very particular unstable gait, which contributed to the differentiation of gender and recognition of the wearer’s high social standing. High chopines, ‘shoes with long pointed toes’, shoes with square toes, tight, pointed sandals and shoes decorated with ermine certainly did nothing to make it easy for women to walk on roads that were for the most part rutted, impassable and often sloping. The Florentine chopines had a wooden wedge shaped in varied forms. The wooden sole in the stone pavement was what produced the ‘trich trach of the slippers’ recalled by Piccolomini in relation to women who have the bad habit of walking too fast ‘so that it seems they have the devil between their legs’ [12]. Women especially were subject to regulations, the so-called ‘sumptuary laws’, which disciplined the manner of dressing, forbidding the use of particular types of shoe, at times limiting their height and sometimes prohibiting the use of certain materials. From the mid XIII to the end of the XVIII centuries, sumptuary laws attempted to regulate dress, making it above all a matter of gender and social class.The case of the chopine is somewhat emblematic; venerated by women and despised by preachers and by legislators who proposed they should be of simple leather or cloth, no more than four digits high (equivalent to eight centimetres), and unadorned, without lace, jewels or gold or silver decoration. If on one hand confessors and preachers considered the ‘planellas altas’ instruments of ambiguity, on the other, although to a lesser degree, law-makers were concerned with limiting their height for safety reasons, that is, to reduce the frequent disastrous falls, fractures, and in some cases, miscarriages [13]. As early as the 14th century in Florence, the height of chopines was established by law and limited to about 8 cm.

Figure 1:  Scarpette and high chopines.


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At the end of the 17th century, the mania for chopines was in decline, probably because of the rise of a smaller, more delicate type of shoe. During the 18th century, women’s shoes with fabric uppers were so delicate that they were protected by pattens or overshoes to insulate them from the rain and dirt. Men’s shoes, though, were more robust and practical, made entirely of leather and not very different from those of today. Working class women, on the other hand, continued to wear leather shoes similar to those of men. The common man wore leather or cloth leggings and well-worn shoes protected by pattens [9]. During the 19th century, transformation of urban spaces, the fall of many physical barriers and new theories about individual health contributed to improving freedom of movement, especially for men. Women, on the other hand, still had few opportunities for contact with the outside world, and their journeys on foot were limited to short routes within the urban space. Since the mid-20th century, advances in rubber, plastics, synthetic cloth, and industrial adhesives have allowed manufacturers to create shoes that stray considerably from traditional crafting techniques. Leather, which had been the primary material in earlier styles, has remained standard in expensive dress shoes. Soles, which were once laboriously handstitched on, are now more often machine stitched or simply glued on. Most modern shoes have soles made from natural rubber and newer materials like polyurethane, or polyvinyl chloride (PVC) compounds. Often modern shoes have spikes embedded in the outsole to improve traction. 4  EXPERIMENTAL INVESTIGATIONS According to Lu and Steven [14], pavement friction depends on both the microtexture of aggregates and the macrotexture of the overall pavement surface. Microtexture, usually defined as small-scale texture up to 0.5 mm wavelengths, is largely a function of the surface texture of aggregate particles. Microtexture affects the adhesion area between aggregate and the mobile element that contacts it (tire rubber in case of vehicular traffic and the shoe lower surface in the case of pedestrian mobility) and controls the pavement friction level at low speeds. In pavement engineering, a number of devices have been developed to measure and characterize pavement surface friction. In order to measure the skid resistance related to surface microtexture and to assess how it is affected by the material in contact with the pavement surface, a specific experimental activity using the British Pendulum Tester at Road Research Laboratory of the University of Pisa was organized. The British Pendulum Tester (BPT) is a dynamic pendulum impact-type tester used to measure the energy loss when a rubber slider edge is propelled over a test surface. The results are reported as British Pendulum Numbers (BPNs) to emphasize that they are specific to this tester. The method is based on a swinging, dummy heel (using a standardized rubber soling sample), which sweeps over a set area of a testing surface in a controlled manner. The ­slipperiness of the surface (road pavement, flooring) has a direct and measurable effect on the pendulum value given [15]. A rock type, extensively present in the hills around Volterra and widely utilized for road pavements in Volterra, has been taken into account: the panchina volterrana. Two test-pieces have been characterized: the first one includes widely sea salt and fossils that give it a bluegrey color (type 1); the second one is characterized by a minor presence of sea salt and fossils and is called ‘sabbione’ (type 2). For each test-piece, we tested two different finishing ­surfaces: flat and chiseled. The four test surfaces are shown in Fig. 2.

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Figure 2:  The four test surfaces. Panchina volterrana (arenaceous limestone) was the main building material used in Volterra since the Etruscan era; from the Middle ages on, the use of panchina was the norm. From a stoneworking point of view, ‘this stone is fairly submissive to iron when just excavated, and then hardens with time’. There were two ways to work it: one was rough-chiselling and leaving it just barely squared off, and the other more regular, which levelled and squared it off [16]. As finishing surfaces, the flat and the chiseled ones have been selected. The chiseled one has been selected because since the last two decades of the 19th century has been considered as a regular treatment of road pavement. If panchina was constantly ‘re-chisel finished’, ‘it provides greater resistance and allows carts to travel over it without danger’ [17]. Indeed, in the 1865, the city engineer, Gaetano Guerrieri maintained that ‘since the piazza ramp and Via Ricciarelli have been re-chisel finished, even loaded carts are allowed to use them’ [17]. The chiseled finishing surface has been provided by the technician that is currently in charge of this task for the municipality of Volterra. The polished finishing surface has not been taken into account in these experiments because of a lack of time. We took into consideration five different materials for the slider: rubber (as standard reference), fir wood, walnut wood, leather and steel. The wood slider refers to clogs, the leather slider refers to necked feet and leather shoe soles and the iron slider refers to stagecoach wheels. Each experiment refers to a given test surface and a given slider; the target is to assess the related the skid resistance. In a given experiment: a test surface has been selected; a slider has been fixed to the pendulum; the slider has been propelled over the test surface and the given BPN has been read. This last part of the experiment has been repeated six times and we considered as final BPN for the given experiment, the average value of the BPNs resulting from the six runs. All the experiments have been repeated in dry and wet conditions. We therefore performed 40 experiments: changing the slider (rubber, two types of wood, leather and steel), changing the finishing surface of the test stone (flat and chiseled), changing the test-piece (types 1 and 2) and finally changing the experiment conditions (wet and dry). The BPNs for all the experiments are shown in Table 1. The first table refers to the flat finishing surfaces and the second table refers to the chiseled finishing surfaces. In the tables, condition 1 refers to the test surface material of type 1 and condition 2 to the test surface material of type 2. The data of Table 1 have been plotted in Fig. 3 for a comparison. The y axis refers to the BP numbers, the x axis to the experiments. The data in light blue refer to the type 1 test-piece; the data in red to the type 2 test-piece. Dry-F refers to experiments in dry conditions and with flat finishing surfaces; Wet-F to wet conditions and again flat finishing surfaces; Dry-C to dry conditions and chiseled finishing surfaces and finally Wet-C to wet conditions and chiseled finishing surfaces.


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Table 1:  Experimental results. Flat samples Sliders Conditions

EN Standard Rubber Slider

Steel Slider

Leather Slider

Fir Slider

Walnut Slider

































Chiselled samples Sliders

EN Standard Rubber Slider

Steel Slider

Leather Slider

Fir Slider

Walnut Slider












1 2

91 78

82 70

73 67

68 72

55 50

47 43

59 51

45 42

63 50

40 44

Figure 3:  The BPNs resulting from the experiments.

Looking at the pavement materials, type 1 test-piece provides a slight better skid resistance than type 2 in most of the situations. However, both the materials result suitable for road pavements, since the minimum acceptable threshold according to Norme EN (1,342) is 35 BPN for road pavements in outdoor pedestrian areas [18]. Looking at the finishing surface, the chiseled one provides a better skid resistance than the flat surface in most of the cases. The advantage of the chiseled finishing surface disappears only in the case of a leather slider and, conversely, is more evident in the cases of wood sliders. A poorer skid resistance results in the cases of wood sliders, even worst in wet conditions. If we assimilate the wet condition in the experiments to the mud that usually covered the road pavement in the past, it results evident the critical role of chiseling for improving the skid resistance related to wood shoes on stone pavements. The chiseling process was therefore critical for ensuring safety for pedestrian mobility.

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5  CONCLUSIONS The paper explored safety for pedestrian mobility in the present and in the past. With reference to stone pavements, it analyzed skid resistance as a function of road pavement microtexture and of the material of shoes soles. Friction in dry and wet conditions has been analyzed taking into account different types of shoes, used both in the past and in the present time. Experiments have been carried out in the Laboratory of University of Pisa. The collected empirical data show the critical rule of the road pavement chiseling process in improving skid resistance and therefore safety on historical stone pavements. This is in line with the historical rules of road maintenance. The actual mobility materials allow better skid resistance. However, given the wide dimension of stone slabs of road pavements, the border effects are neglectable and poor is the resulting grip. The grip decreases even more if the usage polishes the microtexture of the road surface. In this case, the chiseling process results very useful even in the present time. The chiseled surface treatment is less resource consuming now than in the past since the polishing effect due to the mobility material is less critical now than in the past. In order to guarantee mobility safety in historical city centers, it is very important to control the changes of the pavement surface macrotexture in time. This control allows to chisel the pavement stone surface when it is required. Advanced tools like laser Line-Scan cameras, more and more used to automatically detect and classify pavement surface distresses, can be also routinely used to monitor texture changes of stone slabs [19]. ACKNOWLEDGEMENTS The research has been funded by the University of Pisa. The authors are specifically grateful to: the master mason Giorgio Scarselli, who continues to preserve the Volterra’s stones; the Volterra City Council for logistical support. Francesco Puccinelli for his support in carrying out the experiments in the laboratory. Author’s contribution to the paper: Denise Ulivieri wrote chapter 2 and chapter 3; Elvezia Cepolina and Alessandro Marradi wrote chapter 4. REFERENCES [1] Vasari, G., Le Vite de’ più eccellenti Pittori Scultori ed Architettori, eds. G. Milanesi & I, Lorenzo, Torrentino: Firenze, p. 283, 1878. [2] Palladio, A., I quattro libri dell’architettura, eds. L. Magagnato & P. Marini, Libro III, cap. II, Il Polifilo: Milano, pp. 192–194, 1980. [3] Alberti, L.B., L’architettura [De re aedificatoria], ed. G. Orlandi, Lib. IV, cap. VI, Il Polifilo: Milano, pp. 320–322, 1966. [4] Baldinucci, F., Vocabolario toscano dell’Arte del Disegno, Per Santi Franchi al Segno della Passione: Firenze, 1681, available at [5] Vivoli, C., “Provisione et ordini concernenti la iuriditione, et obligho delli ufitiali de’ fiumi, et lor ministri”. La Legislazione medicea in materia di strade, ponti e fiumi. In La legislazione medicea sull’ambiente. Scritti per un commento, eds. G. Cascio Pratilli & L. Zangheri, IV, Leo S. Olschki: Firenze, p. 76, 1998. [6] Lenzi, A., Dalla Repubblica fiorentina al Granducato mediceo. Dal “cotto” alla “pietra forte”. In Firenze, la materia della città. Materia e disegno pavimentale nelle strade del centro storico, ed. F. Gurrieri, Edizioni Polistampa: Firenze, pp. 61–62, 2012. [7] Weller, J.A., Roman traction systems, available at wagon.html


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[8] Johnston, R.A., All Things Medieval: An Encyclopedia of the Medieval World, 2 vol., Greenwood: Santa Barbara, 2011. [9] Riello, G. & McNeil, P., Camminando per le strade del Settecento: la scarpa nel secolo del Lumi. In Scarpe. Dal sandalo antico alla calzatura d’alta moda, eds. G. Riello & P. McNeil, Angelo Colla Editore: Vicenza, pp. 67–79, 2007. [10] Muzzarelli, M.G., Scarpe suntuose: produrre e calzare nell’Italia medievale, In Scarpe. Dal sandalo antico alla calzatura d’alta moda, eds. G. Riello & P. McNeil, Angelo Colla Editore: Vicenza, pp. 37–53, 2007. [11] Vianello, A., Donna cortese o cortigiana? L’uso delle pianele nella Venezia del Rinascimento. In Scarpe. Dal sandalo antico alla calzatura d’alta moda, eds. G. Riello & P. M cNeil, Angelo Colla Editore: Vicenza, pp. 55–65, 2007. [12] Muzzarelli, M.G., “De ornatu mulierum”. Il caso delle pianelle. In Dai cantieri della storia. Liber amicorum per Paolo Prodi, eds. G.P. Brizzi & G. Olmi, CLUEB: Bologna, pp. 435–444, 2007. [13] Cantini, L., Legislazione toscana raccolta ed illustrata dal Dottore Lorenzo Cantini, 1800-1808, ed. M. Montorzi, ETS: Pisa, pp. 93–147, 2006. [14] Lu, Q. & Steven, B., Friction testing of pavement preservation treatments: literature review. Technical Memorandum: UCPRC-TM-2006-10, Department of Transportation: California, 2006. [15] Marradi, A., Secchiari, L. & Lezzerini, M., I materiali lapidei versiliesi. La qualificazione per l’utilizzo nei sistemi di pavimentazione, Alinea editrice: Firenze, pp. 43–52, 2012. [16] Trinciarelli, V. & Marrucci, A., Le rocce del volterrano, Consorzio di gestione Museo e Biblioteca Garnacci: Volterra, pp. 66–72, 1990. [17] Post-Unification Historical Archives of Volterra, Vie Comunali, Manutenzione. [18] Domenichini, L. & Martinelli, F., Proprietà estetiche e funzionali delle pavimentazioni stradali in ambito urbano. Proceeding of the Convegno Nazionale, La sicurezza sulle strade della città, “Andare a scuola: ciclisti e pedoni”, Lucca, 2006. [19] Marradi, A., Drenth, K. & Stonecliffe-Jones, M., Automatic detection and analysis of surface distresses using a multi functional vehicle in International Journal of Pavement Engineering and Asphalt Technology, 13(2), 2012.

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I. MAYBUROV1,2 & Y. LEONTYEVA1 Federal University named after the first President of Russia B.N. Yeltsin, Russia. 2Far Eastern Federal University, Russia.

ABSTRACT The article looks at how taxes influence the tax payers’ decision as to whether to own and use commercial passenger vehicles. Types of taxes and fees imposed on the purchase and operation of road passenger transport as a business are described in detail. Substantiation is provided for an idea that it might be useful to introduce a classification that divides taxes into fixed, variable and operation categories with regard to the intensity of commercial passenger vehicle use. The study examines the share of different taxes in the cost of owning and running a commercial passenger vehicle. Calculations are done for the amount of fixed transport taxes per day of owning a vehicle regardless of the intensity of use. A conclusion is made that the total amount of all taxes grows in absolute values for vehicles with a bigger seating capacity, but declines per passenger-kilometer of travel. A conclusion is made that the total amount of all taxes on the use of road passenger transport is much lower than the amount of taxes paid on transporting passengers by car. The goal of this study is to design a method of analyzing the fiscal value of taxes in the cost of owning and operating road passenger transport in Russia. Keywords: cost of owning, fixed, passenger transport, transport taxation, variable and operating taxes.

1  INTRODUCTION Public transport in Russian cities was the main mode of transport until 1990 when car ownership rates started to grow and kept growing further. The low cost of traveling by car discouraged the development of public transit. Only underground networks have retained their competitive edge, having increased their passenger traffic. Other modes of public transit have lost a share of their traffic to privately owned automobiles. The traffic drop is particularly noticeable in cabs, buses and trolleybuses. This makes it particularly relevant to analyze the costs incurred by those providing passenger transport services by road. It is also important to assess the impact that taxes have on decision-making by transport market participants. A feature of the present stage of mass car ownership in Russia is that the expansion of road networks is seriously lagging behind growing car and bus fleets. As a result, different modes of transport are competing for access to a limited resource (urban roads). There are no dedicated transit lanes in Russia, so public transport has to compete with automobiles for access to the road network. Two types of competition are most prominent: (1) competition between privately owned cars and public transport; (2) competition among various modes of public transport (taxi cabs, minibuses for shuttle services, buses of various seating capacity). The purpose of this study is to establish the role that taxes play in decision-making by taxpayers as to whether to own and operate a commercial passenger vehicle in Russia.

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-599-605


I. Mayburov & Y. Leontyeva, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)

2  TAXES PAID BY PASSENGER TRANSPORT All taxes and levies paid by transport operators should be divided into three groups [1–4]. Fixed taxes. The tax rates are not pegged to the intensity of vehicle use. These are taxes on owning a vehicle. They are paid on a one-time basis when a vehicle is purchased and then on a regular basis regardless of how often the vehicle is used. The size of the taxes is a determining factor of the affordability of a vehicle and, consequently, of the ease of entry into the passenger transport market. The payment of fixed transport taxes is, therefore, viewed as the tax price of owning the vehicle. In Russia, fixed transport taxes include VAT, an excise duty on the purchase of a vehicle, registration fees, the recycling fee and annually paid vehicle tax. Variable taxes. These taxes depend on the intensity of vehicle use and are taxes on vehicle use. The payment of the taxes is viewed as the price paid for using the road network. In Russia, variable taxes include fuel excise duties. Taxes on financial results. These are taxes on business activities. They are viewed as the tax price that is paid for running a passenger transportation business. In Russia, taxes on financial results include income tax, the single tax on imputed income and the transport operator license fee. [5]. 3  RESEARCH METHODOLOGY The aim of the calculation is to conduct a broad assessment of correspondence between the capacity of the passenger vehicle, the external costs it generates and the costs incurred by the owner of the vehicle. The method used by the authors is simple and it gives only a general idea of the cost of owning the passenger vehicle. There are methods that allow for making a more detailed assessment of public demand for different modes of transport, ownership costs for transport alternatives (for example rail, sea, and others.) [6–8]. However, they do not solve the problem of analyzing the structure of taxes paid by the owner. To simplify the calculations we propose using the average passenger load without breaking it down into the seating capacity/total carrying capacity. The calculations factored in the average demand for travel in a large Russian city. A more sophisticated method is required for obtaining refined estimates of the cost of ownership and the share of taxes in the cost. It is assumed that all types of vehicles generate externalities (negative ones, such as congestion, environmental pollution, road accidents etc., and positive ones, such as improved mobility, territorial integrity of the country etc.). The evaluation of externalities will be done without quantifying them. We shall proceed from an assumption that negative externalities per passenger are inversely proportional to the number of passengers, while positive externalities per passenger are directly proportional to the number of passengers. Consequently, vehicles that can carry more passengers generate more positive effects and fewer negative effects than vehicles with a smaller seating capacity. This means that the greatest positive effect is produced by vehicles that can carry multiple passengers, while taxi cabs and private cars appear to have the minimum external effect. Consequently, the proposed methodology implies that only explicit costs that are related to owning and operating road transport are accounted for. To analyze the cost of ownership, three bus models were chosen that make up over 60% of the bus fleet in Russia (Tables 1 and 2). They are compared to an economy car with a petrol engine (Hyundai Solaris). The calculations are done for a three-year period of ownership and operation. The vehicles are used for transportation within the city boundaries; the average annual mileage being


I. Mayburov & Y. Leontyeva, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)

Table 1: Types of buses for calculating ownership costs. No

Bus type, maker, model

Share in bus fleet in Russia


GAZ-type (medium bus) PAZ 32053



GAZ-type (city bus) LIAZ 5256



Foreign-made bus (minibus) Ford Transit


Table 2: Brief overview of selected vehicles. Hyundai Solaris

Ford Transit

PAZ 32053

LIAZ 5256






15 / 15

25 / 42

25 / 110

Weight, tons

1.2 / 1.6

1.8 / 2.4

4.9 / 7.7

10.5 / 18.0

Emission class

Euro 4

Euro 4

Price, thousand RUB





Depreciation (over three years), %





Fuel consumption, litre / 100 km









Engine power, horsepower Carrying capacity (seats/ total)

Fuel Average fuel price, RUB / litre Annual maintenance costs. thousand RUB Insurance premium (yearly), thousand RUB

Euro 3 – Euro 4 Euro 3 – Euro 4











80,000 km. Other costs are assumed to make up 1% of the price of a vehicle. The recycling fee is calculated on the basis of the baseline rate of R150000 and adjusted by the bus length coefficient (over 10 m −2.36; less than 10 m - 1.18). The choice of taxes on business results is determined by the fact that according to statistics the majority of companies providing transportation services are small businesses and selfemployed individuals (over 95% of all transport operators). Consequently, the key taxes on financial results are special tax regimes such as the single tax on imputed income (for organizations) and the transport operator license fee (for individuals).


I. Mayburov & Y. Leontyeva, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)

Table 3: Conditions for calculating taxes on financial results. Single tax on imputed income

Fee for business license

Rate, %


Rate, %

Annual revenue per seat, RUB


Possible annual income



for 10 vehicles, thousand RUB/ 1089.3 year

Adjustment coefficient

per vehicle, thousand RUB/ year



less than 18 seats


Annual amount of taxes, thousand RUB

over 18 seats


for 10 vehicles


per vehicle (taxi services)


Annual amount of taxes, thousand RUB for minibuses with less than 15 seats 60.7 for medium size buses with 25 seats


for city buses with 25 seats


Revenues and the amount of taxes to be paid are calculated for organizations and selfemployed individuals that operate 10 buses in a big city (with a population of over 1 million). For the purpose of the calculations we shall assume that providers of passenger transportation services are to pay the single tax on imputed income, while taxi companies are to buy a business license. The main conditions for calculating appropriate tax payments are outlined in Table 3. 4  ANALYSIS OF THE COST OF OWNING COMMERCIAL PASSENGER VEHICLES The results of calculating the average annual cost of owning and commercially operating a passenger vehicle are shown in Table 4. The analysis leads to a conclusion that the cost of fuel prevails in the cost of owning a commercial passenger vehicle. For the bus models under consideration, the share of fuel expenses exceeds 50%. The share of mandatory and voluntary insurance tends to go down for vehicles with greater seating capacity. In the case of buses, the share of insurance in total costs does not exceed 9%. The share of maintenance costs tends to fall even further for vehicles with a greater seating capacity: from 13.5% for a taxi cab to 2.7% for a full-size bus. Depreciation varies inversely to the size of the vehicles. The share of depreciation in the cost of ownership grows from 11.9% for a taxi cab to 28.5% for a large bus. Other expenses, such as the cost of buying winter tires and other expendables needed for the day-to-day operation of a vehicle are insignificant and do not exceed 3% of the total ownership costs.


I. Mayburov & Y. Leontyeva, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)

Table 4: Cost of owning and commercially operating a vehicle, thousand RUB/ year. No 1


Indicator Depreciation

Hyundai Solaris

Ford Transit

PAZ 32053

LIAZ 5256





Recycling fee included










registration fee





sales tax










excise duty included






Mandatory and voluntary insurance






Taxes, duties and other levies





vehicle tax included




















Other expenses TOTAL EXPENSES (excluding taxes on financial results)


Taxes on financial results of passenger transportation business









including taxes and levies





fixed taxes





variable taxes










Total expenses related to owning and commercially operating a vehicle

on financial results



Cost per km, RUB/km




Per passenger-kilometer cost, RUB/ thousand passenger-km*





Note. * The indicator is calculated on the basis of the number of passengers per vehicle per year: for a taxi cab – 7000 persons/year; a minibus – 65000/ year; a medium-size bus – 85000 persons/ year; city bus – 170000 persons/year.


I. Mayburov & Y. Leontyeva, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)

Table 5: Taxes in vehicle ownership costs (%). Indicator Total costs of owning and commercially operating a passenger vehicle including taxes and other levies

Hyundai Solaris 100

Ford Transit

PAZ 32053

LIAZ 5256


















on financial results





5  ANALYSIS OF TAX BURDEN ON THE OWNERSHIP AND COMMERCIAL OPERATION OF PASSENGER VEHICLES The structure of various taxes in the cost of owning and commercially operating passenger vehicles is shown in Table 5. The analysis indicates that the tax burden on owning a passenger vehicle is higher for vehicles with a bigger seating capacity. The share of fixed taxes in the cost of ownership grows from 3.3% for taxi cabs to 7.8% for full-size city buses. The share of taxes on financial results is also higher in the case of roomier vehicles: 2.1% for taxi cabs operating under the business license regime vs. 9% in the case of buses that are eligible for the single tax on imputed income. On the opposite, the share of variable taxes goes down from 6.5% for tax cabs to 4% for full-size buses. It has to be noted that the tax burden on owning and commercially operating passenger vehicles is up to 9% heavier than the tax burden on owning and using a private automobile. The difference is due to taxes on financial results. The structure of fixed and variable taxes for commercial and private passenger vehicles is pretty much identical. Such a tax burden is against the logic of promoting the development of public transit. The logic of such development stipulates that the tax burden on public transport should be considerably lighter than on private automobiles. Fixed taxes on public transport need to be reduced. Reducing the fiscal impact of fixed taxes will make public transit more attractive as an alternative to private cars, thus encouraging its development. 6  CONCLUSION The system of transport taxes in Russia needs to be improved. A comprehensive approach is needed that would take into account the balance between the tax burden on various means of transport. The tax burden on private cars should be far heavier than that on public transport. At present, the tax burden on public transport distorts people’s preferences in favour of private automobiles. This approach adds to the stagnation of the public transit sector. REFERENCES [1] De Borger, B. & Mayeres, I., Optimal taxation of car ownership, car use and public transport: insights derived from a discrete choice numerical optimization model. European Economic Review, 51, pp. 1177–1204, 2007.

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[2] Litman, T., Transportation Cost and Benefit Analysis: Techniques, Estimates and Implications. Executive Summary, 2nd edn., Victoria Transport Policy Institute, Victoria, p. 238, 2009. [3] Walker, J., The Acceptability of Road Pricing, Royal Automobile Club Foundation, p. 134, 2011. [4] Coase, R., The problem of social cost. Journal of Law and Economics. 3(1), pp. 1–44, 1960. [5] Mayburov, I. & Leontyeva, Y., Reducing the negative impact of motor transport on the environment: prospects for the use of fiscal instruments in Russia. Proceeding of the Conference Air Pollution 2014, eds. C.A. Brebbia, WIT Transactions on Ecology and the Environment, WIT Press, UK, 186, pp. 863–874, 2014. [6] Abramovic, B., Analysis of the mobility of railway passenger transport in small urban areas. Proceeding of the Conference Urban Transport XXI 2015, eds. C.A. Brebbia, WIT Transactions on the Built of Environment, WIT Press, UK, 164, pp. 665–675, 2015. [7] Russo, F., Rindone, C., D`Agostino, P., Lanciano, C. & Scattarreggia, T., A city logistic system for long distance freight transport provisioning. Proceeding of the Conference Urban Transport XXI 2015, eds. C.A. Brebbia, WIT Transactions on the Built of Environment, WIT Press, UK, 146, pp. 279–291, 2015. [8] De Maio, M.L. & Vitetta, A., Route choice on road transport system: a fuzzy approach. Journal of Intelligent and Fuzzy System, 28(5), pp. 2015–2027, 2015.

A. Furman, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017) 606–614

EXPLORING AFFORDANCES OF THE STREET A. FURMAN Faculty of Communication & Design, Ryerson University, Canada.

ABSTRACT The streets and roads that form the majority of the circulation system in the urban network of the contemporary city have been undergoing some interesting changes that will be explored in this paper. Ever since signalized intersections and the idea of parking lots became a part of the city, many of the discussions regarding street use focused on the efficiencies of traffic circulation and parking vehicles. Recently, challenges to regulatory bodies by sharing companies such as Uber, MaaS, Airbnb and others, have brought to everyone’s attention that the very idea of a parking spot, and even the need for car ownership is fast changing in the street and urban realm. This is only one of the many challenges to how public space is being rethought of by the sharing economy. Artists, activists and designers have been considering how the street has many affordances that can be employed to create new relationships of use through technology and by engaging the public to participate in the use and design of the street. Don Norman (1988) speaks of how an agent can interact with something, and this is seen as an affordance – Norman also asks us to look at the unintended accidental and anti-affordances things and spaces possess. What are the new relationships and opportunities to the shifting changes underway to the traditional public realm? Are actors/spectators playing an active role and no longer a passive one in the city streets? If streets are ‘the arenas where the boundaries of conventional and aberrant behaviour are frequently redrawn’ (Anderson 1978) then the potentialities of new affordances of the street will result in a reinvigorated public space. Keywords: accidental affordance, active transportation, affordances, anti-affordance, bike lanes, circulation, network, public realm, public space design, roads, sharing economy, streets, technological adaptations.

1  AFFORDANCES ...a locus of personal exchange and communication Rykwert, Joseph, The Street: The Use of its History [1] Could this passage be interpreted as the tagline for a new advertising campaign promoting a social media application? That it comes from a historic survey of the changing nature of the dominant public space in all cities – the street, at a time when streets were not necessarily treated with the same regard as contemporary discourse on urbanity, demonstrates the ascendancy of social media as a parallel public sphere to the street. Social media aspires to the timeless definition of what makes a good street. When designing streets we strive to build streets that ‘fit the needs and capabilities of people’[2]. Our definition of the street as a public space has qualities that essentially can be reduced to: it ‘is physically comfortable and safe’ [3]. The street can be understood as any poured surface, malleable and able to be shaped in 3D and creating a type of container or corridor capable of simply stopping abruptly, whereas a road implies a passage from one place to another, carrying people and cargo [4]. This then is the difference between a street and a road; the street has many diverse uses and permutations, culturally prescribed behaviours that are not required to afford pure function. When compared to discussions about

This paper is part of the Proceedings of the 11th International Conference on Urban Regeneration and Sustainability (Sustainable City 2016)

© 2017 WIT Press, ISSN: 1743-7601 (paper format), ISSN: 1743-761X (online), DOI: 10.2495/SDP-V12-N3-606-614

A. Furman, Int. J. Sus. Dev. Plann. Vol. 12, No. 3 (2017)


the road and talk of roadways and road design, the conversation often implies a strong functional, instrumental approach to the design of the public realm, not concerned with the creation of new cultural meaning by the physical interaction (eye contact and close physical presence of human forms) along a surface that isn’t mediated by a topological skin of steel and glass. Since the area of street space does not change, for the most part, the property lines are the same, and buildings allow the public into the space affording some phenomenal (conceptual) transparency. In a way, this design problem is the raison d’etre of interior design planning strategy – to reformulate new relationships and programmes within the same interior (street). This type of thinking is useful for tactically modifying the street for the contemporary city. Affordances can be described as all the possibilities in the world for how any agent (person, animal, or machine) interacts with something else [5]. Affordances are all the possible actions that may occur in a place, and the actions need to be discoverable by the user of the street in order to be properly enjoyed and used [6]. The cultural constraints of the street are slowly changing in North America, with great leaps having occurred with the push for asphalt promoted for road paving by the 1880s cycling clubs, which led to improved sidewalks to make walking and moving on wheels more pleasant and efficient. The haphazard use of the early streets’ affordance in the first decades of the last century gradually bifurcated and then grew with tarmac, referring less to pedestrian and cycling habits and more to encourage automotive and heavy transport vehicles to follow. Sidewalks became zones to control social behaviour with road design preoccupied with traffic flows and smooth banked entryways to freeways. Changing behaviour and the conventions of our times it seems, is incremental, Norman cautions us to reflect before adopting any novel ideas that disregard how powerful our existing cultural constraints are, which do not disappear quickly. Stanford Anderson looks at the street and conventions a bit differently; he suggests that societal change can happen without any large infrastructural changes, society can change ‘without physical change,’ it can take charge of the potential latency in the space [7], which seems to forecast changes in conventions, such as the current shifts occurring not with bricks-and-mortar but with social networks and mobility applications. On the street confusion results with many differently abled vehicles all sharing the street lane, conventions exist but the majority stake of those that make up the bulk of actual traffic tend to define behaviour. Painted dashed line signifiers suggest universality of use for all but the reality is far from the original affordance of the street. The accidental, the misunderstood, the unintended and unexpected are conditions that are, in some circumstances good for the ongoing project of the contemporary public realm, or street. Trying to engineer such a sequence of interpretation by the public in the street using the terms above would be a folly and probably would lead to heavily ironic and potentially unsafe spaces. When looking at the history of how circulation, specifically an internal street or corridor emerged in western society, Robin Evans pinpoints the date at about 1597 (From Figures, Doors, and Passages) to a British home that introduced the idea of separated rooms linked up by a corridor or hallway. The doors begin to have only one way in and out to the hallway. This is, according to Evans, a revolution in the way people and spaces have begun to be segregated [8], with an emphasis on a minimum of visual and physical contact being seen as desirable. If one compares this to the long history of adjacent rooms, with many different doors leading to other rooms, the differences in circulation and experience is quite apparent – and this shift in thinking about circulation systems of people and goods can be seen in the design of our current streets and public spaces, even our own homes. The publicness of the movement system reduces friction between parties.


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The ‘interpretation of a perceived affordance is a cultural convention,’ [9] Don Norman, an early advocate of the word Affordance, explores the relationship of the affordance of things to the design of things and space. James Gibson coined this word in 1979 [10]. Norman uses the doorknob as an example of a tool that has the perceived affordance [11] of grasp ability, and that, in certain cultures, it signifies that a portal can be opened or closed. If such a doorknob were to be placed on a wall, or on the floor, then the interpretation will be different. On the floor, it might be used to tie a dog’s leash to, or it can be used to hang a coat onto if it were placed on a wall [12], and so on. The types of affordances in the design of streets that are intriguing are what Norman has coined accidental affordances, as the misplaced doorknob offers to cultures who use doorknobs, or if placed in a culture that does not use doorknobs for turning, which can become strongly suggestive (a signifier) to the public, especially if an affordance begins to be used for purposes that it was not originally intended for. Today, we ask of our cities to come closer to the urban ideal of what a street/public space should be, and move away from the trend to ‘segregate, contain, and enclose uses.’ [13] Clear signifiers as to how to use the lane will help with safety and greatly increase the comfort of sharing the road when a separate bike lane takes away the many levels of confusion that exist between a cyclist and someone who is driving in the same lane. For example, the driver might be thinking: ‘is this cyclist going to swerve into me because of the upcoming pothole?’ or ‘can I pass them quickly enough before the next intersection, and turn quickly?’ Such thoughts races through both the driver’s and cyclist’s heads while both are engaged with sharing the same 9 feet width (2.7 m). Clearing up this century-long confusion of how to best use the street lane and curb in the city will lead to the reconsideration of other spaces along the city street as technology rapidly changes. The cultural constraints of the city have reinforced behaviours relating to the street including the sidewalk, the various types and functional affordances of street furniture, shop owner displays and the terms of engagement dealing with parking, curb cuts, and intersections. So we adapt and modify the space to be comfortable – the street pole affords leaning on, a tree becomes a good place to lock up a bicycle, overhangs and alcoves afford shelter, and a wider sidewalk becomes a place to sell your wares or busk to passersby. We can consider the unintended (accidental affordances) of things and spaces having to do with street design and use. Naturally, the winter city street has affordances that shift with the seasons; in winter the snow and ice tend to limit speed, types of activities (seating outdoors, cafe culture, etc.) and the warmer weather brings many more temporary events and uses. This recognition of the changing nature of the street, the public realm, underscores the importance of using the street in as many possible ways during the warmer months. One of the problems to overcome in urban street design is the legacy problem as coined by Newman [14]. It will involve jurisdictions and communities having to alter some of the physical conditions of the existing street to incorporate the need for width in sidewalk and cycling lanes (in street section) to lead towards an emancipation of the street. 2  THE CHANGING PHYSICAL NATURE OF STREETS A street is a cultural surface that affords forward movement as well as a place to rest/to temporarily stop or park, and to communicate with the public. Circulation and the variegated options – the affordances available to the outdoor room that is the streetspace. When Gibson describes the ecological laws of materials, substances and surfaces he indicates that it is the surface of things ‘where most of the action is.’ [15] In the North American urban diet there tends to be more roads than streets in the use of our shared public ways. With roads/streets making up a third to a fifth of all public space in North American cities [16], the

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transformation of the street is not a small or isolated transformation of shared use. There is gathering momentum noticed with the public using terms that better define all users of space as being multi-mobile, complete streets, multi-modal, omnimobile users – being only some of the recently coined terms popular in use. A growing awarenes of the space hunger of the car is leading to reflection on the value the surface of asphal or sidewalk has when engaged in riding or parking of vehicles; there is a two-tier system that is being noticed. One wants to feel that they belong to the street and road. And when you think about it ‘there’s something that’s quite empowering about parking your bicycle on the sidewalk,’ [17] as compared to lifting your bike up onto the sidewalk and walking it to a vacant bike post. This strategy of inclusivity has been embraced with many cities implementing bike lanes between parked cars and the walking side of the street. Any form of empowerment that builds the levels of comfort and safety creates opportunities for other affordances on the street that were previously unthought of, especially if a street was felt to be alienating and dangerous. In an essay that Schumacher makes in the text On Streets, he presents an important diagram of a blended space between a cafe interior, an arcade, a walkway, and an extended cafe space shared by both the walkway and the public way observed in Italy. In this manner, Schumacher is diagramming a fuzzy space between uses and users that is made all the more dynamic by virtue of the pleasantness of the walking space and the diverse spectacle of people seeing each other walking, talking and eating inside and outdoors. [18] Such looseness of fit and comingling two activity zones is something to strive for in the slackening scenario of public parking and emerging sharing economy and what we can do with city street spaces. The affordance of the street is a shared, human condition of varied and complex public and private experiences. It is important to state that it is being rewritten not only by the planning and municipal boards but by the emerging sharing economy, the mobility application applications and by the citizen organizations dedicated to sharing the street. Traditional views of street conventions (e.g. the only way to hire a temporary ride was to flag down a vehicle on the street or call a taxi dispatch service to hail a private vehicle for you) are being challenged by newer formats of mobility to connect and utilize the possibilities of the internet. In many instances, municipalities are playing catch-up with all the sharing apps that have shifted the terms of engagement between users through mobility devices and infrastructures. In 2002, Mark Wigley wrote prophetically that: Interiority stops being that which is clearly defined by defensive walls and becomes a fragile effect of flows in circulation or traffic networks. The circulation network takes over, becoming more and more complex. It becomes the new interior (my italics). People occupy the circulation system rather than spaces connected by that system. [19] Tridib Banerjee reminds us that in the North American context, there has not been much added physical public space (in terms of parks and open spaces) in recent decades. [20] He advocates that the planners do take an active role in bringing back needed rethinking about what constitutes the urban realm today and that the streets can be captured for social purposes, even though conventional land use planning treats streets as ‘a simple circulation element of the general plan.’ [21] Examples exists: consider the parkettes squeezed down to size--micro-PARK(ing) lot transformations that began way back in 2005 in San Francisco. These small plots of transformed roadway parking attest to the transformative power of incremental design named Everyday Urbanism by Margaret Crawford and others seeking a more community-based architectural response to street life. [22] Quentin Stevens would like to see


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more of the street life be incremental and open-ended, as well as flexible and reworkable. [23] He promotes using props that become architectural space-defining objects, play structures and street furniture. He also sees the value inherent in the idea of what accidental affordances found in places and things that do not reveal their meaning entirely. These elements are the ‘microgeography of urban space’ [24] In fact, we are talking about elements in street space that function to either connect or divide us; if we are comparing as to how the elements reinforce each other in the street it is useful to recall Simmels’ preference of using the idea of a door to that of a bridge when imagining how to connect different zones, with the former simultaneously separating and connecting the thresholds of both interior and exterior realms. [25] In the summer of 2016 there will be 135 on-street parking spots temporarily removed for the proposed demonstration bike lanes on Bloor Street West, the main eastwest artery across the city; it will have a 2.5 km dedicated bike lane along it. Changing the perception of the need for a better cyling design and how this will, in turn, improve other aspects of street and city life has been in the making for decades. [26] It takes a neighbourhood to raise awareness; five residents’ associations, local councillors, business improvement associations, and cycling advocacy groups have worked with the city to propose this pilot study. [27] This important precedent, going forward, will be influential when decisions are made about the 10-year newly proposed city bike plan network. Up until the 1960s there were plenty of free parking areas available in most large city centres. As soon as parking ceased to be free, driving and owning a vehicle began to lose some of its lustre as a symbol of independence and freedom. Some 50 years later, Toronto is taking a large step towards a new street paradigm, albeit slowly. Recognizing and enmeshing the different street presences along the bike lane experiment – the institutional university and civic buildings that stretch through the experimental route co-mingle with the neighbourhoods. Combining together such a diverse group with a bike reflects the fact that cycling itself is different than driving in the city, perhaps differing from the goals of other motorists. Cyclists represent a wide array of users: short-distance casual users of the street, sight-seeing, riding for pleasure, commuters, couriers, as well as dedicated athletes. Using both acquired muscle memory and recognition of the patterns of the street, along with the various seasonal and temporary events (i.e. rush hour or a sudden rainstorm) the new bike lanes and cyclists both serve and help to strive to create the resultant sympatric environment of commuting by making visible and adjusting street use itself. 3  TRANSFORMATIONS AND GROWING TECHNOLOGIES Edward Tenner, in Our Own Devices writes that our lack of an ‘unmediated contact’ with the world that only the true hunter-gatherer enjoys is arguably a pressing problem that needs addressing. [28] Our growing separation from the natural surfaces and spaces might be better balanced with appropriately deployed technology on the city street; be it a bench, surface treatment of a bike lane, or a usable space for temporary street vendors and performers. Another way to look at the problem of the rising dissasociation we have with our physical spaces due to technologies is to harness technology back at the problem in order to create a richer street life. Raphael Lozano-Hemmer installed in various cities his relational architecture projection project and used the affordance of a large square or sidewalk and a backdrop of a wall or temporary scrim + scaffold to project onto a user-manipulated series of still images of people walking and using the street. Lozano-Hemmer has manufactured a temporary space of interaction (art) on the street in his Body Movies art project, where strangers

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stop by and pose to copy the silhouettes projected onto a wall, thereby setting off a computer sequence that advances to another image of different silhouettes. This temporary urban art work brings strangers together for a short while, improving the micro urbanity with technology. [29] Artists challenge cultural norms often as a strategy as part of their work. Don Norman suggests some examples of disrupting some everyday cultural norms: walking into an elevator and standing facing the back of the elevator, away from the others in the elevator, giving your seat up to the next athletic-looking person in a bus or streetcar. [30] These scripts governing our commonly understood local, cultural and social situations (e.g. how to behave in a restaurant, etc) sometimes have to be challenged in order to move beyond a banal streetscape that does not afford (‘is for’) much beyond walking. The work of Acconci Studio mixes art practices with local, sensitive projects concerned with site-related concerns. The engaging street interventions in Memphis, Tennessee (2003), is a good example of how artists take advantage of accidental affordances and transform the use value of the unspecified and open-ended programme to great effect. The space (Fig. 1) is a typical corner urban condition, the sidewalk corner intersection adjacent to a modern building with some set-back to the street. The artist placed a permanent object that is both part of the sidewalk (it affords walking through it and beside it) and part of the private building (semi-public overhang space and property line). A free-form steel form defines two distinct interior ‘rooms’ for gathering and also provides some view ‘cones’ to appreciate the environment. This might be defined as street furniture or a shelter from the sun/rain, but it is not an example of large-scale public art that was prevalent in the decades after the 1960s. This form suggests alternate language and programme for the sidewalk that is adrift from city furniture standards and ordinances. The form transforms the public sidewalk into a sun shelter, walkthru space and outdoor performance/meeting rooms. Another unrealized project was to create a large-scale bicycle park in the Netherlands – it was to ‘make the simple act of parking a bicycle an experience that is no longer banal and mechanical, but an eccentric act.’ [31] The emergence of applications such as Uber, MaaS, Airbnb, and so on, has disrupted the decades-long way of doing things. What was limited choice and many unknowns typical in travel and transportation is now being rewritten. The introduction of smart cars and vehicles to the street ecosystem in the near future will further challenge the ways streets are and will be configured. This will necessitate a new street paradigm, potentially revolutionary in scope, as the very notion of to park and ownership models associated with vehicles will be tested by

Figure 1: Google streetview, acconci studio street intervention in Memphis.


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the generations brought up with the linked, sharing economy to a future of mobility-connected networks. Mobility as a service (MaaS) coined by Sampo Hietanen, challenges traditional car ownership, and ‘some transport sociologists say that information about mobility is 50% of mobility. The car will become an accessory to the smartphone.’ [32] Thinking our way forward in this new virtual/real urbanity and streets in general, Martijn de Waal sees the individuals who self-assemble into like-minded groups as a model of minimal cohesion, rather than the worn public realm planning of the 1900s that attempted to bring everyone together, no matter their differences or diverse needs and wants for public space. de Waal sees this offspring of urbanity – the new public realm parallel to the physical publics, where protests and physical interactions may occur and that the interfaces of the city built form and the new media can both be modified and crowd-sourced effectively to build the types of community that we need to be sustainable in the city. Putting into practice this networked individualism [33] the public city can be incrementally adapted as part of this technological change that we are currently experiencing. Our controlling hand upon the wrinkled ground is, as James Gibson puts it, making life easier for us, but has made life harder for most of the other animals. [34] We can paraphrase the ongoing transformations and creative connections for making the street (roadway) surface more convenient for quick auto travel: we have made the neighbourhood street life harder for everyone else. It also indicates that expediency has provided many opportunities for us to seek improvements to how we do things in the city. In the re-appraisal of the status quo, how we better understand the local dynamics of a place, as Georgeen Theodore states how important it is to ‘understand the local dynamics’ if you intend to affect the ‘material flows and different systems of organization’ in the urban network. [35] Incremental change happens, proceeded by a clear idea of how to disrupt established hierarchies of traditions that are in need of different thinking. CONCLUSION After a century, streets will return to people first. Don Norman reminds us that even though ‘our technologies may change, (but) the fundamental principles of interaction are permanent,’ [36] the street is much more than an instrument or a societally agreed upon well-made pathway, it affords the fullest human interaction in a public setting. It was always tied to the idea of mobility. Now mobility has moved beyond the street and road, and the state of the street’s health and mobility in general is in an exciting time of change. It is not fully clear yet if we have reached peak car, but it seems that the rhetoric about any war on the car has somewhat dissolved, with cities around the world pledging to improve streets. The future of everyone’s mobility seems to be headed towards further collaborative and sustainable models that propose different sustainable futures/options that imagine door-to-door service and/or multi-modal trips with all visions being less reliant on auto ownership. The solutions in the future are, it seems, in the hands of the design optimists and those who value the physical space interactivity of the street and their social networks. REFERENCES [1] Rykwert, J., The street: the use of its history. On Streets, ed. S. Anderson, The MIT Press: Cambridge, p. 23, 1978. [2] Norman, A., Donald. The Design of Everyday Things, Basic Books: New York, p. 218, 2013. [3] Jacobs, A.B., Great Streets, The MIT Press: Cambridge, p. 8, 1999.

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[4] Rykwert, Ibid, p. 16. [5] Norman, Ibid, p. 18. [6] Ibid, p. 145. [7] Anderson, S., People in the physical environment: the urban ecology of streets. On Streets, ed. S. Anderson, The MIT Press: Cambridge, p. 7, 1978. [8] Evans, R., Figures, doors, and passages. Space Reader: Heterogeneous Space in Architecture, eds. M. Hensel, C. Hight & A. Menges, John Wiley & Sons Ltd: Chichester, pp. 73–96, 2009. [9] Norman, D., Affordance, Conventions, and Design, available at: dn.mss/affordance_conv.html [10] Gibson, J., The Ecological Approach to Visual Perception, Lawrence Erlbaum Associates Publishers: Hillsdale, 1986. [11] Norman, A., Donald. The Design of Everyday Things, Basic Books: New York, p. 16, 2013. [12] ibid. [13] Loukaitou-Sideris, A. & Ehrenfeucht, R., Sidewalks: Conflict and Negotiation Over Public Space, The MIT Press: Cambridge, p. 272, 2012. [14] Norman, Ibid, p. 127. [15] Gibson, ibid, p. 23. [16] Nelson, A., When your parking grows up: What curb spaces can become, available at: [17] Nelson, ibid. [18] Schumacher, P., Buildings and streets: notes on configuration and use. On Streets, ed. S. Anderson, The MIT Press: Cambridge, pp. 132–149, 1978. [19] Wigley, M., Resisting the City. Transurbanism, eds. J. Brouwer, A. Mulder & L. Martz, V2_Publishing/NAI Publishers: Rotterdam, pp. 103–122, 2002. [20] Banerjee, T., The Future of Public Space: Beyond Invented Streets and Reinvented Places, available at: [21] Banerjee, ibid. [22] Chase, J.L., Crawford, M. & Kaliski, J. (eds.), Everyday Urbanism, The Monacelli Press: New York, 1999. [23] Stevens, Q., The Ludic City: Exploring the Potential of Public Spaces, Routledge: New York, p. 197, 2007. [24] Stevens, ibid, p. 210. [25] Simmel, G., The Metropolis and Mental Life, 1903, available at: static/files/the%20metropolis%20and%20mental%20life%20(georg%20simmel).htm [26] Furman, A., Accommodating the Cyclist in the City, The Sustainable City IX, available at: [27] It’s really a village, not a freeway, available at: php/2015/07/31/its-really-a-village-not-a-freeway/#.VypYn4Rlvsn [28] Tenner, E., Our Own Devices: How Technology Remakes Humanity, Vintage Books: New York, p. 214, 2004. [29] Lozano-Hemmer, R., Body Movies, available at: body_movies.php [30] Norman, ibid, p. 129.


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[31] Aymonino, A. & Mosco, V.P., Acconci studio: roof like a liquid flung over the plaza. Contemporary Public Space: Un-volumetric Architecture, Skira: Milano, pp. 196–197, 2006. [32] Moss, S., End of the car age: how cities are outgrowing the automobile, available at: [33] de Waal, M., The City as Interface: How New Media Are Changing the City, NAI010 Publishers: Rotterdam, pp. 174–176, 2014. [34] Gibson, ibid, p. 130. [35] Yoos, R., A conversation with Juliette Spertus & Georgeen Theodore. Beyond Patronage: Reconsidering Models of Practice, eds. M. Bohm, J. Hwang & G. Printz, A Publication of the University of Buffalo School of Archiecture and Planning, Actar D: New York, pp. 87–94, 2015. [36] Norman, ibid, p. 298.

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Sustainable Development and Planning Encouraging a unified approach to achieve sustainability

CONTENTS Volume 12, Number 3, 2017 357

Improving urban accessibility: a methodology for urban dynamics analysis in smart, sustainable and inclusive cities R. Pérez-DelHoyo et al.


Assessment of sustainable neighbourhoods: from standards to cultural practices C. Doussard



Green coastal zones: nodes and connectors as strategy of urban regeneration J. Tuset


The challenges on spatial continuity of urban regeneration projects: the case of Fener Balat historical district in Istanbul D. Erbey & A.E. Erbas

Between the transfer of development rights and the equivalency values: the case study of Natal, Brazil P. Italo dos Santos Galvão


Non-financial compensations: a proposal to refurbish the old residential buildings in Benidorm (Spain) Armando Ortuño Padilla


Shareable city, regenerated by making C. Cellucci & M. Di Sivo



Reforging spatial identity for social sustainability R. Barelkowski

Planning and management challenges of tourism in natural protected areas in Baja California, Mexico R. Rojas-Caldelas et al.


Comparative analysis of environmental performance of an office building using BREEAM and GBL Wei Cheng et al.


From Ecocity to Ecocampus: sustainability policies in university campuses L.A. Sandoval Hamón et al.


Smart monitoring of benzene through an urban mobile phone network Luca Dalla Valle et al.


Evolution as a kaleidoscope: experiences of resiliency and relevancy in Lethbridge, Canada P. Stein


CITYOPT planning tool for energy efficient cities Pekka Tuominen et al.



The reorganization of development rights at inter-municipal level: different scenarios for an alternative land-use forecast in Seriana Valley in Italy L. Lazzarini & C. Chiarini Sustainable cities: an analysis of the contribution made by renewable energy under the umbrella of urban metabolism A. Barragán & J. Terrados


Driving functions for urban sustainability: the double-edged nature of urban tourism R. Fistola & R.A. La Rocca


The role of business incubators in the development of sustainable clusters of cultural and creative industries A. Romein & J.J. Trip


Urban facilities management: a systemic process for achieving urban sustainability Luke Boyle & Kathy Michell


Supporting carbon neutrality in urban environments using positive energy buildings Charles Rau


‘The management indicator’ from the point of view of an urban assessment J.E.R. Nieto et al.



Continuity and adaptability: a collaborative, Eco-Industrial Park (EIP)-focused approach to managing Small Town Community (STC) sustainability Richard Cawley

Functional aspects of modern and ancient pedestrian mobility on historic stone pavements E. Cepolina et al.


Assessment of tax burden on the ownership and use of road passenger transport in Russia I. Mayburov & Y. Leontyeva


Exploring affordances of the street A. Furman


Social conflicts in coastal touristic cities. Holistic renovation of buildings in Benidorm V. Echarri & M. Mas

ISSN: 1743-7601 (print) ISSN: 1743-761X (online)

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