Reshaping Urban Conservation: The Historic Urban Landscape Approach in Action [1st ed.] 978-981-10-8886-5, 978-981-10-8887-2

Table of contents :
Front Matter ....Pages i-xxxv
Front Matter ....Pages 1-1
Reshaping Urban Conservation (Francesco Bandarin)....Pages 3-20
The Historic Urban Landscape Approach in Action: Eight Years Later (Ana Pereira Roders)....Pages 21-54
Front Matter ....Pages 55-55
Rebuilding and Reconciliation in Old Aleppo: The Historic Urban Landscape Perspectives (Ataa Alsalloum)....Pages 57-77
Amaravathi Heritage Town – Reflections on the Historic Cultural Landscape Approach (Amareswar Galla)....Pages 79-90
Toward a Special Management and Protection Plan of Urban Heritage in Ambalema, Colombia (Sandra Higuera, Andrés Forero, Juliana Forero, Alberto Escovar)....Pages 91-109
Integrating Policy: The Historic Urban Landscape Approach in Amsterdam (Loes Veldpaus, Helma Bokhove)....Pages 111-122
The Transformational Power of the HUL Approach: Lessons from Ballarat, Australia, 2012–2017 (Susan Fayad, Kristal Buckley)....Pages 123-148
Managing Urban Heterogeneity: A Budapest Case Study of Historical Urban Landscape (György Alföldi, Melinda Benkő, Gábor Sonkoly)....Pages 149-166
Bukhara: A Living Central Asian Silk Roads City. Application of the Historic Urban Landscape Approach (Ona Vileikis, Sanjarbek Allayarov, Christian Ost, Rand Eppich)....Pages 167-186
City as Evolving Process: Case for the Historic Urban Landscape Approach for Canberra (Ken Taylor, Meetu Sharma Saxena)....Pages 187-206
The HUL Approach to Create Heritage Management Tools in the Latin American City of Cuenca-Ecuador (Julia Rey-Pérez, Sebastián Astudillo Cordero, María Eugenia Siguencia Ávila)....Pages 207-222
The Historic Urban Landscape Approach in Edinburgh’s Old and New Towns: Implementation of Projects on the Ground in a Living Capital City (Adam Wilkinson)....Pages 223-233
Havana: From the Walled City to a Historic Urban Landscape (Pablo Fornet)....Pages 235-250
The Implementation of the Historic Urban Landscape of the Island of Mozambique (Solange L. Macamo, Jens Hougaard, Albino Jopela)....Pages 251-276
Urban Heritage Conservation and Management in Jaipur (Shikha Jain, Rohit Jigyasu)....Pages 277-296
Roadmap for Implementation of the HUL Approach in Kuwait City (Roha W. Khalaf)....Pages 297-312
Case Study: Lamu Old Town (Mohammed Ali Mwenje, Salim Mohammed Bunu)....Pages 313-327
Conservation and Exploitation: Governance and Sustainability Issues: The Case of Lijiang (Luca Zan, Tao Wang)....Pages 329-340
Managing the Global Heritage City of Mexico City: Adapting the HUL Approach to the Globalised Urban Context (Deniz Ikiz Kaya)....Pages 341-356
At the Confluence of Geography, Society and History: Montreal and the 2011 UNESCO Recommendation on Historic Urban Landscape (Dinu Bumbaru C.M.)....Pages 357-370
Urban Heritage Conservation in the Historic Site of Olinda, Brazil: 1968–2016 (Silvio Mendes Zancheti)....Pages 371-386
Revitalizing Urban Parks to Uplift a Rust Belt City: HUL Applied to Pittsburgh, PA, USA (Patricia M. O’Donnell)....Pages 387-401
Perspectives for a Historic Urban Landscape Approach in Porto, Portugal (Teresa Cunha Ferreira, Ana Tarrafa Silva)....Pages 403-421
Rabat, Morocco: Sustaining the Historic Urban Landscape of Rabat: Strategies and Implementation (Hassan Radoine, Salwa Aomorali)....Pages 423-433
Heritage-Based Urban Development: The Example of Regensburg (Matthias Ripp, Susanne Hauer, Meltem Cavdar)....Pages 435-457
Enhancing Rural-Urban Linkages Through the Historic Urban Landscape Approach: The Case of Shuang Wan Cun in the Jiangsu Province (Giulio Verdini, Feiran Huang)....Pages 459-472
Actual and Intangible in Tel Aviv: A Reexamination of Conservation Strategies in a Modern City (Rachel Gottesman, Jeremie Hoffmann)....Pages 473-482
The Circular Economy as a Model to Implement the Historic Urban Landscape Approach: Which Integrated Evaluation Method? (Mariarosaria Angrisano, Luigi Fusco Girard)....Pages 483-510
Operationalizing the HUL Recommendation in Urban River Corridors: Challenges and Perspectives (Manal Ginzarly, Jacques Teller)....Pages 511-527
Zanzibar: The HUL Approach Explored (Muhammad Juma, Michael Turner)....Pages 529-543
Back Matter ....Pages 545-570

Citation preview

Creativity, Heritage and the City 2

Ana Pereira Roders Francesco Bandarin Editors

Reshaping Urban Conservation The Historic Urban Landscape Approach in Action

Creativity, Heritage and the City Volume 2

Editor-in-Chief Hiroshi Okano Osaka, Japan Series Editors Francesco Bandarin Paris, France Marisol García Cabeza Barcelona, Spain Xavier Greffe Paris, France Lily Kong Singapore Klaus Kunzmann Dortmund, Germany Edmond Préteceille Paris, France Hans Thomsen Zurich, Switzerland Minoru Tsukagoshi Osaka, Japan

Cities are faced with various problems, including terrorism, energy challenges, and environmental issues, as well as inter-urban competition brought about by expanding globalization forces. What is required is to gather theoretical insights from various scientific areas, not only social science– humanities but also natural science, and connect them to the practical insights already gained through numerous efforts to deal with these issues on the ground. In this way, paradigms for urban creativity can be developed and we can start to accrue dependable practice and theoretically based intelligence that can be used for improved policymaking. The keywords for this book series are “urban creativity”, “(cultural) heritage”, and “social development”. Developing cultural and natural resources, including heritage, so as to take the lead in evaluating, implementing, and suggesting urban or regional designs that harmonize ecology, society, and people, and to further develop urban and regional culture is essential. There is a particular focus in this book series on fostering individuals who can design, manage, and direct models, technologies, and tools for promoting interfaces between such actors as policymakers, urban planners, engineers, and residents. The above-stated goals can be implemented through cooperation with international research communities and networks, international organizations, and natural history institutions, academies of science, and research institutes. More information about this series at http://www.springer.com/series/13785

Ana Pereira Roders  •  Francesco Bandarin Editors

Reshaping Urban Conservation The Historic Urban Landscape Approach in Action

Editors Ana Pereira Roders Professor in Heritage and Values Delft University of Technology Delft, The Netherlands

Francesco Bandarin UNESCO Advisor Paris, France

ISSN 2366-4584     ISSN 2366-4592 (electronic) Creativity, Heritage and the City ISBN 978-981-10-8886-5    ISBN 978-981-10-8887-2 (eBook) https://doi.org/10.1007/978-981-10-8887-2 Library of Congress Control Number: 2018961391 © Springer Nature Singapore Pte Ltd. 2019 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, express or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

To Ron

The ideas and opinions expressed in this book are those of the authors and do not necessarily represent the views of UNESCO and do not commit the organization.

Preface

This edited book was first conceptualized by Francesco Bandarin and Ron van Oers in early 2015. Sadly, Ron passed away, and did not have the opportunity to continue with this book. To honour his full commitment and key role in the drafting, adoption and implementation of the 2011 UNESCO Recommendation on the Historic Urban Landscape, (HUL approach), fostering the integration of heritage management in regional and urban planning and management and strengthening the role of heritage in sustainable urban development, Francesco Bandarin and Ana Pereira Roders decided to carry on the project. This resulted is the present book, certainly an imperfect reflection of that ambitious idea. Those exploring the HUL approach, all miss Ron dearly and wish he was here with us witnessing the boost given to his work by the many scholars and practitioners who keep joining over the years with their experiences and lessons. Earlier publications and research looked at the underlying theory of why the HUL approach was needed and how it was developed and elaborated by UNESCO. A comprehensive study was carried out in consultation with a multitude of actors in the twenty-first-century urban scene and with disciplinary approaches that are available to heritage managers and practitioners to implement the HUL approach. Instead, this book aims to be empirical, describing, analysing and comparing a sample of 28 cities taken as case studies to implement the HUL approach. From those cases, many lessons can be learned and much guidance shared on best practices concerning what can be done to make the HUL approach work. Whereas the previous studies served to illustrate issues and challenges, in this volume the studies point to innovations in regional and urban planning and management that can allow cities to avoid major conflicts and to further develop their competitiveness. These accomplishments have been possible by building partnerships, devising financial strategies and using heritage as a key resource in sustainable urban development, to name but a few effective strategies. For these reasons, this volume is primarily operational, linked to the daily work and challenges of practitioners and administrators, using specific cases to assess what was and is good about current practices and what can be improved, in accordance with the HUL approach and aims.

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This book would not have been possible without the authors, who carefully and timely prepared the chapters and boxes, as well as reviewed each other’s contributions. The editors would like to thank Shane Cullen and Nadia Pintossi for their active and constructive copy editing. Last, we would like to thank the editors of the series Creativity, Heritage and the City. Their patience and support allowed the publication to mature and the authors to develop their chapters accordingly. Unlike other global books, we purposely choose not to cluster the chapters into regional sections. We wanted to endorse Marshall McLuhan’s analogy of the world as a “global village”, where cities can smartly use modern technology, to connect and learn from each other, independent from their political region or country, exchanging knowledge and experiences on the adoption of innovation on what concerns the reform of heritage planning and its integration with urban and regional urban planning. Consequently, we decided to present the case studies in alphabetical order. This book starts with two introductory chapters. First, Francesco Bandarin’s policy review on the process that led, throughout over 30 years of policy evolution, to the integration of culture in the international development agenda, framing the HUL approach to the new policy framework and major shift in cultural policies that is reshaping the field of urban conservation, from the Decade for Cultural Development (1988–1997) to the Agenda 2030 adopted by the United Nations in 2015. Second, the literature review of Ana Pereira Roders on the global dissemination and implementation of the HUL approach. This chapter discusses the state of the art, contextualizing the experiences and key lessons of these leaders so far, active in the global diffusion of heritage planning innovation. This second chapter also includes smaller contributions of other authors than the ones of the 28 chapters (boxes), so that an even richer and broader perspective about the implementation of the HUL approach could be given to the readers of this book. As in any other process of adoption of innovation, these last eight years have been as challenging as rewarding; but the greater impact is yet to come, during the next years. We gladly keep following the processes of these and many more cities. Cities are the modern global leaders. Together, cities can smartly innovate towards resource efficiency, co-producing sustainable urban development, inclusive to all, irrespectively of background, status, gender, age, disability or education. As the African proverb says, “If you want to go fast, go alone. If you want to go far, go together”. Delft, The Netherlands Paris, France

Ana Pereira Roders Francesco Bandarin

Acknowledgements

We would like to express our deepest gratitude to the contributors of chapters and boxes1 in this volume, as well as Ms. Nadia Pintossi, who integrated these materials into the final manuscript. It is a great pleasure for us to mention their short profiles below. György Alföldi (DLA and habil in architecture) is an urban planner, Professor at the Department of Urban Planning and Design at BUTE (http://urb.bme.hu) and Chairman of the Standing Committee of Urban Sciences of the HAS. Between 1999 and 2016, he was responsible for the urban development of District 8# of Budapest, taking part in the urban regeneration projects, which became well known across Europe. (Chap. 8) Hiba Alkhalaf is a postdoctoral research associate at King’s College London. She is a conservation architect and holds a PhD in architecture and MSc in architectural conservation. She has worked and taught internationally, especially in the UK and Middle East. Her interdisciplinary research bridges architecture, urban conservation and sustainable development connecting the physical (buildings), meaning (people and community) and the function. (Box 10) Sanjarbek Allayarov is culture officer at the UNESCO Office in Tashkent. He is responsible for the regular programme and projects, particularly within the framework of tangible cultural heritage including World Heritage and the Silk Roads nomination. He was also project coordinator for preservation and conservation of the Buddhist temple Fayaz Tepa, Termez, Uzbekistan. (Chap. 9 and Box 6) Ataa Alsalloum is currently a lecturer in architecture and urban heritage at the Liverpool School of Architecture. She is also the heritage specialist at the ArCHIAM Centre. She has a PhD in cultural heritage studies from the Liverpool School of Architecture. She was a full-time lecturer at Damascus University from 2011 to 2016. (Chap. 3 and Box 1) Mariarosaria Angrisano is PhD architect in “Evaluation methods for integrated conservation, management and maintenance of architectural, urban and environmental heritage” (2015). She is ICOMOS member and researcher at the “Laboratory  Box numbers are numbers in Case Study Boxes.

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of research on creative and sustainable city”, in the field of the port cities regeneration. (Chap. 28 and Box 30) Salwa Aomorali is an architect, currently working at the School of Architecture, Planning & Design at the Mohammed VI Polytechnic University in Morocco (UM6P). She received her degree in architecture from Ecole Nationale d’Architecture (ENA) in Rabat, where she also obtained her dual degree of specialisation in architectural heritage from ENA and la Cité de l’Architecture et du Patrimoine de Chaillot. Her research interests include resilience and sustainability in urban and architectural heritage. (Chap. 24) Lazare Eloundou Assomo is currently Director of the Division of Culture in Emergencies at UNESCO. He is an architect, conservator and town planner specialized in earthen architecture and cultural heritage management. He was UNESCO representative in Mali and coordinator for UNESCO’s actions to rehabilitate Mali’s cultural heritage damaged during the 2012 armed conflict. He authored the book African World Heritage: A Remarkable Diversity. (Box 29) Sebastián Astudillo Cordero is an architect; specialist in valuation and conservation of the historic urban contexts, URB_AL (2003–2004 Vicenza, Italy); master in Landscape Architecture Faculty of Architecture and Urbanism, University of Cuenca; Professor of the University of Cuenca; consultant in Urban and Cadastre C+C Consulcentro; and director of the Master in Conservation of Monuments and Sites and Faculty of Architecture and Urbanism, University of Cuenca. He has developed several projects of urban design, architecture and restoration. (Chap. 11 and Box 8) Melinda Benkő (PhD and habil in architecture) is an urban designer, associate Professor and head of the Department of Urban Planning and Design at Budapest, University of Technology and Economics (http://urb.bme.hu). Her research, teaching and professional activities focus on contemporary urban design theory and practice related to urban form and space usage. (Chap. 8) Helma Bokhove was coordinator for the World Heritage Office of the Amsterdam Canal Ring Area from September 2012 to January 2017. Now she is programme coordinator for the Central Borough of Amsterdam, which is responsible for the urban management and conservation of the historic centre of the city. (Chap. 6 and Box 2) Kristal Buckley, AM, is lecturer in cultural heritage at Deakin University, Melbourne (Australia). Kristal Buckley’s teaching and research interests concern evolving forms of global cultural heritage practice. She is a former ICOMOS International Vice President and past president of Australia ICOMOS and works with the ICOMOS World Heritage Program. She is an expert member of the ICOMOS ISC for intangible cultural heritage and is a board member of the Port Arthur Historic Site Management Authority. (Chap. 7 and Box 4) Dinu Bumbaru, CM, is a graduate in architecture and conservation. He is Fondation Héritage Montréal’s policy director. His Montreal action to protect, reveal and activate the greater metropolitan area’s built, urban and landscape ­heritage through civic processes connects with his international volunteerism, in particular in ICOMOS of which he was secretary general. (Chap. 20)

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Salim M. Bunu holds a bachelor’s degree in education from Kenyatta University and a master’s in community development from Pwani University. Salim did many heritage-related courses at the Research Institute of Swahili Studies in Africa, worked as a high school teacher and joined National Museums of Kenya as community education officer and then as a senior curator/manager of Lamu Museum and World Heritage Site where he is involved in many Conservation programmes. (Chap. 17 and Box 18) Meltem Cavdar is a research assistant and PhD candidate in assistant professorship of Recent Building Heritage Conservation at the Technical University of Munich. She is a specialist in building archaeology, holding degrees from Istanbul Technical University and Regensburg University of Applied Sciences. In her doctoral thesis, she is investigating the development and use of wooden formwork for concrete construction. (Chap. 25) Ayşe E. Coşkun Orlandi, PhD, is currently working as an assistant Professor at the Faculty of Art and Design of the Kadir Has University in Istanbul and is the chairperson at the Department of Industrial Product Design. She received her BA as industrial product designer in 1997, received a Master in Design (MD) degree at Domus Academy, Italy. In 2009, she has got her PhD degree and has been lecturing and researching in the field of industrial product design since 2000. (Box 13) Teresa Cunha Ferreira holds a degree in architecture (Faculty of Architecture, University of Porto, FAUP) and a PhD in architectural conservation (Milan Polytechnic, 2009); professional experience (DREMN-DGEMN, Portugal; SBAPMi, Italy), among other projects in heritage management and conservation; and teaching activity in EAUM (2009–2017) and FAUP (since 2012). Teresa is member of CEAU-FAUP and of the Direction of ICOMOS-Portugal. (Chap. 23 and Box 25) Alaa El-Habashi is an Egyptian Professor of architecture and heritage conservation and chairs the Department of Architecture in Menoufia University. He received his MS and PhD from the University of Pennsylvania. He attempts throughout the last 25 years practicing in many Arab countries to find cultural heritage conservation frameworks that respect values and local communities. (Boxes 7 and 23) Rand Eppich is an architect whose work focuses on the role of cultural heritage in economic and community development at a number of World Heritage properties. He holds master’s degrees in architecture, urban design and business and is currently completing his PhD dissertation. He has recently established his own architectural conservation studio. (Chap. 9) Yonca Erkan collaborates with the UNESCO World Heritage Centre as the HUL/World Heritage Cities Programme Coordinator since 2017. She is the UNESCO chairholder on the management and promotion of World Heritage Sites: New Media and Community Involvement at the Kadir Has University. She is a conservation architect (1996), studied Islamic art and architecture at the Massachusetts Institute of Technology (MIT) (1998) and received her PhD degree (2007) from Istanbul Technical University. (Box 13) Alberto Escovar Wilson-White is an architect of Universidad de los Andes, Colombia. He has been a leader in the field of heritage management in Colombia for

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over 20  years. He is currently the heritage director in the Ministry of Culture of Colombia. As general director of the Escuela Taller Foundation of Bogotá and Buenaventura, he has led projects directed at generating cultural entrepreneurship and income for low-income youths. (Chap. 5) Susan Fayad is coordinator of Heritage and Cultural Landscapes, City of Ballarat (Australia). Susan Fayad is managing the rollout of UNESCO’s Recommendation on the historic urban landscape (HUL) pilot programme at the City of Ballarat. She is an active member of the global HUL programme, contributing both internationally and locally in Australia. She’s lectured on HUL and co-­ authored The HUL Guidebook – a practical guide for managing heritage in dynamic and constantly changing urban environments with WHITR-AP, China. (Chap. 7 and Box 4) Francesca Ferlicca is architect and magister in urban planning, Faculty of Architecture of the Università degli Studi Roma Tre (Rome). Since 2013, she has resided permanently in Argentina. She has worked as a consultant at the Government of Buenos Aires. She currently works at the Urban Digital Laboratory at CIPPEC. (Box 5) Andrés Forero is an anthropologist with a master’s degree from the University of Amsterdam, with experience in the field of qualitative cultural research and the analysis of heritage policy. As an advisor in ICH for the Ministry of Culture in Colombia, he has worked in the planning of heritage safeguarding, including the management of safeguarding plans of cultural heritage elements and the construction of heritage conservation tools. (Chap. 5) Juliana Forero is an anthropologist and has PhD in urban studies from Huazhong University of Science and Technology (HUST) and a master’s in social anthropology from Universidad de los Andes. She coordinated the HUL programme at UNESCO-WHITRAP and currently coordinates ICH at the Ministry of Culture of Colombia. Her working experience on the social function of heritage has focused on generating sustainable development through cultural assets. (Chap. 5) Pablo Fornet is a geographer and urban planner with over 30 years’ experience in the field of heritage management. He holds a master’s degree in urban studies by El Colegio de México. His work focuses on environment, demography and information systems. Since 2008, he has served as vice director of Old Havana’s Master Plan Office. (Chap. 13 and Box 12) Luigi Fusco Girard is emeritus Professor of the University of Naples Federico II and is associated to several national and international research projects. He is the director of the International Laboratory on Creative and Sustainable City. (Chap. 28 and Box 30) Amareswar Galla is currently chief curator at Amaravathi Heritage Centre and Museum, Amaravathi Heritage Town; visiting Professor at the School of Planning and Architecture, Vijayawada; previously Professor of museum studies at the University of Queensland; Professor of sustainable heritage development studies at the Australian National University; and has an extensive publication record. (Chap. 4)

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Manal Ginzarly is an urban planner who graduated from the American University of Beirut. She is currently a PhD candidate at the University of Liège, Belgium. Her interests focus on the different natural and sociocultural processes that construct the urban landscape spatially and experimentally and on urban governance. Her inquiry is centred on everyday landscapes as an integral part of people’s cultural heritage and on innovative methods and tools to address these. (Chap. 29 and Box 32) Rachel Gottesman is head of the research lab at the White City Center Tel Aviv and a lecturer at Haifa University. Her PhD, awarded at Tel Aviv University, dealt with spatial perceptions in ancient Greece and her research focuses on the history of the ancient Mediterranean, spatiality and urbanism. (Chap. 27) Susanne Hauer is junior heritage manager with a background in political sciences and journalism. She focuses on communicating and facilitating the idea and values of the UNESCO World Heritage Site “Old Town of Regensburg with Stadtamhof”. Being a certified interpretive guide, she is passionate about telling new stories about cultural heritage and to get people personally involved. (Chap. 25) Sandra Higuera is an architect form the Pontificia Universidad Javeriana, Colombia, and holds a master’s degree in management of cultural heritage. Sandra has experience of over 5 years in the coordination of holistic approaches towards the planning of sustainable management of cultural heritage in Colombia. She has been an advisor for the Heritage Division of the Ministry of Culture of Colombia for over 5 years. (Chap. 5) Jeremie Hoffmann is an architect and historian, head of the Conservation Department of the city of Tel Aviv-Yafo since 2005 and founder of the White City Center. His latest publication Aforia: Architecture of independence 1948–1977 (Technion, 2017) presents the post-war architecture and urbanism of Tel Aviv as a representative of brutalistic architecture. (Chap. 27) Jens Hougaard graduated as Architect-Urban Planner in 1975. He spent most of his career in Mozambique working on social infrastructure and urban conservation. Under the Mozambican Ministry of Culture, he coordinated the first urban study of the Island of Mozambique and compiled the documentation for the candidature of the island to the UNESCO World Heritage List. (Chap. 14) Feiran Huang is assistant editor of Built Heritage at Tongji University, Shanghai (China). His major research interests are urban-rural linkages and urban heritage. He graduated in urban planning and design at Xi’an Jiaotong-Liverpool University and holds a MSc in urban planning and policy design from the Politecnico of Milano, Italy. E-mail: [email protected]. (Chap. 26 and Box 28) Deniz Ikiz Kaya holds a PhD degree from Oxford Brookes University. She was trained as an architect specialized in heritage management and sustainable development discourses. For almost a decade, she has combined research, teaching and consultancy practices in Istanbul and Oxford. Her current research project focuses on the management of historic urban landscapes located within global cities. She has also widely published on the broader topics of contested heritage, identity building and heritage protection. (Chap. 19 and Box 21)

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Shikha Jain led more than 40 conservation and museum projects across India as founder director of DRONAH. She is recipient of National-Level HUDCO Award for urban conservation in 2013 and also recognized for Urban Green Growth Best Practices. Built Heritage Management Plan of Jaipur is accepted as best practice by the National Institute of Urban Affairs, Ministry of Urban Development in 2015. She is responsible for World Heritage inscriptions of Jantar Mantar and Amber Fort in Jaipur and its inclusion as Creative City of Crafts and Folk Arts. (Chap. 15 and Box 14) Rohit Jigyasu is a conservation architect and disaster risk management professional from India currently working as UNESCO chairholder visiting Professor at the Institute for Disaster Mitigation of Urban Cultural Heritage at Ritsumeikan University, Kyoto, Japan. He is the elected vice president of the International Council on Monuments and Sites (ICOMOS) since 2017 and president of ICOMOS-­ India since 2014 and International Scientific Committee on Risk Preparedness (ICORP) since 2011. Rohit is also the trustee of the Indian Historic Cities Network Foundation (IHCN-F). (Chap. 15 and Box 14) Albino Jopela is the head of programmes at the African World Heritage Fund (Midrand, South Africa) and researcher at Kaleidoscopio  – Research in Public Policy and Culture (Maputo, Mozambique). He holds a PhD in archaeology from the University of the Witwatersrand (South Africa), and his research interest includes heritage and development in Africa. (Chap. 14) Muhammad Juma is a director of urban and rural planning since 2011. He was an assistant director general of Stone Town Conservation and Development Authority (STCDA). From 2009 to 2011, he worked as an in-house consultant at UNESCO World Heritage Centre in Paris, advising on urban conservation in Africa. (Chap. 30) Roha W.  Khalaf holds a PhD in environmental design from Université de Montréal, a master’s of architecture, a bachelor of architectural studies with a minor in French Literature and a certificate in teaching skills from Carleton University. Her experience includes architectural and urban design, cultural heritage conservation and policy-making. ORCID: http://orcid.org/0000-0002-5779-7079. (Chap. 16 and Box 17) Elizaveta Levitskaya graduated from Moscow State University with master’s degree in Asian and African studies. She also studied in South Korea, Norway and Uganda. Elizaveta was an editor of the Korean newspaper about Russia, worked with foreign for the Garage Center for Contemporary Art and volunteered for Transparency International. Since 2012, she worked at Strelka Institute and consultancy managing research including the regional report on culture and sustainable development, organized by UNESCO. (Box 16) Solange L. Macamo is assistant Professor of archaeology and heritage management at Eduardo Mondlane University, Mozambique. She is PhD trained in archaeology at Uppsala University, Sweden, and former national director for cultural heritage at the Ministry of Culture and Tourism. Her professional experience includes heritage legislation for the Island of Mozambique. (Chap. 14)

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María del Mar Loren Méndez is architect with a master’s degree from Harvard University and PhD from Seville University. She is a tenure Professor at Seville University, Spain, with an international academic background; director of the Research Group Modern Architectural and Urban Heritage; and member of the UNITWIN UNESCO Network SBESIDS-HUL. Her research trajectory focuses on modern heritage, tourism and cross-cultural studies. (Box 20) Silvio Mendes Zancheti is full Professor of the Federal University of Pernambuco (Recife, Brazil); founder and general director of the Center of Advanced Studies in Integrated Conservation; consultant to the World Heritage Center, World Bank, the Inter-American Development Bank and European Union; and contributed with ICCROM in the development of the ITUC and LATAM programmes. (Chap. 21 and Box 24) Mohammed Ali Mwenje is conservation officer at Lamu World Heritage Site. His background training is in building engineering, and he has attended courses such as ITUC 03 at ICCROM and others in Norway, Sweden, Zanzibar, Mauritius, India and China. He specializes in historic building and urban conservation and has undertaken research and published in fields such as disaster management and coastal site management. (Chap. 17 and Box 18) Patricia M. O’Donnell, FASLA, AICP, F. US/ICOMOS, principal of Heritage Landscapes LLC, holds master’s degrees in landscape architecture and urban planning. O’Donnell collaborated with UNESCO Culture and global colleagues in developing and mainstreaming of HUL and, as senior urban conservation expert, incorporated the HUL approach into revitalizing heritage cities in the USA and internationally. In this urban century, she is deeply committed to sustaining and revitalizing heritage cities and public space assets, our shared commons. (Chap. 22) Christian Ost is Professor in economics and former dean of ICHEC Brussels Management School; visiting lecturer at the Raymond Lemaire International Centre for Conservation (KU Leuven), Ecole Nationale Supérieure d’Architecture (Paris-­ Belleville) and Burgundy School of Business; and scholar-in-residence at the Getty Conservation Institute in 2008–2009. He sits on the Advisory Board of Global Heritage Fund and ICOMOS International Economics Scientific Committee, which he chaired in 2000–2005. (Chap. 9 and Box 9) Nadia Pintossi is a PhD candidate at the Eindhoven University of Technology under the supervision of Prof. Ana Pereira Roders, Prof. Bauke de Vries and Dr. Gamze Dane. Her research is part of the Horizon 2020 project “Circular models leveraging in investment for adaptive reuse of cultural heritage”. Her work focuses on the assessment of cultural heritage adaptive reuse practices to streamline circular economy using the historic urban landscape approach as analysis framework. Hassan Radoine is an architecture curator, educator and consultant. He is currently the director of the School of Architecture, Planning and Design at University Mohammed VI Polytechnic in Morocco (UM6P). He worked as an expert for UNESCO, UN-Habitat, MCC and the Aga Khan Award of Architecture. His research and practice are focused on resilient, sustainable and smart architectural and urban heritage. (Chap. 24)

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Julia Rey Pérez holds a PhD in architecture and is an associate researcher at the Department of History, Theory and Architectural Composition of the University of Seville. She is assistant to the vice dean of sustainable habitat of the University of Seville; her main areas of research include conservation, intervention and management of urban cultural heritage. (Chap. 11 and Box 8) Simone Ricca is the vice director of WHITRAP Shanghai, the World Heritage Institute for Training and Research of the Asia and the Pacific Region. He is a heritage architect specialized in the conservation and management of historic sites and cities; his researches focus on the link between politics and heritage in the Middle East and in the UNESCO World Heritage List context. (Box 15) Matthias Ripp, a senior heritage manager with a background of historical geography, is coordinating the “Old Town of Regensburg with Stadtamhof” site and researching and publishing on integrated heritage management, heritage-based urban development, heritage communication and urban resilience. He is active in numerous networks like ICOMOS or the Organisation of World Heritage Cities and appointed member of the European Heritage Panel. (Chap. 25) Dennis Rodwell, architect planner, works internationally in the field of cultural heritage and sustainable urban development. Following a series of missions focused on the holistic management of historic cities, 1998 onwards for UNESCO and others, he has been closely involved in the evolution of the UNESCO historic urban landscape initiative. He writes and publishes widely on the theme of conservation and sustainability in historic cities. (Box 3) Donovan Rypkema is president of Heritage Strategies International. Working at the nexus of historic preservation and economic development, Rypkema has undertaken assignments in 49 US states and more than 50 countries. He is the author of The Economics of Historic Preservation and teaches preservation economics at the University of Pennsylvania. (Boxes 11 and 26) Meetu Sharma Saxena is built environment professional with bachelor’s and master’s degrees in architecture (specialization in architectural conservation) with 20 years of experience of working in India, United Arab Emirates and Australia, keen urbanist with focus on urban policy and strategy and has worked on a range of heritage management projects. Currently pursuing PhD (part time) at the Research School of Humanities and the Arts (RHSA) at Australian National University. (Chap. 10) Maria Siguencia Avila, graduated in architecture at Universidad de Cuenca in Ecuador, holds the advanced “Master on Conservation of Monuments and Sites” from the RLICC (KU Leuven-Belgium). Her research is focused on cities’ conservation under the HUL approach, and this is the topic of her ongoing PhD carried out since 2015. (Chap. 11 and Box 8) Gábor Sonkoly (PhD at EHESS, Paris; doctor of Hungarian Academy of Sciences) is a Professor of history, dean of the Faculty of Humanities, chair of historiography and social sciences at Eötvös Loránd University of Budapest. He is the author of Historical Urban Landscape (Palgrave, 2017). He presented at more than hundred international colloquia and was a guest Professor in eleven countries. (Chap. 8)

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Ana Tarrafa Silva is graduated in Cultural Heritage Studies at the University of Algarve and in Urban and Spatial Planning at Instituto Superior Técnico of the University of Lisbon (Portugal). Focused in the relation sustainability  – cultural significance, she has been an active promotor of HUL Recommendation in Portugal, co-reviewer of the Portuguese official version and co-author of several studies at national and local levels. (Chap. 23 and Box 25) Ken Taylor AM has had a long association with the study of Canberra’s landscape and heritage. He is honorary Professor at ANU Centre for Heritage and Museum Studies, School of Archaeology and Anthropology; emeritus Professor of landscape architecture, University of Canberra; and visiting Professor, Silpakom University, Bangkok. He has published nationally and internationally on changing global perspectives on cultural heritage management and cultural landscapes. (Chap. 10) Jacques Teller is Professor of urban planning in the Urban and Environmental Engineering Department of the University of Liège. His research combines urban governance issues with the modelling of urbanization dynamics. He develops an interest in emerging landscapes, either as new forms of landscapes or new means/ tools to address these. (Chap. 29 and Box 32) Marie-Noël Tournoux is project director for research at WHITRAP Shanghai, China. She worked at UNESCO’s World Heritage Centre for 15 years, where she was involved in many urban conservation projects in Africa and Europe mostly and in the advocacy and implementation of UNESCO’s Recommendation on the historic urban landscape. Before that, she carried out research on nineteenth- and twentieth-­century architecture and planning for the French Ministry of Culture. (Box 27) Michael Turner is a practicing architect, UNESCO chairholder in urban design and conservation studies at the Bezalel Academy of Arts and Design, Jerusalem. He has accompanied the UNESCO Recommendation on the historic urban landscape since its inception. He contributed to the UNESCO Global Report for UN Habitat III and is an advocate of the UNISDR Resilient Cities Programme. (Chap. 30) Loes Veldpaus is a postdoctoral researcher at Newcastle University (Global Urban Research Unit). Her research focuses on the past, present and future of heritage management and local, national and international conservation planning practices and policies. She aims to innovate understandings of the process of heritage production and develop reflexive collaborative practices with both global and local heritage actors. (Chap. 6 and Box 2) Giulio Verdini is senior lecturer in planning at the University of Westminster, UK. His research is focused on urban-rural linkages, urban development, heritage conservation and community involvement, particularly in the context of China. He graduated in architecture and holds a PhD in economics, urban and regional development, from the University of Ferrara in Italy. (Chap. 26 and Box 28) Ona Vileikis is an architect and heritage specialist, with ample work and research experience abroad. She currently works as an international consultant in the field of cultural heritage. Ona holds a PhD in engineering science, KU Leuven, Belgium, and an MA in world heritage studies, BTU-Cottbus, Germany. Ona is ICOMOS

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CIPA Heritage Documentation expert member and active advisor to the UNESCO Silk Roads World Heritage nomination. (Chap. 9 and Box 6) Tao Wang is the executive director of initiatives in Asia, Pritzker chair of Asian Art and curator of Chinese Art at the Art Institute of Chicago. Previously, he was senior vice president and head of Chinese Works of Art at Sotheby’s New  York. He taught Chinese art and archaeology at University College London and at the School of Oriental and African Studies in London. He received a PhD from SOAS. (Chap. 18 and Box 19) Adam Wilkinson, director of Edinburgh World Heritage, is an expert in the sustainable management of historic cities. In Edinburgh, he champions the integrated approach to heritage management through the EWH team in conservation, learning and advocacy. Internationally he works with colleagues from other cities to promote and share experience in relation to UNESCO’s historic urban landscape approach. Adam has non-executive roles with a wide range of heritage organizations. (Chap. 12) Minja Yang is president of Raymond Lemaire International Centre for Conservation/KU Leuven since 2009, after 30 years at the UN. Her interest in cultural identity and heritage, developed while at UNHCR, was reinforced at UNESCO, where she headed the Angkor Unit and Asia-Pacific Unit. She then became the deputy director at WH Centre and coordinator for WH cities and finally director at the UNESCO Office in New Delhi. (Box 31) A. Ege Yildirim is an urban planner specializing in heritage conservation and management, with over 20 years of experience working in Turkey and internationally. Based in Istanbul as an independent consultant/lecturer, she currently serves as the heritage site manager of the Historic Guild Town of Mudurnu, a UNESCO World Heritage candidate and the ICOMOS Focal Point for the UN Sustainable Development Goals. (Box 22) Luca Zan is active in the field of management/accounting history and the management of arts/heritage organizations. He carried out fieldwork in China, Turkey, Peru and Ecuador, in addition to Europe. He is also involved in arts management education; director of GIOCA, Unibo; adjunct faculty at CMU, Pittsburgh; and CAFA, Beijing. (Chap. 18 and Box 19) Ana Pereira Roders Francesco Bandarin

Contents

Part I Overview 1 Reshaping Urban Conservation����������������������������������������������������������������   3 Francesco Bandarin 2 The Historic Urban Landscape Approach in Action: Eight Years Later ������������������������������������������������������������������������������������   21 Ana Pereira Roders Part II Case Studies on the Historic Urban Landscape Approach 3 Rebuilding and Reconciliation in Old Aleppo: The Historic Urban Landscape Perspectives����������������������������������������   57 Ataa Alsalloum 4 Amaravathi Heritage Town – Reflections on the Historic Cultural Landscape Approach����������������������������������������������������������������   79 Amareswar Galla 5 Toward a Special Management and Protection Plan of Urban Heritage in Ambalema, Colombia����������������������������������������������������������   91 Sandra Higuera, Andrés Forero, Juliana Forero, and Alberto Escovar 6 Integrating Policy: The Historic Urban Landscape Approach in Amsterdam ������������������������������������������������������������������������������������������  111 Loes Veldpaus and Helma Bokhove 7 The Transformational Power of the HUL Approach: Lessons from Ballarat, Australia, 2012–2017������������������������������������������������������  123 Susan Fayad and Kristal Buckley 8 Managing Urban Heterogeneity: A Budapest Case Study of Historical Urban Landscape��������������������������������������������������������������  149 György Alföldi, Melinda Benkő, and Gábor Sonkoly

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9 Bukhara: A Living Central Asian Silk Roads City. Application of the Historic Urban Landscape Approach������������������������������������������  167 Ona Vileikis, Sanjarbek Allayarov, Christian Ost, and Rand Eppich 10 City as Evolving Process: Case for the Historic Urban Landscape Approach for Canberra��������������������������������������������������������������������������  187 Ken Taylor and Meetu Sharma Saxena 11 The HUL Approach to Create Heritage Management Tools in the Latin American City of Cuenca-Ecuador ����������������������������������  207 Julia Rey-Pérez, Sebastián Astudillo Cordero, and María Eugenia Siguencia Ávila 12 The Historic Urban Landscape Approach in Edinburgh’s Old and New Towns: Implementation of Projects on the Ground in a Living Capital City ������������������������������������������������  223 Adam Wilkinson 13 Havana: From the Walled City to a Historic Urban Landscape ��������  235 Pablo Fornet 14 The Implementation of the Historic Urban Landscape of the Island of Mozambique������������������������������������������������������������������  251 Solange L. Macamo, Jens Hougaard, and Albino Jopela 15 Urban Heritage Conservation and Management in Jaipur ����������������  277 Shikha Jain and Rohit Jigyasu 16 Roadmap for Implementation of the HUL Approach in Kuwait City������������������������������������������������������������������������������������������  297 Roha W. Khalaf 17 Case Study: Lamu Old Town������������������������������������������������������������������  313 Mohammed Ali Mwenje and Salim Mohammed Bunu 18 Conservation and Exploitation: Governance and Sustainability Issues: The Case of Lijiang ��������������������������������������������������������������������  329 Luca Zan and Tao Wang 19 Managing the Global Heritage City of Mexico City: Adapting the HUL Approach to the Globalised Urban Context��������������������������  341 Deniz Ikiz Kaya 20 At the Confluence of Geography, Society and History: Montreal and the 2011 UNESCO Recommendation on Historic Urban Landscape ������������������������������������������������������������������������������������  357 Dinu Bumbaru C.M. 21 Urban Heritage Conservation in the Historic Site of Olinda, Brazil: 1968–2016������������������������������������������������������������������������������������  371 Silvio Mendes Zancheti

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22 Revitalizing Urban Parks to Uplift a Rust Belt City: HUL Applied to Pittsburgh, PA, USA����������������������������������������������������������������������������  387 Patricia M. O’Donnell 23 Perspectives for a Historic Urban Landscape Approach in Porto, Portugal������������������������������������������������������������������������������������  403 Teresa Cunha Ferreira and Ana Tarrafa Silva 24 Rabat, Morocco: Sustaining the Historic Urban Landscape of Rabat: Strategies and Implementation����������������������������������������������  423 Hassan Radoine and Salwa Aomorali 25 Heritage-Based Urban Development: The Example of Regensburg������������������������������������������������������������������������������������������  435 Matthias Ripp, Susanne Hauer, and Meltem Cavdar 26 Enhancing Rural-Urban Linkages Through the Historic Urban Landscape Approach: The Case of Shuang Wan Cun in the Jiangsu Province����������������������������������������������������������������������������  459 Giulio Verdini and Feiran Huang 27 Actual and Intangible in Tel Aviv: A Reexamination of Conservation Strategies in a Modern City����������������������������������������  473 Rachel Gottesman and Jeremie Hoffmann 28 The Circular Economy as a Model to Implement the Historic Urban Landscape Approach: Which Integrated Evaluation Method?����������������������������������������������������������������������������������������������������  483 Mariarosaria Angrisano and Luigi Fusco Girard 29 Operationalizing the HUL Recommendation in Urban River Corridors: Challenges and Perspectives������������������������������������������������  511 Manal Ginzarly and Jacques Teller 30 Zanzibar: The HUL Approach Explored����������������������������������������������  529 Muhammad Juma and Michael Turner Case Study Boxes: Full Text����������������������������������������������������������������������������   545 Index������������������������������������������������������������������������������������������������������������������   567

The Historic Urban Landscape Approach in Action: Charting the 28 Case Studies

A world map is printed in the next two facing pages. Red dots and corresponding chapter numbers indicate where those 28 cities are located in the world and in which chapter each case study is discussed.

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About the Editors

Ana Pereira Roders is full Professor of heritage and values at Delft University of Technology (TU Delft), the Netherlands. She is also currently member of the governing board of the International Centre on Space Technology for Natural and Cultural Heritage (HIST), Chinese Academy of Sciences, China. Ana has a wide range of work experience abroad and interdisciplinary cooperation, spanning the fields of architecture, urban planning, law, environmental management and computer sciences. Since 2008, Ana cooperates closely with UNESCO and the World Heritage Centre in particular, concerning primarily the 1972 World Heritage Convention and the 2011 Recommendation on the Historic Urban Landscape. She led the creation of global platforms such as Protected Urban Planet (2011) and the Global Observatory on the Historic Urban Landscape (GO-HUL, 2015). Ana is the founding co-editor of the Journal Cultural Heritage Management and Sustainable Development, published by Emerald. She presented in 2015 at TEDxHamburg “How cities become resource efficient”. Recently, she joined the RegioStars Awards 2018, European Commission, as senior jury member, under the category “Cultural Heritage”. Her recent publications include: Going Beyond: Perceptions of Sustainability in Heritage Studies (part 2), co-authored with Marie-Theres Albert and Francesco Bandarin, also published by Springer in 2017.  

Francesco Bandarin is an architect and urban planner, specialized in urban conservation. He holds degrees in Architecture (Venice, IUAV) and City and Regional Planning, (UC Berkeley). He has been a Professor of Urban Planning and Urban Conservation at the University IUAV of Venice, Italy (1979-2016). From 2000 to 2018, he worked at UNESCO as Director of the World Heritage Centre and as Assistant Director-General for Culture. He is currently an Advisor for Urban Heritage of the UNESCO Director-General. He is a member of the Steering Committee of the Aga Khan Trust for Culture, and of the Board of the Fondazione  

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Santagata for the Economics of Culture in Turin. He has served as a President of several international Juries, including the 2014 Venice Architecture Biennale and of the Shenzhen Creative Design Award (SCDA). His recent publications include The Historic Urban Landscape: Managing Heritage in an Urban Century, 2012, and Reconnecting the City: The Historic Urban Landscape Approach and the Future of Urban Heritage, 2015, both co-authored with Ron van Oers and published by Wiley-Blackwell.

Acronyms

ACCRU ACT ACTPLA ADB ADMA AHC AHD AKTC ALGA APD APDF ARU(s) ASOPEZAMBA BACA BCE BWE BWHU CaPE CARP CBD CCTV CDS

Área Crítica de Recuperação e Reconversão Urbanística (The Critical Area for Urban Recovering and Conversion) Australian Capital Territory ACT Planning and Land Authority Asian Development Bank Amber Development and Management Authority Australian Heritage Council Authorized Heritage Discourse Aga Khan Trust for Culture Australian Local Government Association Authorized Planning Discourse Administración Pública del Distrito Federal of Mexico Urban Rehabilitation Area(s) Fishermen of Ambalema Association Bahrain Authority for Culture and Archaeology Before Common Era or Current Era Bureau of World Heritage of Amsterdam Municipality Bukhara World Heritage Unit Association of Citizens for the Palace Quarter, Budapest Cultural Assets Rehabilitation Project, Asmara, Eritrea Central Business District Closed Circuit Television City Development Strategy 2030 Bukhara

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CEDIM CeRDI CGL CINA CIP CMM CMP COMUS project CRCAH CRUARB CSC CSP CTP DGAM DGEMN DGPC DIUC DLB DMPOT DoURP DPW DRCN DRONAH EIA EU EWH

Acronyms

Study and Documentation Center (Centro de Estudos e Documentação da Ilha de Moçambique) Centre for eResearch and Digital Innovation County Government of Lamu Research Center of the Faculty of Architecture of Cuenca Public Interest Ensembles Communauté métropolitaine de Montréal (Montreal Metropolitan Community) Câmara Municipal do Porto Community-led Urban Strategies in Historic Towns project City of Ballarat and Collaborative Research Centre in Australian History Commissariat for the Urban Renovation of Ribeira/Barredo Area Consultants Selection Committee County Spatial Plan Country and Town Planning Directorate-General of Antiquities and Museums, Syria Direção Geral dos Monumentos e Edificios Nacionais (General Directorate of National Monuments and Buildings), Porto, Portugal Directorate-General of Cultural Heritage, Porto, Portugal Research Department of Universidad de Cuenca Department of Local Self Government, Jaipur, India Divisão Municipal de Planeamento e Ordenamento do Território (Planning Division of the City of Porto) Department of Urban and Rural Planning or Directorate of Urban and Rural Planning, Zanzibar Pittsburgh Public Works Department Regional Directorates of Culture of the North Portugal Development and Research Organization for Nature, Arts and Heritage of Gurgaon, Haryana, India Environmental Impact Assessment European Union Edinburgh World Heritage

Acronyms

FAPF FAUC FCH GACIM GDP GIS GO-HUL GTL GTZ HABITAT (also Habitat) HCOANZ HIA HSO HUL HW100 ICCROM ICH ICOMOS IDeP IHCDP IHRU IIM IIP INAH INBA INPC INTACH IPAP

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Faculty of Architecture and Physical Planning of Lúrio University in Nampula Faculty of Architecture and Urbanism at Universidad de Cuenca Historic Centre Trust, Mexico The Island of Mozambique Conservation Office Gross Domestic Product Geospatial Information System Global Observatory on the Historic Urban Landscape Gabinetes Técnicos Locais (technical offices), Porto, Portugal Deutsche Gesellschaft für Technische Zusammenarbeit The United Nations Conference on Housing and Sustainable Urban Development Heritage Chairs and Officials of Australia and New Zealand Heritage Impact Assessment Historic Site of Olinda Historic Urban Landscape A Hundred-Year Flood International Centre for the Study of the Preservation and Restoration of Cultural Property Intangible Cultural Heritage International Council On Monument and Sites Integrated Spatial Development Plans, Kenya Inclusive Heritage-based City Development Program, India Instituto de Reabilitação Urbana (Housing and Urban Rehabilitation Institute), Porto, Portugal Property of Municipal Interest Imóveis de Interesse Patrimonial (Property of Public Interest), Porto, Portugal Mexican National Institute of Anthropology and History Mexican National Institute of Fine Arts National Institute of Cultural Heritage, Ecuador Indian National Trust for Art and Cultural Heritage Inventário do Património Arquitetónico do Porto (Built Heritage Inventory of Porto)

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IPHAN JDA JHERICO JMC JVF KMP KMP1 KMP2 KMP3 KMP4 KSUP or K-SUP LAP LAPPSSET project LBPC LDA LWHSCO M&A MDG(s) MEDLIHER MoUD MQP MSS NCA NCCAL NCDC NCOSS NCPA NGO(s) NIUA NLUP NMK NUA NUP OCH

Acronyms

National Institute of the Historic and Artistic Heritage, Brazil Jaipur Development Authority Jaipur Heritage Committee Jaipur Municipal Corporation Jaipur Virasat Foundation Kenya Municipal Program First Kuwait Master Plan Second Kuwait Master Plan Third Kuwait Master Plan Fourth Kuwait Master Plan Kenya Slum Upgrading Program Local Area Plan, Ballarat Lamu Port, South Sudan, Ethiopia Transport Corridor project Lei de Bases do Património Cultural (National Heritage Law), Portugal ACT Land Development Agency, Canberra, Australia Lamu World Heritage Site and Conservation Office Bureau of Monuments and Archaeology of Amsterdam Municipality Millennium Development Goal(s) Mediterranean Living Heritage Indian Ministry of Urban Development Magdolna Quarter Program Municipal Strategic Statement, Ballarat, Australia National Capital Authority, Canberra, Australia Kuwaiti National Council for Culture, Arts and Letters National Capital Development Commission, Canberra, Australia National Capital Open Space System, Canberra, Australia National Capital Planning Authority, Canberra, Australia Non-Governmental Organization(s) National Institute of Urban Affairs, India Tanzanian National Land Use Plan National Museums of Kenya The New Urban Agenda, HABITAT 3 New Urban Policy Office of the City Historian, La Havana, Cuba

Acronyms

OCPM OECD OGs OUV OWHC PDM PEMP PES PMAD PMOT Porto Vivo SRU PP PPC PPP PU PUH_C

R&D RJIGT RMB ROT system SamGASI SCOT SDAU SDC SDG(s) SIP SIPA SND

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Office de consultation publique de Montréal (Montréal Office of Public Consultation) Organization for Economic Co-operation and Development Operational Guidelines Outstanding Universal Value Organization of World Heritage Cities Plano Director Municipal (Municipal Master Plan), Porto, Portugal Special Management and Protection Plan, Colombia Special Safeguard Plans, Colombia Plan métropolitain d’aménagement et de développement (Metropolitan Development and Land Use Plan), Quebec, Canada Planos Municipais de Ordenamento do Território (Municipal Spatial Plans), Portugal Porto Vivo Sociedade de Reabilitação Urbana Plano de Pormenor (Detailed Plan), Portugal Pittsburgh Parks Conservancy Public-Private Partnership Plano de Urbanização (Urban Plan), Portugal Reassessment of the Cultural and Natural Heritage of the city of Cuenca based on strategies for sustainable development supported by the Recommendation on Historic Urban Landscape Planning Department of Amsterdam Municipality Regime Jurídico dos Instrumentos de Gestão Territorial: RJIGT (Legal Framework for Spatial Planning Tools) Renminbi (Chinese currency) Restore-Operate-Transfer System Samarkand State Architectural and Construction Institute French Territorial Consistency Scheme Schéma Directeur d’Aménagement Urbain (Urban Planning and Development Strategies) Swiss Agency for Development and Cooperation Sustainable Development Goal(s) Suzhou Industrial Park National Inventory, Portugal Suzhou New District

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SPHSO

Acronyms

System for Preserving the Historic Sites of Olinda SRU Sociedade de Reabilitação Urbana (Urban Rehabilitation Society), Portugal STCDA Stone Town Conservation and Development Authority STDP Small Town Development Project, Kenya SWOT Strength, Weaknesses, Opportunities and Threats Analysis TACI Tashkent Architectural and Construction Institute UCLG United Cities and Local Governments UK United Kingdom of Great Britain and Northern Ireland UN United Nations UN SDGs UN Sustainable Development Goals 2030 Agenda UNCHS United Nations Centre for Human Settlements UNDP United Nations Development Program UNDRIP United Nations Declaration on the Rights of Indigenous Peoples UNESCO United Nations Educational, Scientific and Cultural organization UNFPA United Nations Fund for Population Activities UNGCCP United Nations Global Compact Cities Program UN-HABITAT (also UN-Habitat) The New Urban Agenda UNISDR The UN International Strategy for Disaster Reduction UNITAR United Nations Institute for Training and Research UNOSAT Operational Satellite Applications Program UOM University of Minnesota URBACT European Territorial Cooperation Program URBACT II Project HerO URBACT II Project Heritage as Opportunity USA United States of America USD United States Dollar WH World Heritage WH Committee World Heritage Committee WHC World Heritage Centre WHC SOC Report World Heritage Centre State of Conservation Report WHITR-AP World Heritage Institute of Training and Research for the Asia and the Pacific Region WHL World Heritage List

Acronyms

WHS WTO WTTC XJTLU ZMC

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World Heritage Site World Tourism Organization World Tourism and Travel Council Xi’an Jiaotong-Liverpool University Zanzibar Municipal Council

Part I

Overview

Chapter 1

Reshaping Urban Conservation Francesco Bandarin

Abstract  The paper examines the process that led, throughout over 30  years of policy evolution, to the integration of culture in the International Development Agenda. It also looks at how the Recommendation on the Historic Urban Landscape (HUL Recommendation) has reflected the new policy framework and has transferred it into the field of urban conservation. From the Decade for Cultural Development (1988–1997) to Agenda 2030 adopted by the United Nations in 2015, a major shift has occurred in cultural policies. During the 1990s and the 2000s, several important innovations have come about, ranging from the adoption of two new international conventions, for intangible heritage (2003) and the diversity of cultural expressions (2005). Parallel to this shift, the World Heritage Convention has evolved, with the inclusion of new heritage types such as cultural landscapes. Within this Convention a debate on the conservation of urban heritage has led to the Vienna Memorandum of 2005 and later to the adoption by UNESCO of the HUL Recommendation. This has prompted a broader reflection on the role of cities and urban heritage in cultural policies, currently under way. The adoption of the New Urban Agenda in 2016 has opened up new perspectives on urban heritage policies and on the role of culture in promoting urban regeneration and resilience. Keywords  Urban conservation · Urban policy · Cultural policies · Urban development · New Urban Agenda · Cultural landscapes

1.1  Culture and the New Urban Conservation Paradigm The development dimension of culture, first clearly expressed exactly 20 years ago, with the 1998 Stockholm Intergovernmental Conference on Cultural Policies for Development, is now acknowledged within the International Development Agenda adopted in 2015 by the UN General Assembly, the Agenda 2030. F. Bandarin (*) UNESCO Advisor, Paris, France e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_1

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This is why the title of this book echoes that of an important UNESCO Report, Re-Shaping Cultural Policies (UNESCO 2015, 2017), a policy study focused on the relationship between culture – in all its aspects – and sustainable development. The coming 10 years, thanks to a greater awareness by governments and civil society on the irreplaceable role culture can play in the strive of communities and societies to strengthen their identity and to provide new opportunities for present and future generations, will see major changes in the way in which culture is reflected in the public policy arena. Within these policies, conservation, regeneration and valuing of urban heritage are an already established reality. As the recent UNESCO Report Culture: Urban Future, prepared in view of the Habitat III Conference, shows (UNESCO 2016), urban heritage has acquired an increasingly important status in all regions of the world not only as a “category” (it is indeed among the most recognised heritage types) but also as an object of public policies and of private investment. Cities are where most of humanity lives and will live in the twenty-first century. This is where people – old residents and newcomers alike – will build their individual and social identity, where they will work and meet, where they will develop their livelihood and where they will express their culture. As the growth of cities is dominated by industrial models, the need to give cities a distinctive character and a “quality” has become a major concern of policy-makers at national and local levels. Urban heritage can provide an answer to many of these needs, both as a place that represents history and traditions and as a repository of long-term social practices in place-making. Urban historic areas have proven extremely dynamic as areas of economic development, with growth rates often twice as high as those in other urban areas. These areas are often the main scene for the performing and visual arts and the focus of tourism. Inevitably, they play a role much beyond their limited size and become the pivots of urban development and urban marketing strategies. Similarly, investments in cultural initiatives  – whether in historic areas or in more recent development areas  – are the basis of urban regeneration processes. Successful examples are those where a link – a reconnection – has been established between old and new parts of the city, beyond stereotypical partitions. Preservation of urban heritage should not be seen as an “alternative” to urban growth, but, on the contrary, as an integral part of a city development strategy that requires  – to be successful  – a full understanding of the cultural values of each place. These principles form the basis of the proposals put forward by UNESCO at the Habitat III Conference and are today reflected in the New Urban Agenda, the text issued by the Conference after a global consultation process and adopted by the UN General Assembly in 2016. In front of global transformations, mass migrations and the technological and economic changes that will accompany the contemporary urbanisation processes, culture represents an anchorage for urban development in the twenty-first century.

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Conservation of urban heritage is no longer simply the “freezing” of a district with special characteristic, but rather the way in which urban areas strengthen their identity and become models for the broader process of urban growth. The HUL Recommendation can be a decisive tool in reshaping of urban conservation policies in the spirit defined by Agenda 2030 and the New Urban Agenda. This is why the theoretical and practical contributions provided by the authors in this book focus on the development of the Historic Urban Landscape idea and on the first few years of its implementation. Out of these experiences, a rich panorama emerges, one that shows how, while obviously requiring further refinements, the approach promoted by the HUL Recommendation has already reached the maturity and complexity needed to address the diversity of situations we encounter in the different parts of the world.

1.2  T  he Historic Urban Landscape: A Bottom-Up Approach to Urban Conservation The 2011 HUL Recommendation constitutes an important point of arrival of the ongoing international reflection on the role of heritage in sustainable development. The HUL approach indeed reflects the developments in heritage philosophy in the past three decades and the radical changes in the role heritage is called to play today in society, for society and by society. Without exception, heritage is an expression of every society. However, the way heritage has been historically identified and defined; the role it has played in the construction of social and national identities; the place it has found in the educational, economic and political spheres; and the very message it presents to an increasingly global public have been largely influenced by western experiences and philosophies of the nineteenth century. This is not per se a negative factor. On the contrary, the richness of the cultural approach developed in the western world since the nineteenth century has supported many new ways of interpreting and protecting heritage in different regions of the world: this is a cultural richness that has been and still is extremely important for many developed and emerging societies. However, nowhere as in the field of urban heritage has the drift existing between the original western approaches and the social perceptions, needs and realities of the emerging world been greater. The awareness of the increasing gap between the “doctrinal” approach and the needs and desires of each society has prompted a very important reflection on the very nature of urban heritage, even in western contexts. The Historic Urban Landscape Recommendation is an outcome of this reflection, a contribution to the definition of a more open, democratic and socially

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s­ ensitive toolkit for urban conservation. By placing society – and not the physical results of historical developments – at the core of the process of heritage identification and preservation, by putting the rich technical experience developed in the past century at the service of society and by defining heritage as a social product and as a social development tool, the HUL Recommendation offers a platform for urban conservation responding to the needs of societies in the twenty-first century, while reflecting and respecting the great variety and diversity of cultural and spiritual dimensions of the world. While the idea of heritage was born two centuries ago as the result of an enlightened “top-down” vision of an intellectual and political élite, it is now increasingly a “bottom-up” expression of social values and social choice.

1.3  The Reasons for a New Urban Conservation Approach Even if developed by a discussion initiated within the World Heritage Convention, the HUL approach reflects wider heritage and cultural policy ideas that have taken root in the in the past three decades, in part spearheaded by the international cultural policies promoted by UNESCO. The 1972 World Heritage Convention has indeed brought to a conclusion the long process of development of heritage policies nationally and internationally that started at the end of the nineteenth century. Indeed, the very idea that lies at the basis of the World Heritage Convention, that “some” heritage is so important as to transcend national and cultural boundaries (the concept of Outstanding Universal Value), finds its roots in the humanistic universalism promoted by –among others – the works of Ruskin and Morris in the last part of the nineteenth century and by several other thinkers in the first part of the twentieth century. The establishment of a theory and practice of heritage preservation in the course of the twentieth century has supported the adoption of national legislations for the protection and safeguarding of heritage in most countries and the development of international principles and charters that embrace a great variety of regional situations. This has been matched by the emergence of heritage preservation as an element of international concern, policy-making and legal intervention. The universal ratification and the global success of the World Heritage Convention is the culmination of this process and as such represents a point of arrival of great significance. However, since its adoption in 1972, important conceptual developments have taken place in the field of heritage that have promoted a gradual shift of attention from the material objects of conservation policies to the system of values they represent for society. While this conceptual transition is still underway, it has already reached a point of no return: heritage is increasingly viewed as a system of values linked to social perceptions and choices. A cultural revolution has taken place in this field, with

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implications not yet fully understood and perceived, that will certainly mark the nature of heritage in the twenty-first century and its role in human, social and economic development. Nowhere this is more visible and more relevant than in cities. The urban sphere plays an increasingly important role in our world, due to the massive urbanisation processes we are witnessing, especially in the emerging countries, to the shift of power from traditional productive sectors to innovative and creative processes that typically find their fertile ground in cities, to the attractiveness of the urban scene for the arts, cultural and educational institutions and for tourism. Cities are becoming – more than ever – the key drivers of development, creativity, social change and global politics. Inevitably, they are becoming the greatest users, promoters and producers of heritage, in the many different forms this can take today and will take in the future. The HUL approach is nothing more than the result of these conceptual transformations, an operational link between the system of knowledge and the experiences accumulated through two centuries of heritage policy and the needs expressed by the present and future societies.

1.4  H  istoric Urban Landscape: From Material to Social Expression The evolution of urban heritage concepts has been examined in detail in previous works (Bandarin and van Oers 2012, 2015). However, as we look at the first phase of the implementation of this approach, it is important to recall the main policy developments that have sustained its formulation. While this will not be an exhaustive survey of the processes that have intervened in the evolution of our heritage concept or of its limits, it will help identify the cultural references of the HUL approach. Undoubtedly, the 1964 Venice Charter – the keystone of modern heritage policy – proposed a very tight-fitting shirt for the great variety and diversity of heritage it intended to address. This was very clear from the beginning to heritage policy-­ makers and to the founding fathers of ICOMOS, created the following year. The first major attempts to address the limitations of the principles enshrined in the Venice Charter have indeed to do with historic areas. The 1976 Nairobi Recommendation concerning the Safeguarding and Contemporary Role of Historic Areas (UNESCO General Conference 1976)1 is a breakthrough in this field, insofar 1   UNESCO General Conference 1976. Recommendation concerning the Safeguarding and Contemporary Role of Historic Areas, Nairobi, UNESCO.

II. General principles 3. Every historic area and its surroundings should be considered in their totality as a coherent whole whose balance and specific nature depend on the fusion of the parts of which it is

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as it stresses the relevance of historic “areas” (not just monuments) for society and the need to consider them as coherent heritage systems, beyond the artistic or monumental value of the individual parts. For the first time, the role of human activities – cultural, economic, social, etc. – is given full attention in the identification and preservation of heritage values. These principles are quite significant and are indeed at the core of modern approaches to urban heritage conservation. In 1987, ICOMOS adopted the Charter for the conservation of historic towns and urban areas, the so-called Washington Charter (ICOMOS General Assembly 1987),2 an important revisitation of heritage conservation principles issued by the professional community. The Charter presents a very thorough set of principles focused on the environment of historic cities. The Charter is relevant – and largely still valid in its applications – for several reasons: first, it is the recognition of the importance of “urban heritage” as a category and as an object for preservation, in a context that was, until then, dominated by other types of heritage “objects”, monuments and archaeological areas. The emergence of the city as an object of historic preservation reflects not only the advancements of the planning discipline of the time but also the growing interest of policy-makers, local and national, towards the role of urban heritage in social and economic development processes. As the Charter deals with cities which are living organisms, societal needs take a principal role, something that was not the case for monuments or archaeological areas, that can be managed by specialised bodies of technicians in relative isolation from the societal context. Cities are by definition not confined inside a closed and controllable perimeter and are used by residents, workers and visitors. This means that changes in the

composed and which include human activities as much as the buildings, the spatial organization and the surroundings. All valid elements, including human activities, however modest, thus have a significance in relation to the whole which must not be disregarded. 4. Historic areas and their surroundings should be actively protected, against damage of all kinds, particularly that resulting from unsuitable use, unnecessary additions and misguided or insensitive changes such as will impair their authenticity, and from damage due to any form of pollution. Any restoration work undertaken should be based on scientific principles. Similarly, great attention should be paid to the harmony and aesthetic feeling produced by the linking or the contrasting of the various parts which make up the groups of buildings and which give to each group its particular character. 5. In the conditions of modern urbanization, which leads to a considerable increase in the scale and density of buildings, apart from the danger of direct destruction of historic areas, there is a real danger that newly developed areas can ruin the environment and character of adjoining historic areas. Architects and town-planners should be careful to ensure that views from and to monuments and historic areas are not spoilt and that historic areas are integrated harmoniously into contemporary life 2  ICOMOS General Assembly 1987. Charter for the Conservation of Historic Towns and Urban Areas (Washington Charter). Washington DC, ICOMOS.

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physical structure of the city happen all throughout time and are necessary to ensure its viability and liveability. While the Washington Charter maintains a fundamental “top-down” and prescriptive approach  – typical of the state of the urban conservation culture of the time – it certainly constitutes an important conceptual advancement that was duly recognised in the years that followed. In the same period, however, a more powerful change took place in heritage policy-making, with the acceptance of the concept of cultural landscapes as a heritage type by the World Heritage Convention (World Heritage Center 2017).3 This important passage was completed in 1992, when the Convention introduced the category in its Operational Guidelines. While the definition of “combined works of nature and man” was essentially conceptualised for and referred to “rural” areas, it nevertheless made much more explicit the “social” nature of heritage “objects” and the strict interrelationship between “living society” and “heritage” areas. As changes are an intrinsic process in the life of landscapes, the conservation principles had to incorporate them as part of the value system. In these situations, the “management of change” becomes a process intrinsically linked to conservation. Similarly, the living communities are the makers and users of the “landscape” and often derive their livelihood from the land. They are the true protagonists of the conservation strategy, which, in this way, becomes essentially a collective and participatory process. Why are cities not considered “cultural landscapes”? After all, they are “combined works of nature and man”, and for many scholars, they fit the definition. Today’s “ecological planning” and “landscape planning” are based on scholarly views and professional practices based on a vision of the city as a “landscape”. This concept, however, has not been formalised yet in international charters and principles, and the predominant position is that cultural landscapes remain linked to the rural/natural dimension, or, at the most, to urban gardens and parks. In spite of these limitations, the introduction of this category has brought about very important new ideas and has contributed to innovate the traditional approaches and the classical heritage concepts. A further step in the revisitation of the classical heritage concepts has certainly been the Nara Conference of 1994 (UNESCO World Heritage Center 1995). This Conference was convened in Japan to address a conflicting view of heritage values between the western and eastern traditions, as the former had been built on the principles of conservation of the material substance of monuments and sites, while the latter had given relevance to the intangible dimension of heritage. In this sense, the  World Heritage Centre 2017. Operational Guidelines of the World Heritage Convention, para 47:

3

Cultural landscapes are cultural properties and represent the “combined works of nature and of man” designated in Article 1 of the Convention. They are illustrative of the evolution of human society and settlement over time, under the influence of the physical constraints and/or opportunities presented by their natural environment and of successive social, economic and cultural forces, both external and internal

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Nara Conference was a way to adapt the original principles of the Charter of Venice to broader cultural contexts. The establishment of the global approach to heritage conservation spearheaded by the World Heritage Convention had to find ways to encompass this extreme diversity of views, and the Nara Document on Authenticity is the tool that addresses this theoretical and practical conundrum. Essentially, the Nara Document expands the concept of authenticity – originally focused essentially on the material substance of heritage – to what is defined as a “variety of sources”, including “form and design, materials and substance, use and function, tradition and techniques, location and setting, and spirit and feeling, and other internal or external factors”. This broad definition allows inclusion of a vast diversity of heritage management practices and is at the basis of fundamental discussions on the approaches to heritage conservation that have prompted important innovations in the field, including the HUL Recommendation. If we consider the global expansion of heritage concepts and heritage policies, it is not by chance that the most important innovations in heritage principles have come from non-western Charters, of which certainly the most important is the Burra Charter (Australia ICOMOS 2013, for its latest revision).4 Originally imagined as a response to national issues, and in particular to meet the needs of the Aboriginal people, the Burra Charter in reality addresses an important

 Australia ICOMOS 2013 The Burra Charter. The Australia ICOMOS Charter for Places of Cultural Significance.

4

For the purposes of this Charter: 1.1 Place means a geographically defined area. It may include elements, objects, spaces and views. Place may have tangible and intangible dimensions. 1.2 Cultural significance means aesthetic, historic, scientific, social or spiritual value for past, present or future generations. Cultural significance is embodied in the place itself, its fabric, setting, use, associations, meanings, records, related places and related objects. Places may have a range of values for different individuals or groups 1.3 Fabric means all the physical material of the place including elements, fixtures, contents and objects. 1.4 Conservation means all the processes of looking after a place so as to retain its cultural significance 1.5  Maintenance means the continuous protective care of a place, and its setting Maintenance is to be distinguished from repair which involves restoration or reconstruction. 1.6  Preservation means maintaining a place in its existing state and retarding deterioration. 1.7 Restoration means returning a place to a known earlier state by removing accretions or by reassembling existing elements without the introduction of new material. 1.8  Reconstruction means returning a place to a known earlier state and is distinguished from restoration by the introduction of new material. 1.9  Adaptation means changing a place to suit the existing use or a proposed use 1.10 Use means the functions of a place, including the activities and traditional and customary practices that may occur at the place or are dependent on the place

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general theoretical point, by introducing the idea of “cultural significance” for physical places, as the aim of the conservation process. Cultural significance is also linked to continuous use of a place. This idea  – which is indeed in line with the principles put forward by the Nara Document – has shown great potential in contexts where the built environment is not overwhelmingly representative of a community’s culture. However, nothing prevents these principles being adapted to built areas, as the focus is not on the physical environment but rather on living communities. These examples – as well as others that we could find in different charters and documents elaborated in the past decades – indicate the gradual emergence of a new vision of heritage, focused on the acknowledgment and respect for the diversity of cultural expressions on the greater role attributed to the social dimension in the construction of the heritage values. This new vision of heritage combines with a greater importance given to the broader physical contexts in which heritage is defined and in its association to the new values system. This is a shift from the monumental to the territorial dimension of heritage that not only provides new meaning to the individual achievements but also explores the complex – and essential – interactions between the organisation of power, the social systems of production, the spiritual life, the environmental framework and the realm of artistic expression. Heritage values systems have – albeit with different accents and articulations – moved from the individual towards the collective dimension, from the punctual expression of human genius to the social sphere. This is the cultural dimension where heritage indeed belongs, as an expression of shared values, history and past and present lives. This thinking has given life, in the course of the first 10 years of the new century, to two international policy documents based on the principle of respect of cultural diversity, the 2001 Universal Declaration on Cultural Diversity (UNESCO 2001)5 and the 2003 Convention for the Safeguarding of Intangible Cultural Heritage (UNESCO 2003).6  UNESCO 2001. Universal Declaration on Cultural Diversity. Paris, UNESCO.

5

Article 1 – Cultural diversity: the common heritage of humanity Culture takes diverse forms across time and space. This diversity is embodied in the uniqueness and plurality of the identities of the groups and societies making up humankind. As a source of exchange, innovation and creativity, cultural diversity is as necessary for humankind as biodiversity is for nature. In this sense, it is the common heritage of humanity and should be recognized and affirmed for the benefit of present and future generations 6  UNESCO 2003. Convention for the safeguarding of Intangible Cultural Heritage. Paris, UNESCO. Preamble: Considering the deep-seated interdependence between the intangible cultural heritage and the tangible cultural and natural heritage, Recognizing that the processes of globalization and social transformation, alongside the conditions they create for renewed dialogue among communities, also give rise, as does the phenomenon of

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The first document – a “soft law” in terms of its binding powers for the member states – brings to completion a long discussion on the role of culture in social development that goes back to the very origins of UNESCO’s approach, largely influenced by the modern humanistic philosophy embodied in a document published in 1946 by the first Director General of UNESCO (Huxley 1946), Sir Julian Huxley, and in the contributions of the masters of modern anthropology, and in particular of Claude Lévi-Strauss. In this approach, the respect of cultural diversity is seen as a goal of international cultural policies in all their articulations: in fact, it is defined in itself as a heritage to be recognised and protected. The second normative tool, the Intangible Heritage Convention, is aimed at safeguarding elements of intangible cultural heritage, mainly traditional expressions, or aspects of traditional knowledge that have great significance in the formation of the identity or in the well-being of communities and societies. The specific focus of the Convention – the inscription of intangible heritage elements – should not conceal the important theoretical advancement brought about by its approval, insofar as it enhances the values of “nonmaterial” aspects of heritage in a practice traditionally marked by a greater emphasis on the material substance. Secondly, the Convention brings upfront the community as the main agent of production and safeguarding of heritage, a dimension that – as we have seen – was not originally to be found in heritage conservation approaches. The “classical” heritage conservation approach has largely benefitted from these advancements. Not only the intangible dimension of cultural heritage has received increasing attention and recognition, but also its social and collective nature has become the centrepiece of new heritage interpretation efforts. Needless to say, the approach to urban heritage and cultural landscapes conservation is linked to this evolution. Urban heritage is by definition a collective creation, and its evolution along time is reflected in the layering process that history brings about: different expressions, different societies and often different civilisations leave the expression of their culture in a shared space that becomes gradually modelled and reshaped according to the visions and needs of the successive societies. It would be impossible to interpret these forms of heritage today, without an understanding of their physical, territorial and social contexts, their evolution through time, and without a perception of the values recognised and shared by contemporary societies. The main assumption of the Intangible Heritage Convention, that heritage can only exist in relation to a community, also helps defining some of the fundamental intolerance, to grave threats of deterioration, disappearance and destruction of the intangible cultural heritage, in particular owing to a lack of resources for safeguarding such heritage, Being aware of the universal will and the common concern to safeguard the intangible cultural heritage of humanity, Recognizing that communities, in particular indigenous communities, groups and, in some cases, individuals, play an important role in the production, safeguarding, maintenance and re-creation of the intangible cultural heritage, thus helping to enrich cultural diversity and human creativity

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aspects of the modern heritage conservation approach: (1) heritage, to be recognised as such, must play a central role in the life of a community and (2) no heritage can be effectively conserved without the participation of the community. Viewed under this perspective, the 2011 HUL Recommendation is an offspring of the new approach to heritage that has taken shape in the long period of time following the establishment of the World Heritage Convention.

1.5  Urban Conservation and Sustainable Development The modern vision of heritage allows us to better integrate culture in the social and human development policy frameworks. This role of culture, cultural and natural heritage, cultural institutions, cultural products and cultural industries, has indeed long been promoted in the sustainable development process. Back in the 1980s, following the World Conference on Cultural Policies (MONDIACULT), held in Mexico City in 1982 (UNESCO 1982), and the UN Decade of Culture for Development 1988–1997, important initiatives had already discussed the key role of culture in the sustainable development framework (World Commission on Culture and Development 1996). However, the keystone of this global reflection was certainly represented by the 1998 Stockholm Intergovernmental Conference on Cultural Policies for Development (UNESCO 1998). The main purpose of this Conference was to contribute to the integration of cultural policies in human development strategies at international and national levels and to help strengthen UNESCO’s contributions to cultural policy formulation and international cultural cooperation.7 The Action Plan issued by the Conference represented a major policy guidance document for over a decade (UNESCO 1990). The efforts of UNESCO were at that time matched by an important initiative spearheaded by the World Bank that culminated in the international conference “Culture Counts” held in Florence in 1999 (World Bank 2000). This conference addressed the importance of the economics of culture in sustainable development and provided methodologies aimed to integrate culture into the development process. And, most of all, it indicated the interest of the main global development bank for the role of culture in development, an interest that has been kept alive to this day, in spite of the many changes of the past 20 years.

7  The two main themes which served as the basic framework for the conference were (1) the challenges of cultural diversity and (2) the challenges of recasting cultural policies. Under the first theme, the challenges of cultural diversity, the following issues were discussed: (1.1) a commitment to pluralism, (1.2) cultural rights, (1.3a) cultural heritage for development, (1.3b) cultural creativity and cultural industries and (1.4) culture for children and young people. Under the second theme, the challenges of recasting cultural policies, the following issues were discussed: (2.1) improving research and international cooperation for cultural policy, (2.2) mobilising resources for cultural activities, (2.3) the media in cultural policy and (2.4) culture and the new media technologies.

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While the Millennium Development Goals (MDGs), launched in 2000 by the United Nations, did not include explicitly culture as a dimension of development, the seeds planted by the work done in the 1990s have continued generating new approaches, methodologies and international legal tools (UN 2000). The MDG Fund,8 for instance, allowed a large-scale experimentation of the interlink between cultural investments and sustainable development, showing the great potential of culture as an enabler of sustainable development processes and as a driver of economic growth, when seen as a sector in itself. A total of 18 projects worth 95 million US$ dealing with different types of culture and heritage were developed and implemented by UNESCO,9 thus allowing an important demonstration of the role of heritage and culture in local development. Needless to say, urban heritage areas are at the core of these processes, as this is where investments in capacity building and in basic infrastructure can generate high returns in terms of employment and enterprise development. This is also where investment in community participatory processes, in the role of women, in innovative tools for exchange and communication can generate important results and address the key issues of poverty and social integration. Gradually, the idea that culture and heritage are expenditures that you can afford after development goals have been achieved has been replaced by a vision where – on the contrary – culture is the driver of fast and innovative development processes, be these based on an increase of attractiveness of a place for tourists or visitors or on an increase of social stability that curbs negative social processes such as violence or unemployment. These ideas are also at the core of a new UNESCO international normative instrument, adopted in 2005, the Convention for the Protection and Promotion of the Diversity of Cultural Expressions (UNESCO General Conference 2005). Born out of the idea that the diversity of cultural expressions is a value for societies worldwide and that contemporary global market and economic processes are threatening it, the Convention focuses on the promotion of a system of public policies aimed to support the efforts of the states and local communities. At the moment, the key strategy for the development of the Convention is based on the creation of capacities to value local cultural assets and use them as anchors 8  The Millennium Development Goals Achievement Fund (MDG-F) was an international cooperation mechanism committed to eradicating poverty and inequality and to accelerating progress towards the Millennium Development Goals (MDGs). Established in 2007 through an agreement between the Government of Spain and the United Nations Development Programme on behalf of the UN system, the MDG-F operated in 50 countries, working through more than 27 United Nations agencies. With a total contribution of approximately US$900 million, the MDG-F has financed 130 joint programmes around the world. 9  The countries involved were Albania, Bosnia and Herzegovina, Cambodia, China, Costa Rica, Ecuador, Egypt, Ethiopia, Honduras, Mauritania, Morocco, Mozambique, Namibia, Nicaragua, Palestine, Senegal, Turkey and Uruguay. The programmes under the culture and development thematic window followed a wide range of approaches, due in part to the different contexts in which activities have been implemented (e.g. regional diversity, income diversity) and the range of needs and priorities identified.

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of the local development process. The main focus of the Convention is the creative industry as this is where the cultural expressions of the communities can be made operational or even turned into market outputs that can benefit the communities. And, clearly, the creative economy has a direct connection with the urban condition. It is in the city – and often in its old core – that the creative industries find their best breeding ground. These ideas are not unique to the 2005 Convention, and they are also reflected in many other texts and policy documents. However, the fact of being enshrined in an international treaty confers them the status of internationally agreed policy frameworks. The long and complex process that has led to the approval of Agenda 2030 has brought together all the forces in support of the idea that culture is a fundamental pillar of sustainable development processes (at some point it was even proposed to have culture as a “fourth pillar” next to the social, economic and environmental ones). Governments, local governments and civil society formed an alliance that managed to achieve some interesting results, insofar as culture has been included  – mostly as a transversal dimension  – in the system of Sustainable Development Goals (UN 2015a, b) adopted by the General Assembly. Several of the Sustainable Development Goals refer to the cultural dimension of development, such as Goal 4 on Quality Education, Goal 8 on the promotion of sustained, inclusive and sustainable economic growth or Goal 16 on the promotion of peaceful and inclusive societies. One of the goals of Agenda 2030, Goal 11, concerns cities (UN 2015a, b).10 In this part of the Agenda, the role of culture and heritage has been more explicitly and 10

 Agenda 2030, Goal 11. TARGETS OF SUSTAINABLE DEVELOPMENT GOAL 11: MAKE CITIES INCLUSIVE, SAFE, RESILIENT AND SUSTAINABLE 1. 2.

3. 4. 5.

6. 7. 8.

By 2030, ensure access for all to adequate, safe and affordable housing and basic services, and upgrade slums By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons By 2030, enhance inclusive and sustainable urbanization and capacity for participatory, integrated and sustainable human settlement planning and management in all countries Strengthen efforts to protect and safeguard the world’s cultural and natural heritage By 2030, significantly reduce the number of deaths and the number of people affected and substantially decrease the direct economic losses relative to global gross domestic product caused by disasters, including water-related disasters, with a focus on protecting the poor and people in vulnerable situations By 2030, reduce the adverse per capita environmental impact of cities, including by paying special attention to air quality and municipal and other waste management By 2030, provide universal access to safe, inclusive and accessible, green and public spaces, in particular for women and children, older persons and persons with disabilities Support positive economic, social and environmental links between urban, peri-urban and rural areas by strengthening national and regional development planning

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fully recognised, and clearly not only in target 11.4, but in the overall system of policies aimed to achieve a sustainable and liveable city. As cities are the centre of cultural life, that is where innovation is produced, together with creativity and economic development. Cities are already and will increasingly be the centre of economic development. It is in the cities that the fight against poverty can be won in the next decades, and culture can contribute to this goal by generating income and creating employment and by generating the conditions that facilitate economic and social development. It is in cities that people can access services and resources that can improve their quality of life.

1.6  T  he Historic Urban Landscape Approach and the New Urban Agenda Shortly after the adoption of the Sustainable Development Goals in 2015, an opportunity for policy implementation was offered by the organisation of the 3rd Habitat Conference (Quito, October 2016), certainly the most relevant policy event in the urban field, as it takes place every 20 years (UN 2016). The previous Habitat Conferences (Vancouver 1976 and Istanbul 1996) were instrumental in assessing the urban situation of the planet and in driving international policies in key sectors, such as in the area of slum upgrading, infrastructure development and the promotion of adequate planning systems. Habitat III had a different task. This was the first high-level policy meeting taking place after humanity had reached the urbanisation threshold of 50%. The current figure is 54% and is expected to reach 66% in 2050; it is obvious that the struggle for a sustainable planet will largely happen in the urban areas.11 The Conference was largely devoted to the discussion of the policies needed to cope with these global transformations. This explains why the culture policy framework supported by UNESCO for sustainable development has been largely based on cities. It is on the occasion of the Habitat III Conference that UNESCO issued the report Culture: Urban Future that

9. By 2020, substantially increase the number of cities and human settlements adopting and implementing integrated policies and plans towards inclusion, resource efficiency, mitigation and adaptation to climate change, resilience to disasters, and develop and implement, in line with the Sendai Framework for Disaster Risk Reduction 2015–2030, holistic disaster risk management at all levels 10. Support least developed countries, including through financial and technical assistance, in building sustainable and resilient buildings utilizing local materials 11  “Managing urban areas has become one of the most important development challenges of the 21st century. Our success or failure in building sustainable cities will be a major factor in the success of the post-2015 UN development agenda”, said John Wilmoth, Director of UN DESA’s Population Division.

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deals with the full range of policy issues related to urban sustainable development, trying to spell out the role culture can play in the effective implementation of that strategy. The Report presents – as a basis for the definition of urban conservation policies – the first ever survey on the development process of urban heritage in the different regions of the world. This effort has allowed us to have a complete picture of the global situation, and to identify the key differences existing in the perception of urban heritage in the different parts of the world, as well as in the conservation policies and practices. The results of the survey clearly support the approach expressed by the HUL Recommendation, insofar as the respect of the cultural diversity and of the diversity of perceptions and conservation practices is concerned. However, it also confirmed the great relevance attained by urban areas in the cultural and heritage policies of most of the areas surveyed. Urban heritage is certainly diverse, but it is globally recognised as a prime object of public policies, public investment and public interest. The UNESCO Report, prepared through a long global consultation process, provides an integrated policy platform for the promotion of cultural policies in the urban sphere, projected in the 20 years’ time span of the Habitat Conferences. This policy platform deals with three areas of intervention, summarised by the three terms: PEOPLE, PLACES (environment) and POLICIES. The first term, PEOPLE, refers to the key orientation of cultural policies for cities, the enhancement of their liveability and the preservation of their identities. Conservation policies are fundamental in a world still dominated by massive migrations processes and by transformative pressures that do not value historic environments. Cultural policies need to be based on an inclusive approach, in order to give voice to the communities and to fight spatial and social fragmentation. The pursuit of a social equilibrium and of tolerant approaches to social changes is a condition to achieve a peaceful society, a precondition for the preservation of social-cultural frameworks and for any development initiative. Creativity and innovation, which find their nurturing ground in cities and often in their historic cores, can lead to rapid development processes based on the cultural resources of the communities, as shown in many situations worldwide.12 The second term, PLACES (or environment), refers to the need to promote human-scale cities and to the models that the historic city can offer to promote sustainable, quality environments. The historic urban landscapes are the result of knowledge accumulated through the long-term sustainable use of space, natural resources and the territorial network of cities. A culture-based approach can offer solutions for density planning, for energy sustainability, for the quality of public spaces and for urban resilience in the face of natural disasters. Finally, the third term, POLICIES, refers to the need to promote a participatory approach to urban conservation and urban development, in order to ensure a full  The Creative Cities Programme of UNESCO encompasses today 180 cities in all regions of the world, that have invested in creative industries as a core tool for their development policies.

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support to culture-based polices, based on the traditions and identities of the local population. A culture-based policy needs also to consider the territorial links with the smaller settlements network that has historically been in relation with the larger centres. Culture is a sustainable resource that can support key policy frameworks aimed at improving liveability, strengthening social identity and attracting visitors, with significant economic benefits. Urban historic centres can easily become high-density employment hubs, as they host valuable and quality services, cultural and art institutions and attractive public spaces. In this sense, they can be engines of development across the entire urban scale. Policies should address this potential and provide innovative financial solutions able to ensure the long-term preservation of the physical and social environment and its sustainable development process. The policy framework proposed by the New Urban Agenda provides an extensive scrutiny of the various facets of city development strategies for the “urban planet”. Cultural policies have been considered, both directly and indirectly, and form part of the broader policy scenario proposed by the United Nations to address the key issues of the coming decades: how to provide a decent habitat to the new urban dwellers, while delivering sustainable services, and how to ensure that urban spaces, old and new, retain high qualities and support inclusive and peaceful societies (UN 2016).13

 United Nations 2016. The New Urban Agenda. Quito, October 2016. The New Urban Agenda was adopted at the United Nations Conference on Housing and Sustainable Urban Development (Habitat III) in Quito, Ecuador, on 20 October 2016. It was endorsed by the United Nations General Assembly at its sixty-eighth plenary meeting of the seventy-first session on 23 December 2016.

13

…..“124. We will include culture as a priority component of urban plans and strategies in the adoption of planning instruments, including master plans, zoning guidelines, building codes, coastal management policies and strategic development policies that safeguard a diverse range of tangible and intangible cultural heritage and landscapes, and will protect them from potential disruptive impacts of urban development. 125. We will support the leveraging of cultural heritage for sustainable urban development and recognize its role in stimulating participation and responsibility. We will promote innovative and sustainable use of architectural monuments and sites, with the intention of value creation, through respectful restoration and adaptation. We will engage indigenous peoples and local communities in the promotion and dissemination of knowledge of tangible and intangible cultural heritage and protection of traditional expressions and languages, including through the use of new technologies and techniques”.

1  Reshaping Urban Conservation

19

1.7  T  he Historic Urban Landscape Approach and the International Policy Framework The process that led to the adoption of the HUL Recommendation was linked to the radical evolution of the notion of heritage that has taken place in the past decades and to the consolidation of the sustainable development framework that forms the background of the contemporary international agendas. Furthermore, this new dimension of heritage reflects a major change in the role culture plays in the public arena, from a small area restricted to the interest of a circle of enlightened specialists and humanists to a major component of our social and collective life. Indeed, culture has now firmly taken its place among the basic needs of modern society and is fully included in the sphere of human rights. The greater role played by the local communities in defining the role culture plays in their life has led to a radical change in the way culture and heritage are perceived and managed. This new approach is today at the core of the international policy frameworks for culture, like the World Heritage Convention or the Intangible Heritage Convention. The HUL Recommendation reflects these changes and proposes an approach to urban heritage conservation that is and will remain in line with the broader international policy frameworks. The analysis and the experiences conducted in the past 8 years show clearly that much still needs to be done in the years to come. It shows, however, how this international “soft law” has helped many cities and many communities in reinterpreting their own cultural assets and in establishing management frameworks that integrate the different layers of history and the different environmental, economic and social dimensions into a new vision of urban heritage as a collective resource for today and for the future.

References Australia ICOMOS. (2013). The Burra Charter. The Australia ICOMOS charter for places of cultural significance. http://portal.iphan.gov.br/uploads/ckfinder/arquivos/The-Burra-Charter2013-Adopted-31_10_2013.pdf. Accessed 9 July 2018. Bandarin, F., & van Oers, R. (2012). The historic urban landscape. Managing heritage in an urban century. London: Wiley-Blackwell. Bandarin, F., & van Oers, R. (2015). Reconnecting the city. The historic urban landscape approach and the future of urban heritage. London: Wiley-Blackwell. Huxley, J.  (1946). UNESCO: Its purpose and philosophy. London. http://unesdoc.unesco.org/ images/0006/000681/068197eo.pdf ICOMOS General Assembly. (1987). Charter for the conservation of historic towns and urban areas (Washington Charter). Washington, DC: ICOMOS. https://www.icomos.org/charters/ towns_e.pdf. Accessed 9 July 2018. UN. (2000). United Nations Millennium Declaration. New  York: United Nations. http://www. un.org/millennium/declaration/ares552e.htm. Accessed 9 July 2018.

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UN. (2015a). Transforming our World: The 2030 agenda for sustainable development. New York, United Nations. http://www.un.org/ga/search/view_doc.asp?symbol=A/70/L.1. Accessed 9 Jul 2018 UN. (2015b). Agenda 2030, goal 11.“Targets of sustainable development goal 11: make cities inclusive, safe, resilient and sustainable. http://www.un.org/ga/search/view_doc.asp?symbol=A/ RES/70/1&Lang=E. Accessed 9 July 2018. UN. (2016). Habitat III: The United Nations Conference on Housing and Sustainable Urban Development. Quito, 17–20 October 2016. https://unhabitat.org/habitat-iii/. Accessed 9 July 2018. UNESCO. (1982). World conference on cultural policies. Mexico City, 26 July–6 August 1982. http://unesdoc.unesco.org/images/0005/000525/052505eo.pdf. Accessed 9 July 2018. UNESCO. (1990). World decade for cultural development 1988–1997  – Plan of Action, Paris, UNESCO (CC-89/WS-20). http://unesdoc.unesco.org/images/0008/000852/085291EB.pdf. Accessed 9 July 2018. UNESCO. (1998). World conference on cultural policies for development. Stockholm, March/ April 1998. http://www.wwcd.org/policy/Stockholm.html. Accessed 9 July 2018. UNESCO. (2001). Universal Declaration on Cultural Diversity. Paris, UNESCO. http://unesdoc. unesco.org/images/0012/001271/127162e.pdf. Accessed 9 July 2018. UNESCO. (2003). Convention for the safeguarding of Intangible Cultural Heritage. Paris: UNESCO. https://ich.unesco.org/en/convention?raw_uri=%2Ffr%2Fconvention UNESCO. (2015). Re|Shaping cultural policies. Advancing creativity for development. 2005 convention global report. Paris: UNESCO. UNESCO. (2016). Culture: Urban future. Global report on culture for sustainable urban development. Paris: UNESCO. http://unesdoc.unesco.org/images/0024/002459/245999e.pdf. Accessed 9 July 2018. UNESCO. (2017). Re|Shaping cultural policies. Advancing creativity for development. 2005 convention global report. Paris: UNESCO. UNESCO General Conference. (1976). Recommendation concerning the safeguarding and contemporary role of historic areas. Nairobi: UNESCO. http://portal.unesco.org/en/ev.php-URL_ ID=13133&URL_DO=DO_TOPIC&URL_SECTION=201.html. Accessed 9 July 2018. UNESCO General Conference. (2005). Convention on the protection and promotion of the diversity of cultural expressions. October 2005. Paris: UNESCO. http://unesdoc.unesco.org/ images/0014/001429/142919e.pdf. Accessed 9 July 2018. UNESCO World Heritage Centre. (1995). The Nara Conference on Authenticity, Nara, Japan, 1–6 November 1994. Paris: UNESCO World Heritage Centre. https://whc.unesco.org/document/116018. Accessed 9 July 2018. World Bank. (2000). Culture counts: Financing, resources, and the economics of culture in sustainable development. Proceedings of the Conference held in Florence, Italy (October 4–7, 1999). Washington, DC: World Bank. http://documents.worldbank.org/curated/ en/302131468739317900/pdf/multi-page.pdf. Accessed 9 July 2018. World Commission on Culture and Development. (1996). Our creative diversity. Paris, UNESCO. http://unesdoc.unesco.org/images/0010/001055/105586e.pdf. Accessed 9 July 2018. World Heritage Centre. (2017). Operational guidelines of the World Heritage Convention. UNESCO. https://whc.unesco.org/document/163852. Accessed 9 July 2018.

Chapter 2

The Historic Urban Landscape Approach in Action: Eight Years Later Ana Pereira Roders

Abstract  Eight years after the adoption of the Recommendation on the Historic Urban Landscape (HUL approach) by UNESCO member states, governments worldwide no longer doubt their sustainable development is dependent on heritage, cultural and natural, and are united to strengthen the efforts to protect and safeguard this heritage. What are governments doing? What resources are they listing as heritage? Who is involved? How? What are the results? These are questions that are fuelling the curiosity of many, in science and society, but only a few, leading innovative practices in heritage planning, including those exploring the implementation of the HUL approach, have started to answer them. This chapter discusses the state of the art, based on a literature review, contextualizing the experiences and key lessons of these leaders so far, active in the global diffusion of heritage planning innovation. Results revealed that even though there has been great progress in exploring the broadness in scope, which is still expected to escalate in the upcoming years, there is a strong difference between goals and actions when it comes to the implementation of the HUL approach. Keywords  UNESCO · HUL approach · Innovation · Heritage planning · Urban development

2.1  From Reality to Theory For centuries, heritage and its management have been strongly led by the aim to conserve resources for future generations, mostly tangible and immovable, which were key to define national identities and values, constructed based on authorized discourses, shaped by a partial understanding of past achievements and events, sometimes crucial to a single place and people, sometimes intertwining nations, A. Pereira Roders (*) Professor in Heritage and Values, Delft University of Technology, Delft, The Netherlands e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_2

21

22

A. Pereira Roders

their people and culture. A selective group of resources would be conserved, while the rest could be neglected or destroyed without further accountability. Through the lenses of the past, these were very noble efforts, with conservation restricted to selected resources, otherwise surely destroyed. Through the lenses of the present, these efforts could be understood as insufficient and exclusive, the product of an unsustainable model of consumption and production – making conservation dependent on something as biased as values and cultural identity, which can change over time and place or be restrained to the position of minority – while all other resources are open for neglect and/or destruction, as if resources were forever renewable and as if the planet earth and people were forever resilient. Today, we are facing unprecedented societal challenges and environmental destruction, e.g. the loss and degradation of resources, pollution and climate change (HendersonSellers and McGuffie 2012), as a result of a strong drive for development, quality of life, health and wealth (UN 2016), which fail to balance the impact, in gains and losses of such models. While some countries and cities still see it as the model to follow, eager to be as prosperous as others once were, a few countries and cities have started to question, assess and reform towards more sustainable models of urban development, where resource efficiency and therefore heritage listings and urban conservation play a key role. The greatest advances and broadening have been in the categories and natures of what resources should be conserved; today, every resource could become listed as heritage, as long as they are held in common and deemed valuable by their communities and, therefore, they are willing to conserve them (Pereira Roders 2018). There is no limit to their attributes (what is valuable in such resources) and/or values (why are these resources and attributes valuable), only the common aim to conserve them for future generations. Heritage can refer to a variety of heritage resources, such as tangible, intangible, movable, immovable, natural, cultural, digital, analogue, urban or rural (Pereira Roders 2018). Heritage can refer to a variety of values, such as social, political, historic, aesthetical, scientific, age, ecological or economic (Pereira Roders 2007; Tarrafa and Pereira Roders 2012; Veldpaus 2015). Heritage can be of outstanding universal value for mankind, listed as UNESCO World Heritage, but heritage can also be national, regional or local. Heritage can even be purposely left unlisted, as communities prefer to keep them open for development. Who should select, manage and conserve the resources listed as heritage, traditionally led by the public sector, is going through a similar process of broadening, parallel to alike processes fostered by neoliberalism and decentralization, where co-production and participatory practices shape decisions in urban and regional planning. Even if the public sector still plays a leading role, over time, it is noticeably moving into more of a facilitator role, involving stakeholders as experts, citizens and tourists. The level of participation is also evolving, though at a slower pace, ranging from being informed or consulted to actually influencing and leading decision-making processes. The range of disciplines and their experts grew parallel to the different categories of heritage resources, with, e.g. geographers, landscape architects, biologists and planners involved in cultural landscapes, anthropologists and sociologists in intangible heritage and architects, historians, archaeologists and

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23

engineers in tangible heritage, just to name a few. Moreover, disciplines such as law, management, economics and tourism further our understanding of the role (and models) in which heritage can enable sustainable development. How heritage should be managed and conserved has followed a similar pattern of broadening, where today more and more approaches and methods are accepted in order to enable the conservation of heritage resources, without any of them being necessarily wrong or right. What matters the most is that they can be proven effective in a specific context, which might or might not be applicable to similar heritage resources in different contexts. Moreover, what might work in a certain period of time might not work later in time. Therefore, rather than finding the one perfect approach suitable for eternity, the best practices are moving into dynamic processes where approaches are expected to change over time. Just because everything is possible in theory does not necessarily mean that everything becomes possible in practice. Shaped by character, education and culture, people can’t be truly unbiased; we are hardwired with bias and create bias constantly as part of the natural neurological process of learning (Van Overwalle 2011). So, while heritage remains a selective group of resources to be conserved, and all resources could be someone’s heritage, then, one can argue that heritage listings will never become inclusive. As such, the group of resources listed as heritage reflect more the people enrolled in their nomination, rather than the resources available for conservation and/or their vulnerability. Moreover, the conservation of resources is seldom integrated as a whole, crossing practices and sharing resources, with different stakeholders and processes for each category of resources, from museums to natural parks and from supranational to subnational status. Science and society keep advocating for the conservation of a selection of resources they deem valuable, unaware that when one selects a group of resources to be listed as heritage and be conserved, in the present model of consumption and production, the other resources, even if related, are being selected to be excused from conservation. Though this is not often intentional, this can result into a competition and rivalry, among the different categories of resources and their stakeholders, for better identification and conservation. When a city needs to grow, conserving the surrounding natural areas can lead to its densification and, consequently, the redevelopment of the consolidated areas, resulting into higher skylines and/or smaller public areas. In turn, conserving the consolidated areas can lead to urban sprawl and, consequently, the redevelopment of the surrounding natural areas, resulting in larger surfaces of urban areas and/or rural areas. When regenerating a neighbourhood, intangible heritage resources can be put at risk, as the local communities conserving them might be relocated elsewhere, where such traditions are no longer possible or welcome. When focusing on intangible heritage alone, alienated from their location, buildings and open spaces can get neglected and destroyed. Even the regional strategy to locate a new shopping centre in a specific location, most accessible to transportation facilities as highways and public transportation, can affect the sustainable development and dynamics of the villages and towns in the region, resulting into the closing of traditional commercial areas, which cannot compete with the facilities and offers provided by the

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shopping centre. Without a lively community and uses, these villages and towns can fall into obsolescence, while investing in their renewal instead could have helped maximize resources, honour their products and services and spread the overflow of people, in modes of human-powered transportation far healthier than cars and public transportation, such as walking or cycling. Rather than a case-by-case approach, cities and their key stakeholders are coming to realize that heritage planning and urban conservation can no longer be handled in isolation. Instead, they are cross-sectoral to all fields related to urbanization. However, today, most approaches, methods and tools are still tailored to the model where urbanization takes exception to the rule when conserving and reusing resources; where instead, the rule is to demolish and build new, even when targeting sustainable development goals, with little control or accountability for their long-­ term impact, social, cultural, economic and environmental. As such, this unbalance shall not dissipate easily, at least until this model of resource consumption and production is questioned and reformed. Consequently, heritage as a concept also requires redefinition with the further enhancement and adoption of more sustainable models of resource consumption and production. A global challenge requires supranational goals.

2.2  From Theory to Supranational Governance In times where supranational governance is put in question by more nationalistic narratives, it is most important to recall the reasons why countries and their representatives decide to support this system in the first place. In the post-war period, where the world, and Europe in particular, had to recover from two world wars, which had massive impact at all levels, economic, environmental, social and cultural, and where human rights were propelled onto the global stage and into the global conscience. As Einstein (1954) claimed, “there is only one path to peace and security: the path of supranational organization”. A model of global co-production matters that countries could not solve alone and/or would prefer to solve together, benefiting from the exchange in practices beyond their own territory and culture. A motto for diversity, diplomacy and tolerance still presents in these intergovernmental institution’s goals, strategies and plans, despite later discredit and being hindered by the behaviour of individuals and countries, represented as states parties, rather than the institution as a whole. Still, it seems easier for countries to use such institutions as the scapegoat than to admit their own failures. With a track record of almost 70 years, since the “Agreement for Facilitating the International Circulation of Visual and Auditory Materials of an Educational, Scientific and Cultural Character” was adopted in Beirut, on 10 December 1948, states parties worldwide have been using UNESCO as a global platform to cocreate best practices and goals on domains crossing education, science and/or culture, including heritage planning and sustainable urban development, through various

2  The Historic Urban Landscape Approach in Action: Eight Years Later

25

official documents, e.g. conventions, recommendations and declarations, as well as special projects and programmes, funded by states parties and their extra funds, e.g. African World Heritage Fund and Netherlands Funds-in-Trust. Adopted on 10 November 2011 by the UNESCO member states, the Recommendation on the Historic Urban Landscape (UNESCO 2011a) is best known as the HUL Recommendation and its approach. Essentially, the HUL Recommendation did little less than acknowledge long-standing academic and societal pleas for innovation in heritage planning, in all levels considered partial and/or inefficient (Smith 2006; Bandarin and Van Oers 2012; UNESCO 2016; Skrede and Holleland 2018). Though the fact that such acknowledgement was made official and adopted by nearly every country in the world, it was hoped to make the difference. States parties adopting the HUL Recommendation agreed to initiate and diffuse a process of innovation in heritage planning throughout their territories, for all heritage properties and not to World Heritage alone (UNESCO 2011a). Accordingly, states parties were to “adopt the appropriate legislative institutional framework and measures, with a view to applying the principles and norms set out in this Recommendation in the territories under their jurisdiction”, as well as “bring this Recommendation to the attention of the local, national and regional authorities, and of institutions, services or bodies and associations concerned with the safeguarding, conservation and management of historic urban areas and their wider geographical settings” (UNESCO 2011a). Innovation is ought to be defined and implemented differently, adaptable to the resources and context, concerning process, methods and tools but also on the strategies concerning heritage resources and their values, as well as stakeholders and their roles. Eight years after the adoption of the HUL approach, governments worldwide no longer doubt their sustainable development is dependent on heritage, cultural and natural, and are united to strengthen the efforts to protect and safeguard that heritage, through various international frameworks such as the Sustainable Development Goals and New Urban Agenda (UN 2015, 2017). What are governments doing? What resources are they listing as heritage? Who is involved? How? What are the results? These are questions that are fuelling the curiosity of many, in science and society, but that only few, leading innovative practices in heritage planning, including those exploring the implementation of the HUL approach, have started answering.

2.3  From Supranational Governance to Practices Local practices are key to the HUL Recommendation and, consequently, also to the successful implementation of the HUL approach. For this reason, cities and their key stakeholders have been involved in the varied workshops, interlinking international, national and local partners, organized to discuss the aims and objectives set forward by the HUL Recommendation, e.g. the series of three workshops

26

A. Pereira Roders

in Eastern Africa during July–August 2011, fostering the cooperation between key stakeholders in Lamu (Kenya), Zanzibar (Tanzania) and the Island of Mozambique (Mozambique). When depicting the implementation of the HUL approach as the diffusion of innovation (Rogers 1962), five groups of cities can be defined according to the stages of the innovation diffusion process, ranging from “innovators” to “laggards”, from cities contributing to the HUL Recommendation before 2011 to cities who will inevitably foster a governance reform by the time the Sustainable Development Goals (2030) and goals set by HABITAT3 and the New Urban Agenda (2016–2036) are to be met worldwide (see Table 2.1). According to Rogers (1962), “diffusion is a kind of social change, defined as the process by which alteration occurs in the structure and function of a social system. When new ideas are invented, diffused, and adopted or rejected, leading to certain consequences, social change occurs”. About 160 cities were so far found participating and/or hosting near 350 activities fostering the implementation of the HUL Recommendation (see Table  2.2; Fig. 2.2). Activities ranged from organizing meetings, e.g. workshops and trainings to becoming case studies in research, applied and fundamental, which is consequently reported in reports and publications (Siguencia Ávila 2018; Rey Perez and Pereira Roders 2018). Twenty-eight cities were taken as a sample to report their experiences and views on the HUL for the purpose of this book; 32 were asked to prepare a case study boxes (see Appendix), from which 14 have been integrated in this introductory chapter. As expected, most are early adopters, though there are key innovators that deserve to be highlighted for their pioneer contributions to the HUL Recommendation, as well as cities which start now exploring its potentials, during the early majority step. Innovators are generally willing to take risks, have access to financial resources and have contact with scientific sources and/or interaction with other innovators. The risk tolerance enables them to adopt technologies that can ultimately fail Table 2.1  Diffusion of innovation applied to the implementation of the HUL Recommendation Steps, market share (%) 1. Innovators (2.5%) 2. Early adopters (13.5%) 3. Early majority (34%) 4. Late majority (34%) 5. Laggards (16%)

Diffusion of innovation (Rogers 2003) Risk takers, who have the resources and desire to try new things, even if they fail Selective about which innovation they start adopting. They are considered the “one to check in with” for new information and reduce others’ uncertainty Take their time before adopting the innovation. They are willing to adopt the innovation, as long as, fit to their lives Adopters in reaction to peer pressure, emerging norms or economic necessity. Most of the uncertainty is to be resolved before they adopt the innovation Traditional and making decisions based on past experience, adverse to change, often economically unable to take risks and, thus, the last to adopt innovations

Adapted from Rogers (1962)

HUL recommendation Before 2011 Between 2012 and 2017 Between 2018 and 2023 Between 2024 and 2029 After 2030

27

2  The Historic Urban Landscape Approach in Action: Eight Years Later Table 2.2  List of cities, hosting/organizing activities for HUL Recommendation ID

City

Country

Region

Innovation - Steps

42

Ajmer-Pushkar India

Asia and the Pacific

    

110

Al-Salt

Jordan

Arab States

    

103

Aleppo

Syrian Arab Republic Arab States

    

43

Alwar

India

Asia and the Pacific

    

44

Amaravathi

India

Asia and the Pacific

    

20

Ambalema

Colombia

L.A. and the Caribbean

    

93

Amsterdam

Netherlands

Europe and N. America

    

111

Asmara

Eritrea

Africa

    

74

Assisi

Italy

Europe and N. America

    

61

Baku

Azerbaijan

Europe and N. America

    

30

Ballarat

Australia

Asia and the Pacific

    

56

Bangkok

Thailand

Asia and the Pacific

    

94

Beemster

Netherlands

Europe and N. America

    

112

Beijing

China

Asia and the Pacific

    

11

Beirut

Lebanon

Arab States

    

59

Berat

Albania

Europe and N. America

    

113

Bergamo

Italy

Europe and N. America

    

21

Bogota

Colombia

L.A. and the Caribbean

    

114

Bologna

Italy

Europe and N. America

    

66

Bordeaux

France

Europe and N. America

    

15

Brasilia

Brazil

L.A. and the Caribbean

    

62

Brugge

Belgium

Europe and N. America

    

104

Budapest

Hungary

Europe and N. America

    

115

Buenos Aires

Argentina

L.A. and the Caribbean

    

57

Bukhara

Uzbekistan

Asia and the Pacific

    

75

Cagliari

Italy

Europe and N. America

    

8

Cairo

Egypt

Arab States

    

31

Canberra

Australia

Asia and the Pacific

    

45

Chandigarh

India

Asia and the Pacific

    

116

Chester

United Kingdom

Europe and N. America

    

100

Chicago

U.S.A.

Europe and N. America

    

1

2

3

4

5

(continued)

28

A. Pereira Roders

Table 2.2 (continued) ID

City

Country

Region

Innovation - Steps 1

2

3

4

5

89

Cordoba

Spain

Europe and N. America

    

23

Cuenca

Ecuador

L.A. and the Caribbean

    

1

Dakar

Senegal

Africa

    

117

Dhaka

Bangladesh

Asia and the Pacific

    

118

Djenné

Mali

Africa

    

119

Dresden

Germany

Europe and N. America

    

32

Dujiangyan

China

Asia and the Pacific

    

97

Durham

United Kingdom

Europe and N. America

    

99

Edinburgh

Ireland

Europe and N. America

    

64

Edmonton

Canada

Europe and N. America

    

84

Evora

Portugal

Europe and N. America

    

76

Ferrara

Italy

Europe and N. America

    

159

Florence

Italy

Europe and N. America

    

54

Galle

Sri Lanka

Asia and the Pacific

    

73

Galway

Ireland

Europe and N. America

    

120

Genoa

Italy

Europe and N. America

    

121

George To wn

United Kingdom

Europe and N. America

    

122

Granada

Spain

Europe and N. America

    

60

Graz

Austria

Europe and N. America

    

33

Guangzhou

China

Asia and the Pacific

    

85

Guimarães

Portugal

Europe and N. America

    

123

Hamilton

Canada

Europe and N. America

    

34

Hangzhou

China

Asia and the Pacific

    

58

Hanoi

Vietnam

Asia and the Pacific

    

22

Havana

Cuba

L.A. and the Caribbean

    

124

Ho Chi Minh

Vietnam

Asia and the Pacific

    

125

Hong Kong

China

Asia and the Pacific

    

46

Hyderabad

India

Asia and the Pacific

    

126

Islamabad

Pakistan

Asia and the Pacific

    

3

Island of M.

Mozambique

Africa

    

96

Istanbul

Turkey

Europe and N. America

    

47

Jaipur

India

Asia and the Pacific

     (continued)

2  The Historic Urban Landscape Approach in Action: Eight Years Later

29

Table 2.2 (continued) ID

City

Country

Region

Innovation - Steps 1

2

3

4

5

49

Jakarta

Indonesia

Asia and the Pacific

    

127

Jeddah

Saudi Arabia

Arab States

    

9

Jerusalem

Jerusalem

Arab States

    

52

Kathmandu

Nepal

Asia and the Pacific

    

128

Kimberley

South Africa

Africa

    

88

Kolomna

Russian Federation

Europe and N. America

    

10

Kuwait City

Kuwait

Arab States

    

14

La Plata

Argentina

L.A. and the Caribbean

    

2

Lamu

Kenya

Africa

    

67

Le Havre

France

Europe and N. America

    

41

Levuka

Fiji

Asia and the Pacific

    

129

Lhasa

China

Asia and the Pacific

    

105

Lijiang

China

Asia and the Pacific

    

130

Ling Lu

China

Asia and the Pacific

    

98

Liverpool

United Kingdom

Europe and N. America

    

51

Luang Prabang Lao People's D.R.

Asia and the Pacific

    

83

Lublin

Poland

Europe and N. America

    

68

Lyon

France

Europe and N. America

    

35

Macau

China

Asia and the Pacific

    

131

Machu Picchu Peru

L.A. and the Caribbean

    

90

Madrid

Spain

Europe and N. America

    

132

Malaga

Spain

Europe and N. America

    

133

Manama

Bahrain

Arab States

    

4

Maputo

Mozambique

Africa

    

134

Meldola

Italy

Europe and N. America

    

27

Mexico City

Mexico

L.A. and the Caribbean

    

106

Montreal

Canada

Europe and N. America

    

63

Mostar

Bosnia

Europe and N. America

    

71

Mtskheta

Georgia

Europe and N. America

    

135

Mudurnu

Turkey

Europe and N. America

    

7

Muharraq

Bahrain

Arab States

    

136

Namwon

Republic of Korea

Asia and the Pacific

     (continued)

30

A. Pereira Roders

Table 2.2 (continued) ID

City

Country

Region

Innovation - Steps 1

2

3

4

5

Europe and N. America

    

New Brunswick U.S.A.

Europe and N. America

    

137

New Jersey

Europe and N. America

    

25

Old Guatemala Guatemala

L.A. and the Caribbean

    

16

Olinda

Brazil

L.A. and the Caribbean

    

138

Orongo

Chile

L.A. and the Caribbean

    

139

Orvieto

Italy

Europe and N. America

    

78

Palestrina

Italy

Europe and N. America

    

69

Paris

France

Europe and N. America

    

107

Pittsburgh

U.S.A.

Europe and N. America

    

70

Poitiers

France

Europe and N. America

    

79

Pompeii

Italy

Europe and N. America

    

86

Porto

Portugal

Europe and N. America

    

80

Priverno

Italy

Europe and N. America

    

28

Puebla

Mexico

L.A. and the Caribbean

    

65

Québec

Canada

Europe and N. America

    

29

Querétaro

Mexico

L.A. and the Caribbean

    

24

Quito

Ecuador

L.A. and the Caribbean

    

12

Rabat

Morocco

Arab States

    

140

Raleigh

U.S.A.

Europe and N. America

    

53

Rawalpindi

Pakistan

Asia and the Pacific

    

17

Recife

Brazil

L.A. and the Caribbean

    

72

Regensburg

Germany

Europe and N. America

    

18

Rio de Janeiro Brazil

L.A. and the Caribbean

    

141

Rome

Italy

Europe and N. America

    

5

Saint Louis

Senegal

Africa

    

91

Salamanca

Spain

Europe and N. America

    

142

Samarkand

Uzbekistan

Asia and the Pacific

    

143

San Sebastian

Spain

Europe and N. America

    

144

S.C. de MompoxColombia

L.A. and the Caribbean

    

92

Seville

Spain

Europe and N. America

    

13

Sfax

Tunisia

Arab States

    

77

Naples

101

Italy

U.S.A.

(continued)

31

2  The Historic Urban Landscape Approach in Action: Eight Years Later Table 2.2 (continued) ID

City

Country

Region

Innovation - Steps 1

2

3

4

5

145

Shahr-e Zuhak Afghanistan

Asia and the Pacific

    

36

Shanghai

China

Asia and the Pacific

    

146

Shenyang

China

Asia and the Pacific

    

37

Shuang Wan

China

Asia and the Pacific

    

87

Sighişoara

Romania

Europe and N. America

    

147

Singapore

Singapore

Asia and the Pacific

    

148

Suakin

Sudan

Arab States

    

38

Suzhou

China

Asia and the Pacific

    

55

Taipei

Taiwan

Asia and the Pacific

    

26

Tegucigalpa

Honduras

L.A. and the Caribbean

    

108

Tel Aviv

Israel

Europe and N. America

    

149

Tesanj Bosn

Bosnia

Europe and N. America

    

150

Texas

U.S.A.

Europe and N. America

    

151

Timbuktu

Mali

Africa

    

152

Tiwanaku

Bolivia

L.A. and the Caribbean

    

39

Tongli

China

Asia and the Pacific

    

153

Toronto

Canada

Europe and N. America

    

154

T. Annunziata

Italy

Europe and N. America

    

109

Tripoli

Lebanon

Arab States

    

155

Turin

Italy

Europe and N. America

    

81

Urbino

Italy

Europe and N. America

    

82

Valletta

Malta

Europe and N. America

    

19

Valparaiso

Chile

L.A. and the Caribbean

    

48

Varanasi

India

Asia and the Pacific

    

156

Venice

Italy

Europe and N. America

    

102

Vilnius

Lithuania

Europe and N. America

    

157

Vranduk

Bosnia

Europe and N. America

    

158

Wai

India

Asia and the Pacific

    

95

Willemstad

Netherlands

Europe and N. America

    

40

Yangzhou

China

Asia and the Pacific

    

50

Yogyakarta

Indonesia

Asia and the Pacific

    

6

Zanzibar

Tanzania

Africa

    

Adapted from Siguencia Ávila (2018), Rey Perez and Pereira Roders (2018)

32

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(Rogers 1962). Concerning the HUL Recommendation, these cities were involved in the drafting of the Recommendation, before 2011; being one of the first innovators, the city of Vienna, Austria, and its contribution, the Vienna Memorandum, the result of an international conference on the subject of “World Heritage and Contemporary Architecture”, held in 2005, under the patronage of UNESCO and attended by more than 600 experts and professionals from 55 countries (UNESCO 2005a, b).

Box 2.1 Over-arching Urban Planning Guidelines for the Historic Perimeter of Asmara, Eritrea (Rodwell 2004) Dennis Rodwell The objective of this mission was to prepare over-arching guidelines for the historic perimeter of Asmara in the context of the city as a whole, coordinating specialist studies already prepared and in hand, all to promote a holistic approach to heritage protection and sustainable urban development. The mission was undertaken within the framework of the Cultural Assets Rehabilitation Project (CARP), an initiative of the Eritrean government and people supported by the World Bank; the mission coincided with the UNESCO World Heritage Centre’s Regional Meeting on Modern Heritage held in March 2004. A major determinant was understanding and respect for Asmara’s multilayered, interactive and evolving tangible and intangible cultural heritage traditions, embracing indigenous cultures, the colonial and modernist era and today’s status as the capital city of a re-emerging nation. The factors embraced by this mission included: • Basic needs, including water supply and sanitation, housing supply and quality, food supply and markets • Land and building uses, urban morphology and design issues • The use of vacant land and underused buildings, including for community uses and public art • Traffic and transportation • Over-arching historic building conservation guidelines • Identification of subjects for ongoing detailed studies, including data collection, review of regulatory and administrative systems and the city’s tourism potential This mission animated ongoing reflections by the Eritrean government and the Municipality of Asmara. It was followed by the drafting of the Tentative List submission and informed the nomination and management plan for the inscription of “Asmara: a Modernist City of Africa” as a World Heritage property in 2017. Its holistic approach anticipated the UNESCO Historic Urban Landscape initiative.

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Several meetings followed, such as the workshops on the Management of Historic Urban Landscapes of the twentieth century, in Le Havre, France (UNESCO 2007a), and in Chandigarh, India (UNESCO 2007b); the seven European cities, partnering in the project HerO (Heritage as Opportunity), funded by URBACT, coordinated by Regensburg, Germany, during 2008–2011; the 13 cities joining the Protected Urban Planet initiative during 2009–2014, e.g. Willemstad, Curacao; Valparaiso, Chile; and Amsterdam, the Netherlands; and the Inclusive Heritage-­ based City Development Programme (IHCDP) implemented in India, in collaboration with UNESCO, the World Bank and the Cities Alliance. There was a balance between international-cooperative activities and between cities sharing similar contexts and/or challenges and local tailored activities, where the cities and key stakeholders would focus on the integration of heritage planning and sustainable urban development within the specificity of its own city.

Box 2.2 Technical Cooperation for the Enhancement, Development and Protection of the Town of Luang Prabang, Lao People’s Democratic Republic (UNESCO 2015a) Minja Yang The town of Luang Prabang, inscribed on the World Heritage List in 1995, is the former royal capital of one of the kingdoms of Laos, located in the mountainous north, at the confluence of the Mekong River and the Khan River. The conservation and enhancement of the OUV of this World Heritage property was a key process in the management of spatial planning and territorial development in a period of rapid change brought about by the liberalization of the economy after decades of war followed by a period of centralized planned economy. Enhancement of the cultural, environmental and social resources of the site has been the key strategy for the development of the town and the surrounding region. The town of Luang Prabang project took place before the HUL recommendation was adopted in 2011 and can be considered as an upstream experience. The programme, so far composed of six multi-year projects, was initially launched in 1996 by the Lao authorities, with the support of the city of Chinon and the Région Centre (France), under a decentralized cooperation framework. This long-term and inter-sectorial programme has focused from the onset on institutional and local capacity building, with training of an operational team in every project, starting from mapping and inventories of architectural, urban and landscape features to the development of regulatory tools covering not only for the town but also the wider-scale landscape of the riverbanks and the surrounding hills resulting in the Safeguarding and Enhancement Plan (SEP) and Territorial Consistency Scheme (SCOT) but also in sewage and road upgrading as well as in the conservation of urban wetlands and restoration of heritage buildings.

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Early adopters are similar to the innovators, in the access to financial resources, but more cautious in adoption choices. They can learn from the experience of the innovators and move faster, adjusting their implementation to the models that best suit the context of their city and resources. Concerning the HUL Recommendation, these cities were involved in the early implementation of the UNESCO Recommendation, between 2012 and 2017, the first 6-year cycle. There are two leading cities in this step – Ballarat, Australia, and Cuenca, Ecuador – committed to the exploration of the HUL approach. These two cities, also chapters in this book, have been crucial in the maturing of the theoretical framework and for the development of methods and tools to endorse the HUL Recommendation. Many of these cities include World Heritage properties within their urban areas, such as Aleppo, Syria Arab Republic, Paris, France, and Dakar, Senegal. A few cities aim to soon include World Heritage properties within their urban areas, being part of the Tentative List, though there are other cities such as Shanghai, China, and Galway, Ireland. These cities are better informed about international recommendations and the HUL Recommendation in particular. The World Heritage Committee actively promotes the implementation of the HUL approach through its reference in the decision texts, e.g. the revision of the operational guidelines (UNESCO 2012a, 2013), and advises its practice in the management of World Heritage properties, as well as in the preparation of new World Heritage nominations.

Box 2.3 Living Human Treasures of Grand Bazaar: Istanbul Jewellery Making as an Intangible Urban Activity (Erkan and Orlandi 2017) Yonca Erkan The jewellery making in Grand Bazaar, Istanbul, is a tradition that goes back to early Byzantine times. In the 2000s, Turkey began to attain a leading position among countries that process gold and sell it as jewellery. The most important force behind the success of the jewellery sector was the mastery of precious metal processing, an extension and consequence of the multilayered cultural heritage Turkey possesses. Today, the traditional practice is under threat of mass production and social transformations. The interdisciplinary research approach bringing together cultural heritage and design innovation allowed studying the role of intangible heritage in urban areas. Through field research extending over 2 years, 57 traditional jewellery masters were documented. The impacts of continuation of this tradition were scrutinized for its role in the community, contribution to space, capacity of innovation as well as transmission to future generations. To communicate the findings of the research, this data was then transformed into an exhibition, Gem and Craft: In Pursuit of the Artisans of Grand Bazaar, at the Rezan Has Museum (February– November 2017). The exhibition gave recognition to jewellery making as an urban art and those who produce it.

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Box 2.4 Mediterranean Network of South European Cities, Malaga as Case Study (Loren-Méndez et al. 2016) María del Mar Loren Méndez This case study presents a research undertaken in the Mediterranean network of South European cities, focusing on Malaga. Malaga is a historic city on the Andalusian Mediterranean littoral, at the edge of the Atlantic Ocean, between Europe and Africa. Unlike the centralizing condition of cities such as Seville or Cordoba, Malaga consisted of a node in a decentralized territory, a city within a littoral urban network, a characteristic feature of the Mediterranean territory. This interdisciplinary research, which has been grant-aided by the European Regional Development fund, has looked at the city as part of the littoral Mediterranean roadway corridor, proposing the infrastructure as its main argument for urban heritage characterization. The integral historical layering of natural and cultural values, the study of their legal protection within urban and regional planning and the identifying areas of heritage sensitivity corroborate the study’s contribution to the HUL discussion and new strategies to contemplate the singularities of each city, of each landscape.

Early majority have just started; late majority and laggards are steps still to come in the process of diffusion of innovation. Early majority are now considering and/or are still to engage the implementation of the HUL approach. These cities take their time before adopting the innovation. They are willing to adopt the innovation as long as it fits into their lives. Florence, Italy, and Raleigh, USA, are case studies that have been exploring the implementation of the HUL approach most recently. In particular, Florence has been compared with the city of Edinburgh, Scotland (an innovator), in the inherent implementation of the HUL approach, respective processes, tools and stakeholders (Giliberto 2018). Late majority follow all adopters in a reaction to peer pressure, emerging norms or economic necessity. Most of the uncertainty must be resolved before they adopt the innovation. Laggards, traditional and adverse to change, make decisions based on past experience, often economically unable to take risks, and, thus, are the last to adopt the HUL approach, such as before results are to be presented concerning the New Urban Agenda and Sustainable Development Goals.

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Box 2.5 Kolomna: Cultural Memory as a Resource for Developing a Historic City Elizaveta Levitskaya In Soviet times Kolomna was excluded from popular tourist routes, as there was a secret military construction bureau based there and the access to the city was limited. In the 2000s, the revitalization process started in the historic city, where the centre comprises of 35 HA of urban fabric untouched since the nineteenth century. The restoration of the Kremlin served as an impulse for the development of local creative industries. It was followed by several projects: land-art project “Ice House” (reconstruction of ice slides from the nineteenth century), museum and reconstruction of the factory of the Kolomna pastille, museum of the kalach (Russian bread) and museum of the Kolomna coin, art-residence “Artkommunalka” – all concentrated in the historic part of the city. Over 8 years the revitalization of the centre together with creative industries yielded a threefold increase in tourists visiting and activation of the local business. However, the city lacks a holistic and integrated cultural strategy, and the development needs to be brought from the sporadic to a systematic level to attract investment and at the same time to preserve vulnerable historic urban landscape of Kolomna. As for the HUL approach, Kolomna has great potential as it engages community and benefits from the regulatory systems (historic cities are relatively well protected and supported). It gets financial support from diversified sources. However, it lacks planning tools to provide a comprehensive framework for its sustainable development.

2.4  From Practices to Theory A total of 108 scientific publications (at Scopus) were identified using the HUL Recommendation as a reference document. The earliest study is from 2011 and the latest from 2019. Figure 2.1 shows the yearly distribution of the studies, indicating

l

Fig. 2.1  The yearly distribution of the reviewed publications, using the HUL approach as reference

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37

an increase of popularity in 2016–2017. The figure shows that the number of publications in the last 2 years constitutes more than half of all the publications (58 out of 108). The present book is expected to boost this yearly distribution further with 30 book chapters, reporting the results of 28 case studies soon to be released in late 2018 (Figs. 2.2, 2.3, and 2.4). A large share of these publications, mostly journal articles and book chapters, discuss the implementation of the related HUL approach through case studies,

Fig. 2.2  Map of case studies in North America, Latin America and the Caribbean regions (Nadia Pintossi)

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A. Pereira Roders

Fig. 2.3  Map of case studies in Africa, Arab States, Europe and Asia regions (Nadia Pintossi)

mostly in the UNESCO regions Europe and North America, in cities such as Naples, George Town, Granada, Bergamo, San Sebastián and Liverpool in Europe (Bonadei et al. 2017; Carone et al. 2017; Fernández Adarve 2015; García-Hernández et al. 2017; Shamsuddin et al. 2012; Sykes and Ludwig 2015) and Vieux-Québec or Texas in North America (Doganer 2017; Dormaels 2016) and in the UNESCO regions Asia and the Pacific, in cities such as Shuang Wan Cun, En Ling Lu, Namwon, Singapore, Bangladesh and Pakistan in Asia (Ferdous 2016; Karim 2016; Sil Shin et al. 2015; Taylor 2016; Verdini et al. 2017; Widodo et al. 2017) and Ballarat or

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39

Fig. 2.4  Map of case studies in Asia and the Pacific regions (Nadia Pintossi)

Cuenca in the Pacific (Buckley et al. 2016; Rey-Pérez and Siguencia Ávila 2017). There are also literature reviews as (Caterina 2016; Pereira Roders and Van Oers 2014) framing the HUL approach to the state of the art, findings and gaps (Angrisano et  al. 2016; Bandarin and Van Oers 2015; Rey-Pérez and Pereira Roders 2018). Moreover, there is a growing wealth of books (e.g. Bandarin and Van Oers 2012; Porfyriou and Sepe 2017; Sonkoly 2017), edited books (e.g. Bandarin and Van Oers 2015; Taylor et al. 2015; Labadi and Logan 2015; Rey-Pérez et al. 2017) and doctoral theses (Angrisano 2015; Veldpaus 2015; Ikiz 2017; Alkhalaf 2018; Giliberto 2018; Siguencia Ávila 2018), which have been published since the seminal work of

40

A. Pereira Roders

Bandarin and Van Oers (2012). These publications offer solutions and deeper understanding of the intellectual developments in urban conservation, embedded in the HUL Recommendation and advocate for innovation and reform in processes and tools to engage with a broader group of stakeholders, categories of heritage and changing contexts. Even if not part of the final texts of the HUL Recommendation (UNESCO 2011a, b), the six-step HUL approach has been used as theoretical framework in practice (UNESCO 2012b; WHITRAP 2016), as well as by scholars (Veldpaus et al. 2013; Giliberto 2018), to guide, evaluate and monitor the progress and implementation of the HUL approach. Bandarin and Van Oers (2015), as Veldpaus (2015) explains, review the six-step HUL approach recommended for its implementation, e.g. the cultural mapping (Turner and Singer 2015), the impact analysis (Jigyasu 2015) and the development of an urban framework (Siravo 2015), as well as the four HUL tools which include citizen engagement (Smith 2015), financial questions (Rypkema 2015), regulatory systems (O’Donnell 2015) and knowledge and planning tools (Hosagrahar 2015).

2.4.1  The Six-Step HUL Approach The HUL approach recommends that cities define the processes, methods and tools that best fit their city and context. However, a common base was identified and proposed as the six-step HUL approach, six steps familiar to most of the cities, even if not followed by all or in the same order. Most cities are familiar with the six-step HUL approach. From the sample of chapters and boxes, about one-­third was familiar and applied the six-step HUL approach, ranging from innovators such as Asmara, Eritrea; Jaipur, India; and Luang Prabang, Laos, to early adopters such as Amsterdam, the Netherlands; Ballarat, Australia; and Istanbul, Turkey, and to early majority as Havana, Cuba. The Six Critical Steps: 1. To undertake comprehensive surveys and mapping of the city’s natural, cultural and human resources 2. To reach consensus using participatory planning and stakeholder consultations on what values to protect for transmission to future generations and to determine the attributes that carry these values 3. To assess vulnerability of these attributes to socio-economic stresses and impacts of climate change 4. To integrate urban heritage values and their vulnerability status into a wider framework of city development, which shall provide indications of areas of heritage sensitivity that require careful attention to planning, design and implementation of development projects 5. To prioritize actions for conservation and development 6. To establish the appropriate partnerships and local management frameworks for each of the identified projects for conservation and development, as well as to develop mechanisms for the coordination of the various activities between different actors, both public and private (UNESCO 2011b)

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Box 2.6 Mapping Economic Landscape for the UNESCO World Heritage City, Old Towns of Djenné (Ost 2009) Christian Ost In March–April 2009, a short survey was conducted (prepared by Kathleen Louw, Getty Conservation Institute), in collaboration with the Cultural Mission of Djenné, Mali. The questions were structured to roughly capture the direct and indirect use values of Djenné’s built heritage for the year 2008. The survey covered 13 neighbourhoods (for rental values, conservation projects), 11 visited cultural sites (for conservation and visitor fee values) and 16 heritage-related businesses (hotels, restaurants, punt transport, art and crafts, masons, guides). The Djenné test case was aimed to collect data to test the digital mapping in order to measure use values of the city’s heritage. Non-­ market benefits were not addressed in the survey. Ymoussa Fané, Chief of the Cultural Mission of Djenné, coordinated the survey completion with the local tourism, urbanism and other authorities and provided data on which of the neighbourhoods, historic buildings and business were identified. Final mapping provided a tentative rendering of historic economic landscape of the place, which was included in a report on heritage economics for historic cities, by Christian Ost, by the time, in-residence scholar at the Getty Conservation Institute, United States, in 2008–2009.

Box 2.7 Adopting HUL Toolkits in Muharraq: The Bahrain Authority for Culture and Archaeology (BACA) Alaa El-Habashi Historic Muharraq gained substantial recognition after listing a series of its cultural properties as World Heritage representing the city’s historic economy once based on the pearling industry. The registration has paved the way for conservation frameworks, concepts and techniques to be introduced into Bahrain. Despite BACA’s continuous efforts to integrate it, there was limited participation from the local community with its mixed backgrounds, both the natives who continued residing in the city and the foreign labourers who moved in for affordability. The natives felt deprived of their rights to develop their properties, and the foreigners realized that development would boost the real estate cost to unaffordable limits. A ROT system, restore-operate-­transfer, was proposed by BACA as one means to encourage the community to explore the potentiality in investing in heritage buildings. The government acquired a number of those about to be demolished due to their bad state of conservation, repaired them and undertook minimum restoration works to reveal their heritage values. The buildings were then auctioned for rentals to potential tenants willing to continue the rehabilitation works. In return, the selected tenants would have the right to use the heritage buildings for durations of time calculated (continued)

42

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Box 2.7­  (continued) against the investments made. In parallel, BACA leads media campaigns, community awareness programmes and a large urban regeneration project in selected areas in the historic centre. Most of the HUL toolkit has been explored in that Bahraini experience to engage the local community quickly enough to prevent disregards to heritage buildings and to assure sustainability for accomplished results. If this experience, whose initial evaluation is set by the end of 2019, achieves its goals, it will certainly offer a pioneering experience in the Arab Region.

Box 2.8 Preparatory Assistance and Technical Support for the Inscription, Conservation and Management of the Île de Saint-Louis, Senegal (UNESCO 2011c) Marie-Noel Tournoux The Île Saint-Louis, inscribed on the World Heritage List in 2000, is one of the flagship cities of colonial history in West Africa. It presents a complete architectural, urban and rural landscape, which is remarkable and highly varied. At the request of Senegal, the World Heritage Centre, with the support of France, embarked on a long process of support to both national and municipal authorities for the protection, management and enhancement of the site, as well as the development of tools and management mechanisms. This assistance was also technical support through decentralized city-to-city cooperation between Saint-Louis and Lille Métropole, France. The challenges were to develop mechanisms for management, monitoring and oversight to protect heritage and to promote the sustainable development of Saint-Louis, by considering heritage, culture and local projects. Hence, a set of tools were developed; to improve knowledge of the site, a full inventory of built heritage and its setting was carried out; to protect and manage the site, a full protection and enhancement urban master plan was developed; and to address governance issues, an institutional management framework (Heritage House) was developed. The social concerns of the island’s residents were addressed, with a pilot microcredit scheme for families, with projects bringing together economic activity and care for the heritage and its environment. Subsequently, the emphasis was placed on the riverine nature of the town and on large-scale environmental issues and urban planning. Given the challenges of providing further training and ensuring longterm collaboration through effective coordination between the different participants and particularly international aid consistency, the challenge was to associate a positive conservation status, as part of this broader approach to the area, in 2010, with sustainable support for the restoration of heritage in SaintLouis, both private and public. Today the challenge remains to ensure political commitment for managing change and including culture and heritage as core assets for ensuring quality of life for the inhabitants.

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The remaining applied between 2 and 5 steps. The first and fourth steps are the most applied, respectively, to (1) undertake comprehensive surveys and mapping of the city’s natural, cultural and human resources and to (4) integrate urban heritage values and their vulnerability status into a wider framework of city development, which shall provide indications of areas of heritage sensitivity that require careful attention to planning, design and implementation of development projects. Steps 2 and 5 seem to be applied by one-third, respectively, (step 2) to reach consensus using participatory planning and stakeholder consultations on what values to protect for transmission to future generations and to determine the attributes that carry these values and (step 5) to prioritize actions for conservation and development. The least applied are steps 3 and step 6, respectively, (3) to assess vulnerability of these attributes to socio-economic stresses and impacts of climate change and (6) to establish the appropriate partnerships and local management frameworks for each of the identified projects for conservation and development, as well as to develop mechanisms for the coordination of the various activities between different actors, both public and private.

2.4.2  The Tools There are four key tools referenced in the HUL Recommendation. They are (1) community engagement tools, (2) knowledge and planning tools, (3) regulatory systems and (4) financial tools (UNESCO 2011a). 2.4.2.1  HUL Tools 1. Civic engagement tools should involve a diverse cross-section of stakeholders and empower them to identify key values in their urban areas, develop visions that reflect their diversity, set goals and agree on actions to safeguard their heritage and promote sustainable development. These tools, which constitute an integral part of urban governance dynamics, should facilitate intercultural dialogue by learning from communities about their histories, traditions, values, needs and aspirations and by facilitating mediation and negotiation between groups with conflicting interests. 2. Knowledge and planning tools should help protect the integrity and authenticity of the attributes of urban heritage. They should also allow for the recognition of cultural significance and diversity and provide for the monitoring and management of change to improve the quality of life and of urban space. These tools would include documentation and mapping of cultural and natural characteristics. Heritage, social and environmental impact assessments should be used to support and facilitate decision-making processes within a framework of sustainable development.

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3. Regulatory systems should reflect local conditions and may include legislative and regulatory measures aimed at the conservation and management of the tangible and intangible attributes of the urban heritage, including their social, environmental and cultural values. Traditional and customary systems should be recognized and reinforced as necessary. 4. Financial tools should be aimed at building capacities and supporting innovative income-generating development, rooted in tradition. In addition to government and global funds from international agencies, financial tools should be effectively employed to foster private investment at the local level. Micro-credit and other flexible financing to support local enterprise, as well as a variety of models of partnerships, are also central to making the historic urban landscape approach financially sustainable. These tools are very familiar to the sample cities, with nearly one-third applying all four of them, with as many innovators, e.g. Jaipur, India, and as early adopters, e.g. Edinburgh, Scotland, and another one-third applying three of them, but these being mainly early adopters, e.g. Shuang Wan, China, and Buenos Aires, Argentina. The most used tools during the implementation of the HUL approach are, respectively, (1) community engagement tools and (2) knowledge and planning tools with (3) regulatory systems and (4) financial tools being the least used.

Box 2.9 Centro Cultural Kirchner (CCK) Francesca Ferlicca The Centro Cultural Kirchner is a cultural centre located in downtown Buenos Aires, Argentina. It is a modern space, dedicated to fine, performing, visual and digital arts, education, conferences and exhibitions, completely open and free to the public. It was opened in May 2015 and is located in the former Central Post Office, declared National Historic Monument in 1997. By 2009, the last-century building has been converted into the fourthlargest cultural centre in the world. Among its main attractions are La Ballena Azul, a symphonic music hall, a chamber music room, a hanging glass structure that emulates a great lamp and La Cupula, the illuminated dome. Since its inauguration, it represents an important landmark that enhances community engagement, participation and valorization of local heritage. According to the HUL Recommendation, the project involves communities, decision-makers and professionals, in order to foster understanding of the historic urban landscape.

2  The Historic Urban Landscape Approach in Action: Eight Years Later

Box 2.10 Historic Preservation Toolkit Donovan Rypkema The City of Raleigh, North Carolina, USA, issued a request for proposals for a “historic preservation toolkit” that specifically stated “The contractor will consider tools that fall into several project areas, which may include financial tools, policy tools, regulatory tools and organizational tools”. The firm Heritage Strategies International responded and were ultimately selected for the assignment and explicitly redefined the city’s framework into the HUL group of tools. Twelve policies/strategies/tools were recommended, including two or three in each of the HUL tool categories. Examples of recommendations were conditional use permit (regulatory), property tax exemptions for long-term heritage district residents (economic), systematic surveying/documentation (knowledge and planning) and matching grants to neighbourhood-­based organizations (community engagement). Prior to making recommendations, extensive stakeholder focus groups were conducted. For each of the recommendations examples of other US cities and whenever possible international examples of the successful use of the recommended tool were utilized.

Box 2.11 Mudurnu Cultural Heritage Site Management Plan – Phase I Ege Yildirim This project covers the preparation of the Mudurnu Cultural Heritage Site Management Plan and the first phase of its implementation (2014 to 2018), which evolved from an academic project into a professional plan commissioned by Mudurnu Municipality, with funding from the East Marmara Regional Development Agency. Mudurnu is a small but historically strategic Silk Road town, inscribed by the states party Turkey at the UNESCO World Heritage Tentative List in 2015 as “The Historic Guild Town of Mudurnu”, its Outstanding Universal Value proposed as the best urban manifestation of Akhism, the Anatolian merchant guilds tradition, both through its rich and diverse built heritage and the ritual practices. During the management plan, this diversity of heritage was recognized as a historic urban landscape, beyond a conventional urban conservation site, which the town centre was legally categorized as. The identification of management plan boundaries took into account this multiplicity of heritage layers, which was proposed jointly by community members and the planning team. Another innovative aspect is the application of the national site management legislation to a small settlement, not necessarily for a World Heritage nomination but to help the local community embrace a strategy for tourism-led sustainable development. The implementation of the plan involved collaborative efforts of different stakeholders using diverse types of resources, not just financial but in kind and logistical support, blending civic engagement and financial tools.

45

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Table 2.3  Types of stakeholders Main category Public

Private

Stakeholders Politicians

Definitions, examples National, regional and local politicians, the administration, the governors, alderman Policy makers Those developing the plans and tools to manage local resources Officers Those carrying out the implementation of policies applied to the local context and specific projects Professional/ Experts working both in academia, e.g. researchers, and in practice, experts as in consultancy and advice, e.g. technician, advice, designer or volunteer/amateur experts, e.g. local experts, pressure groups, knowledge groups Daily users Those in contact with the heritage resources on daily basis, e.g. owners, residents, users. These also include the developers/private sector, with an (economic) stake in the heritage resource, e.g. selling, develop, exploit, etc. Occasional Community in general, e.g. local, regional and national population, users tourists, educators

Adapted from Veldpaus (2015), Rosetti, I. and Pereira Roders, A. (2018)

2.4.3  The Stakeholders There are several stakeholders that can participate in the implementation of the HUL approach, depending on the cultural context. For the purpose of this research, stakeholders who can participate in urban heritage management have been classified in six categories: three as public, (1) politicians, (2) policy makers and (3) public officers and three as private, (4) professionals/experts, (5) daily users and (6) occasional users (Table 2.3). 2.4.3.1  Types of Stakeholders The sample cities confirmed the participation of all categories of stakeholders, where the extremes, involving all categories of stakeholders, e.g. Edinburgh, Scotland; Cuenca, Ecuador; and Luang Prabang, Laos, or only two, e.g. Amsterdam, the Netherlands; Aleppo, Syria; and Bukhara, Uzbekistan, are the least usual, when applying the HUL approach. Instead, most sample cities involved 3–5 types of stakeholders in their activities; where experts, public and private remain the most involved, followed by the policy makers and the daily users, being the politicians and the occasional users the least involved (Table 2.4).

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Table 2.4  List of sample cities, reported in the chapters and boxes ID

City

Country

Region

Innovation - Steps

103

Aleppo

Syria

Arab States

    

93

Amsterdam

The Netherlands

Europe and N. America

    

111

Asmara

Eritrea

Africa

    

30

Ballarat

Australia

Asia and the Pacific

    

115

Buenos Aires

Argentina

L.A. and the Caribbean

    

57

Bukhara

Uzbekistan

Asia and the Pacific

    

8

Cairo

Egypt

Arab States

    

1

2

3

4

5

23

Cuenca

Equator

L.A. and the Caribbean

    

118

Djenné

Mali

Africa

    

99

Edinburgh

United Kingdom

Europe and N. America

    

73

Galway

Ireland

Europe and N. America

    

22

Havana

Cuba

L.A. and the Caribbean

    

96

Istanbul

Turkey

Europe and N. America

    

47

Jaipur

India

Asia and the Pacific

    

127

Jeddah

Saudi Arabia

Arab States

    

10

Kuwait City

Kuwait

Arab States

    

2

Lamu

Kenya

Africa

    

105

Lijiang

China

Asia and the Pacific

    

132

Malaga

Spain

Europe and N. America

    

27

Mexico City

Mexico

L.A. and the Caribbean

    

135

Mudurnu

Turkey

Europe and N. America

    

7

Muharraq

Bahrain

Arab States

    

16

Olinda

Brazil

L.A. and the Caribbean

    

86

Porto

Portugal

Europe and N. America

    

140

Raleigh

United States

Europe and N. America

    

5

Saint Louis

Senegal

Africa

    

37

Shuang Wan

China

Asia and the Pacific

    

151

Timbuktu

Mali

Africa

    

154

T. Annunziata

Italy

Europe and N. America

    

51

Luang Prabang Lao People's D.R.

Asia and the Pacific

    

109

Tripoli

Arab States

    

Lebanon

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Box 2.12 The Revitalization of the Historic City of Jeddah Simone Ricca The Old City has been included in the metropolis strategic planning and given relevance in the new master plan being designed. Historic Jeddah has become, for the first time, part of the overall economic strategic thinking for the future of the city and of the Kingdom of Saudi Arabia. While the earlier conservation strategies aimed at “preserving” heritage as the memory of the past, setting it apart from urban development, the new plans aim at including heritage in the urban and economic dynamics. The new vision tackles the complex issue of the revitalization of historic Jeddah at different levels, involving a large number of stakeholders, among which are Jeddah Chamber of Commerce, Old City Owners Associations and local NGOs. For the first time, also the AWAQF, the administration of religious Islamic endowments, is actively participating in the revitalization process.

Box 2.13 Reconstruction of World Heritage Mausoleums of Timbuktu (UNESCO 2015b) Lazare Eloundou Assomo The reconstruction of the mausoleums of Timbuktu project follows the armed conflict that occurred in 2012 in Mali, during which 14 of the 16 mausoleums inscribed on the World Heritage List were destroyed. This devastation seriously affected the urban fabric of the Old City. Considered as the main cultural identity of Timbuktu, the mausoleums reflect both the city history and its development. Timbuktu’s cultural identity and local communities were vital factors for the mausoleum reconstruction: both of these factors contributed to the city’s development and cultural heritage preservation since the eleventh century. The reconstruction, undertaken between March 2014 and September 2015 involving local masons and artisans, not only allowed the safeguarding of Timbuktu World Heritage site but also demonstrated the role of culture as an important enabler of peace reconciliation and social cohesion. Activities that took place for this process followed the incentives of historic urban landscape approach concerning policies, tools, capacity building activities and international cooperation. Furthermore, it contributed to the revitalization of traditional conservation methods, to improve the living conditions of affected communities through job creation, thus restoring their cultural and socio-economic conditions while taking part in the recovery of Timbuktu.

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Box 2.14 Sense of Place: Towards Integrated Conservation and Sustainable Urban Development Practice in Edinburgh (Alkhalaf 2018) Hiba Alkhalaf This research initiates a critical dialogue to understand the possible roles of sense of place within heritage conservation and sustainable urban development. It proposes that sense of place-based approach can be used as a tool to analyse development projects within its wider cultural and natural landscape. This tool unpacks the complexity of local values and global narratives that contribute to the construction of sense of place. By effectively engaging various users and stakeholders, it redefines heritage management to achieve more efficient integration within the planning system. Through applying this approach to the case of Edinburgh, Scotland, it shows that the role of sense of place in the historic urban landscape can be channelled into three main dimensions: the place itself (value assessment and designations), the people (stakeholders and public participation) and the process (planning system and policies). It concludes that sustaining sense of place entails balancing three main goals: conserving the physical structure, the suitability of new use and community development.

2.5  From Theory to Reality The adoption of innovations such as those set forward by the HUL Recommendation and the related HUL approach is not easy to achieve every change is easier to be refused. For the more conservative-driven, it will feel like one is giving away all control earned by previous approaches and tools. For the more development-driven, it will feel like one is freezing the city beyond monuments and conservation areas. Though, in truth, it is merely creating bridges between them, allowing both to co-operate and decide together what sustainable urban development means in their context. Cooperation means different stakeholders working together, despite background or character, with the goal to exchange knowledge and reach consensus, which is challenging per se and even more challenging when the subject of study is heritage planning and urban conservation, where values affect what is perceived as valuable and not, to be conserved or not. Results revealed that even though there has been great progress in exploring the broadness in scope, which is still expected to escalate in the coming years, there is a strong difference between goals and actions when it comes to the implementation of the HUL approach. With the exception of a small group of cities, most of those exploring the HUL approach undertake 1–2 activities or at least are found referencing the HUL Recommendation. With this book, the editors hope to foster the role of case studies

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and comparative studies to distinguish practices on their effectiveness, which can range over time and place, as well as to deduce the theoretical framework and key trends. More cities should explore the HUL approach, but, above all, those that have already started should continue as what works today might not work in the future and vice versa. So, the dynamic process of adaptation, implementation, evaluation and review is key to ensure the methods and tools that best suit a certain city and its management model remain updated. The role of the government as facilitator remains vital, even in activities organized by other key stakeholders, as they are the ones to ensure the rule of law and the representativeness expected from the context in which the HUL Recommendation is applied. There is not one HUL approach but as many approaches as different contexts demand. The HUL Recommendation provides such flexibility, which some might see as positive, while others might see as negative. Regardless, what is most important is that cities can find the model that best suits their sustainable urban development and, consequently, the management of resources, where heritage planning and urban conservation are key indicators. After all, sustainable development is not possible without resource efficiency. And resource efficiency is not possible without heritage planning and urban conservation. However, practices need to keep being updated to better match the local context and challenges. Otherwise, it will fail, no matter how assumingly sustainable they are. Therefore, rather than asking what and why, science and society are to start asking how and when. This integration is not expected to come perfect right from the start, just like a baby is not expected to run a marathon when just started walking. Effectiveness and efficiency take time and dedication. But by daring to try and fail, by learning from each other, cities can evolve much further than alone. The HUL approach and the platforms created to identify, promote and disseminate its implementation, as GO-HUL, are just the beginning.

References Alkhalaf, H. (2018). Sense of place: Towards integrated conservation and sustainable urban development practice. Edinburgh: University of Edinburgh (unpublished doctoral thesis) Angrisano, M. (2015). Il paesaggio storico urbano delle città costiere: sfide e opportunità. Il caso Torre. Annunziata: University of Napoli Federico II. Angrisano, M., Biancamano, P. F., Bosone, M., Carone, P., Daldanise, G., De Rosa, F., &, Fusco Girard, L.  F. (2016). Aestimum. Towards operationalizing UNESCO recommendations on “Historic Urban Landscape”: A position paper 1, 69, 165–210. https://doi.org/10.13128/ Aestimum-20454 Bandarin, F., & Van Oers, R. (2012). The historic urban landscape: Managing heritage in an urban century. Oxford: John Wiley and Sons. Bandarin, F., & Van Oers, R. (Eds.). (2015). Reconnecting the City: The historic urban landscape approach and the future of urban heritage. Chichester: John Wiley & Sons. Bonadei, R., Cisani, M., & Viani, E. (2017). City walls as historic urban landscape: A case study on participatory education. Almatourism. Journal of Tourism, Culture and Territorial Development, 8(7), 75–88. https://doi.org/10.6092/issn.2036-5195/6756.

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Buckley, K., Cooke, S., & Fayad, S. (2016). Using the historic urban landscape to re-imagine Ballarat. The local context. In S.  Labadi & W.  Logan (Eds.), Urban heritage, development and sustainability. International frameworks, National and Local Governance (pp. 93–113). London and New York: Routledge, Taylor and Francis Group. Carone, P., De Toro, P., & Franciosa, A. (2017). Evaluation of urban processes on health in historic urban landscape approach: Experimentation in the metropolitan area of Naples (Italy). Quality Innovation Prosperity, 21(1), 202–222. https://doi.org/10.12776/QIP.V21I1.793. Caterina, G. (2016). Innovative strategies for the recovering of historical cities, TECHNE, No. 12, pp. 33–35, Available at: https://doi.org/10.13128/Techne-19330 Accessed 12 Jan 2018. Doganer, S. (2017). Architectural design studio on sustainable tourism alternatives in the San Antonio Missions Historic District. Tourism and Hospitality Research, 17(3), 298–313. https:// doi.org/10.1177/1467358415602955. Dormaels, M. (2016). Participatory management of an urban world heritage site: The Table de Concertation du Vieux-Québec. Journal of Cultural Heritage Management and Sustainable Development, 6(1), 14–33. https://doi.org/10.1108/JCHMSD-11-2014-0038. Einstein, A. (1954) Ideas and opinions. New York: Crown/Bonanza, p. 147 (emphasis in original); cf. pp. 118–161. See also Walter Isaacson, Einstein: His life and universe. New York: Simon and Schuster, 2007, ch. 22, pp. 487–500. Erkan, Y.  K., & Orlandi, A.  E. C. (2017). Gem and craft: In pursuit of the artisans of Grand Bazaar. Istanbul: Istanbul Books. Ferdous, F. (2016). The historic urban landscape of Old Dhaka, Bangladesh. In Cultural landscapes of South Asia: Studies in heritage conservation and management (pp. 76–91). https:// doi.org/10.4324/9781315670041. Fernández Adarve, G.  J. (2015). Historic ensemble and environment, instruments for the protection of urban and territorial dimension of historic cities. The case of Alhama de Granada. E-RPH-REVISTA ELECTRONICA DE PATRIMONIO HISTÓRICO, 17, 29–65. García-Hernández, M., de la Calle-Vaquero, M., & Yubero, C. (2017). Cultural heritage and urban tourism: Historic city centres under pressure. Sustainability (Switzerland), 9(8), art. no. 1346. https://doi.org/10.3390/su9081346 Giliberto, F. (2018). Comparing urban management strategies in World Heritage cities in Italy and in the UK. Turin/Kent: Polytechnic University of Turin/Kent University. (unpublished doctoral thesis). Henderson-Sellers, A., & McGuffie, H.-S. (2012). The future of the world’s climate. Amsterdam: Elsevier. Hosagrahar, J.  (2015). Knowledge and planning tools. In F.  Bandarín & R. van Oers (Eds.), Reconnecting the city. The historic urban landscape approach and the future of urban heritage (pp. 249–260). Chichester: John Wiley and Sons, Ltd. Ikiz, D. (2017). Global heritage cities: Managing complexity of World Heritage sites in global cities. Oxford: Oxford-Brookes University. (unpublished doctoral thesis). Jigyasu, R. (2015). The intangible dimension of urban heritage. In Reconnecting the city: The historic urban landscape approach and the future of urban heritage (pp. 129–159). https://doi. org/10.1002/9781118383940.ch5. Karim, F. (2016). The modernist historic urban landscape of Islamabad, Pakistan. In Cultural landscapes of South Asia: Studies in heritage conservation and management (pp. 111–126). https:// doi.org/10.4324/9781315670041. Labadi, S., & Logan, W. (2015). Urban heritage, development and sustainability. London: Routledge. Loren-Méndez, M., Mata-Olmo, R., Ruiz, R., & Pinzón-Ayala, D. (2016). An interdisciplinary methodology for the characterization and visualization of the heritage of roadway corridors. Geographical Review, 106(4), 489–515. O’Donnell, P.  M. (2015). The role of Regulatory Systems. In Reconnecting the city: The historic urban landscape approach and the future of urban heritage (pp. 269–281). https://doi. org/10.1002/9781118383940.ch11.

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Ost, C. (2009). A guide for heritage economics in historic cities: Values, indicators, maps and policies. Los Angeles: Getty Conservation Institute. Pereira Roders, A. (2007). RE-ARCHITECTURE: Lifespan rehabilitation of built heritage. Eindhoven: Eindhoven University of Technology. Pereira Roders. (2018). Urban heritage. In A. Orum (Ed.), The Wiley-Blackwell encyclopedia of urban and regional studies. New Jersey: Wiley-Blackwell (accepted/in press). Pereira Roders, A., & Van Oers, R. (2014). Wedding cultural heritage and sustainable development: three years after. Journal of Cultural Heritage Management and Sustainable Development, 4(1), 2–15. Porfyriou, H., & Sepe, M. (2017). Waterfront revisited: European ports in a historic and global perspective. London: Routledge. Rey-Pérez, J., & Pereira Roders, A. (2018). Historic Urban Landscape: A systematic review, six years after the adoption of the HUL approach. Journal of Cultural Heritage Management and Sustainable Development (submitted/under review). Rey-Pérez, J., & Siguencia Ávila, M.  E. (2017). Historic Urban Landscape, an approach for sustainable management in Cuenca (Ecuador). Journal of Cultural Heritage Management and Sustainable Development, 7(3), 308–327. https://doi.org/10.1108/ JCHMSD-12-2016-0064. Rey-Pérez, J., Astudillo, S., Siguencia Ávila, M. E., Forero, J., & Auquilla, S. (2017). La aplicación de la Recomendación sobre el Paisaje Urbano Histórico (PUH) en Cuenca – Ecuador. Una nueva aproximación al patrimonio cultural y natural/The application of the Recommendation on Historic Urban Landscape (HUL) in Cuenca – ecuador. A new app. In: J. Rey Pérez (Ed.), Cuenca: Universidad de Cuenca. Retrieved from http://historicurbanlandscape.com/index. php?classid=5356 Rodwell, D. (2004). Asmara: Conservation and development in a historic city. Journal of Architectural Conservation, 10(3), 41–58. https://doi.org/10.1080/13556207.2004.10784925. Rogers, E. M. (1962). Diffusions of innovations (6th ed.). New York: Free Press of Glencoe. Rogers, E. M. (2003). Diffusions of innovation (5th ed.). New York: Free Press. Rosetti, I. and Pereira Roders, A. (2018). Global Survey: Participatory practices in heritage management of world heritage cities: Unveiling the city representatives’ perceptions, eindhoven: Eindhoven University of Technology (working paper). Rypkema, D. (2015). Devising financial tools for urban conservation. In Reconnecting the city: The historic urban landscape approach and the future of urban heritage (pp. 283–300). https:// doi.org/10.1002/9781118383940.ch12. Shamsuddin, S., Sulaiman, A. B., & Amat, R. C. (2012). Urban landscape factors that influenced the character of George Town, Penang Unesco World Heritage Site. Procedia-Social and Behavioral Sciences, 50, 238–253. https://doi.org/10.1016/j.sbspro.2012.08.031. Siguencia Ávila, M. E. (2018). The Historic Urban Landscape (HUL) approach for the conservation of the Historic Centre of Cuenca – Ecuador. Leuven: KULeuven (unpublished doctoral thesis). Sil Shin, H., Chen, Y., Ho Lee, W., & Hyun Kim, D. (2015). Sustainability of historical landscape to Gwanghalluwon Garden in Namwon City, Korea. Sustainability, 7, 8565–8586. https://doi. org/10.3390/su7078565. Siravo, F. (2015). Planning and managing historic urban landscapes. In Reconnecting the city: The historic urban Landscape approach and the future of urban heritage (pp. 161–202). https://doi. org/10.1002/9781118383940.ch6. Skrede, J., & Holleland, H. (2018). Uses of heritage and beyond: heritage studies viewed through the lens of critical discourse analysis and critical realism. Journal of Social Archaeology, 18(1), 77–96. Smith, L. (2006). Uses of heritage. Oxford: Routledge. Smith, J.  (2015). Civic engagement tools for urban conservation. In Reconnecting the cty: The historic urban landscape approach and the future of urban heritage (pp. 221–248). https://doi. org/10.1002/9781118383940.ch9.

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Part II

Case Studies on the Historic Urban Landscape Approach

Chapter 3

Rebuilding and Reconciliation in Old Aleppo: The Historic Urban Landscape Perspectives Ataa Alsalloum

Abstract  In this chapter, the historical development of Old Aleppo is briefly presented, noting its designation values as a World Heritage Cultural Site in 1986. The significance of Old Aleppo goes beyond such values. Therefore, the sociocultural, historic, economic, identity and intangible values of Old Aleppo, along with its authenticity, integrity, and outstanding universal values, are questioned as the drivers for post-­conflict reconciliation. Accordingly, the Historic Urban Landscape approach, as a leading heritage policy document, is adopted and tested on a pilot area inside the intra-muros city of Aleppo. The aim is to propose an agenda for an inclusive reconciliation in Old Aleppo and maybe elsewhere in Syria. Keywords  Old Aleppo · Historic Urban Landscape · Reconstruction · Heritage values · Heritage policy documents · Post-conflict reconciliation

3.1  Introduction According to the last progress reports by the state party of the Syrian Arab Republic, presented to the World Heritage Committee in 2017 and 2018, the six Syrian World Heritage Cultural properties are damaged as a result of major escalations of armed conflict in the country, started in 2011; but the levels are varied. Old Damascus is fortunate to be the least harmed site, while the ancient city of Aleppo and Palmyra sites have experienced large-scale destruction. The ancient city of Bosra, Crac Des Chevaliers, and Qal’at Salah El-Din and the ancient villages in Northern Syria are moderately damaged (Abdulkarim and Kutiefan 2017).

A. Alsalloum (*) School of Architecture, University of Liverpool, Liverpool, UK e-mail: [email protected]; https://www.liverpool.ac.uk/architecture/staff/ ataa-alsalloum-2/ © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_3

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For centuries, Aleppo was one of the most important cultural and commercial centers of the Middle East (Antoun 1991). Today, Aleppo is considered as one of the most devastated World Heritage cities. However, could Aleppo rise from the ashes again and reclaim its cultural and economic importance? Indeed, the question confronting the optimum ideology for a holistic reconciliation in Old Aleppo is how could the tangible and intangible heritage (elements and values) drive post-conflict reconciliation? In order to propose answers for these questions and in view of the destruction of Old Aleppo and the displacement of most of its community, the Historic Urban Landscape (HUL) approach seems to be a perfect strategy. HUL embraces both tangible elements, including cityscape, natural features, urban morphology, functionality, authenticity, integrity, as well as intangible-associated values, counting social, cultural, and identity (Bandarin and van Oers 2012). Also, the implementation of the HUL was recommended by the recent Committee meeting in Krakow 2017 for the particular case of Old Aleppo. Therefore, the HUL is adopted as a key tool to suggest an inclusive reconstruction. Moreover, the term reconciliation is utilized here as it is widely agreed that “postwar reconciliation” might be physical, whether by reconstructing a structure to its previous form, preserving or commemorating its ruins, or introducing new structures; additionally, it may be intangible by restoring the shared “memories and identities” that have been displaced (Morel 2013; Kalman 2017). Reconciliation, as a term, is also accentuated by a few recent heritage policy documents, such as the UNESCO Hangzhou Declaration of 2013. Accordingly and in the light of the huge destruction of Old Aleppo, reconciliation, in all its shapes, is urgently needed.  This chapter, hence, begins with a historical development brief of Old Aleppo addressing its designation as a World Heritage Site (WHS) in 1986. The devastating destruction, started in 2011, is then concisely underlined. Understanding Old Aleppo as a Historic Urban Landscape site is presented through an interpretation of a number of the old city’s key values. The definitions of these values are based on extractions from leading heritage policy documents, presented in Table 3.3. A holistic reconciliation is then concluded after the examination of possible integration of the Historic Urban Landscape strategy in selected historical zones in Old Aleppo. Accordingly, the findings proposed possible answers to the questions raised in this chapter.

3.2  Aleppo World Heritage Site: A Brief History Aleppo is situated in Northern Syria, about 100 kilometers east of the Mediterranean Coast and around 50 kilometers from the Turkish border in the north. It was the largest city in Syria in terms of population (GTZ 2008). Some historians claim that

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Aleppo is one of the oldest continuously occupied cities in the world, with 7000 years of known settlement history (Khirfan 2014). Aleppo exhibits evidence of the civilizations that inhabited it through multilayers of architectural heritage and intangible traditions, knowledge, and skills. Many trade routes passed through Aleppo including the famous Silk Road (Burns 2016). The urban fabric of Old Aleppo is home to various sixteenth- and seventeenth-­ century buildings including, madrasas, khans, palaces, caravanserais, hammams, souks, diverse places of worship (synagogues, churches, and mosques), and residential buildings, which encircle the central Citadel and twelfth-century Great Mosque (Fischer and Gangler 2012). This outstanding context is merged in an authentic way with modernity. Before 2011, the old city was mostly safeguarded, but large demolitions of historical monuments have been undertaken in favor of traffic networks and/or new developments (GTZ 2001). In order to suggest reconciliation for Old Aleppo, it is essential to understand how the historic city has evolved. Table  3.1 provides a chronological summary of the key management plans and relative events, starting with the first urban plan of Old Aleppo drawn in 1766. From Table 3.1, it is clear that destruction is not a new issue in Aleppo, but previously it has not been so devastating. Thus, the surviving collection of major buildings, the coherence urban fabric, and the sociocultural solidity of communities have previously contributed to the continuity of the city. Moreover, as early as 1979, the voices of communities and interested architects were heard and resulted in safeguarding the city at the national level and eventually nominating the ancient city of Aleppo as a World Heritage Site (Soufan 2015). Thus, these could participate once again in post-conflict mitigation. Furthermore, in order to facilitate the management of the heritage site, the city was divided into districts according to historical criteria in 1974 and then in relation to the use and function indicators in 2005. Accordingly, and in light of this historical brief, tangible and intangible characteristics and values are collectively investigated in the following study according to the perspective of the HUL. The consideration of the districts’ division established in the management plan of 2005 is adopted in this chapter where a pilot case study was selected.

3.3  World Heritage Designation Values The current Statement of Outstanding Universal Value (OUV) of Old Aleppo, Criteria III and IV, was adopted by the UNESCO World Heritage Committee at their 10th session in November 1986. It was subsequently updated to add sections on authenticity and integrity. In order to understand the rich outstanding attributes of Old Aleppo, Table 3.2 was produced in line with the definition of OUV indicated in the Operation Guidelines of 2016 (UNESCO 2016a) and in compliance with the UNESCO World Heritage inscription criteria of the ancient city of Aleppo. The Statement of OUV and the attributes are key indicators for effective future site management of Old Aleppo. These, therefore, confirm what it is that makes the city special in World Heritage terms and where the focus of World Heritage

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Table 3.1  Historical development and management plans: Old Aleppoa Date 1766 1818 1925 1930 1934 1954 1974 1978 1979 1986 1992 1999 2005 2013 2016 Feb. 2017 July 2017

Event Explorer Carsten Niebuhr Ottoman-French mandate French forces reaction against the Syrian revolt Master plan of Aleppo by Rene Danger and Michel Écochard General survey plan for Aleppo Master plan of Aleppo by André Gutton Master plan by C. Benchoya and Aleppo municipality Demolition of Bab al-Faraj district at the northwestern corner National designation of the old city Inscription on the World Heritage List; Criteria (iii) (iv) Project for the rehabilitation of Old Aleppo The Directorate of the Old City was established Management plan of Aleppo; Sustainable Urban Development Inscription on the List of World Heritage in Danger Report by United Nations Institute for Training and Research A state of conservation report by the state party 41 session of the World Heritage Committee

Consequences The first known map was produced First topographical plan Destructions of several historical monuments valued by the communities Did not understand heritage as urban-social structure; destructions of historic zones Scales 1/5000–1/2000, still in use to date Destructions of 10% of historical monuments; creation of two ring roads Divided the city into districts; avoided streets cutting historical areas Tall new buildings and widened roads; objected by national and international communities Prevention of further destructions International protection Management plan for 25 years; suggested touristic areas; relocating traditional workshops Guidance for public participation and infrastructure management Management for each zone recognizing national and international policy Endangered World Heritage Site 35,722 sites in Aleppo were affected Detailed statements of the destructions and measures taken Recommended implementation of several actions including HUL approach

This table is based on many resources including Burns (2016), Khirfan (2014), and Soufan (2015)

a

­ anagement should be. Moreover, the key purpose for identifying attributes is to m protect, manage, and monitor these attributes which are needed when assessing future reconstructions, restorations, or interventions. For deeper understanding of the context of the old city, it is also important to highlight some challenges the city was facing before 2011, such as the lack of integrated conservation, restoration, repair, and/or maintenance of building fabric; absence of planning rules for heights and density of new developments in or adjacent the World Heritage Site; and deficiency of policies for the protection of uncovered archaeological remains (Abdulkarim and Kutiefan 2017). The current challenges facing post-conflict reconciliation in Old Aleppo are enormous, including the returning of inhabitants, destruction of around 80% of the city’s infrastructure, a shortage of skilled heritage experts, and various levels of damage to all districts (UNESCO 2017a).

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Table 3.2  World Heritage designation values of Old Aleppo (UNESCO designation criteria and values’ interpretation by authora) Criterion (iii) Aleppo reflects rich and diverse cultures of its successive occupants Many periods of history have left their influence in the architectural fabric of the city Remains of Hittite, Hellenistic, Roman, Byzantine, and Ayyubid structures and elements are incorporated in the Citadel Diverse mixture of buildings including the Umayyad Great Mosque; other mosques, madrasas, souks, and khans represent an exceptional reflection of social, cultural, and economic aspects Criterion (iv) Outstanding example of an Ayyubid twelfth-century city with its military fortifications Encircling ditch and defensive wall above a great glacis, and the gateway comprise an ensemble of military Arab architecture Works of the thirteenth–fourteenth centuries; the great towers and the stone entry bridge reinforce the architectural quality Numerous mosques surrounding the Citadel including the Madrasah al Firdows, constructed 1235 Authenticity and integrity The boundary follows the line of the walls of the old city and three extra-muros areas: north, northeast, and east suburbs Historic and traditional handicraft and commercial activities sustaining the city’s traditional urban life.

Associated values/aspects Intangible; cultural and social Form and design; materials and substance Form and design; settings; materials and substance Form and design; settings materials and substance and intangible values Form and design; settings and use and function Form and design and settings Form and design; settings and materials and substance Settings

Settings Traditions and techniques; skills and intangible values

The interpretation of values is based on definitions presented in heritage documents, as explained later and on several studies, for example, Mason (2002), Punekar (2006), Gibson and Pendlebury (2009), and Jokilehto (2010)

a

3.4  Destruction of Aleppo A full detailed report regarding the destruction of Old Aleppo was prepared in 2014 by UNITAR’s Operational Satellite Applications Programme (UNOSAT), and an updated declaration was followed up in 2016 stating that the damage in Aleppo was increased by 20%. The reports define four levels of destruction to the historic and heritage sites of Syria (UNITAR 2014; 2016). The recent report indicates that around 3,232 structures are damaged in the country; it claims that 16% of the properties in Old Aleppo are destroyed such as the old souks; 18% are severely damaged, the Umayyad Mosque is an example; 26% are moderately demolished, such as the Citadel; and possible damages have occurred to 40% of the properties. The local authorities in Syria reclaimed the old city of Aleppo and a large part of the city’s governance in 2016. Accordingly, a wide range of measures has been undertaken, since then, and the first steps of reconciliation have been established. The Directorate-General of Antiquities and Museums (DGAM) has launched an assessment of the damages through photographic documentation using advanced

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technology and 3D photogrammetry. The reconstruction works have been operated in the Umayyad Mosque as a sociocultural symbolic structure in Aleppo. This strategy of starting post-conflict recovery process by rebuilding iconic monuments, which have cultural, social, identity, and religious values to the Syrians, has been recently implemented in a number of Syrian cities by the local authorities. Another example can be found in Homs city, where two important religious buildings are reconstructed, St Mary’s Church of the Holy Belt and Khalid ibn al-Walid Mosque. This step encouraged a large part of the local communities in Homs to go back and rebuild their homes (Alsalloum and Jackson 2017). In Aleppo, additional steps have commenced, for example, official committees are nominated to supervise the rehabilitation process. Activities for raising awareness among local communities in relation to safeguarding their heritage in order to prevent harmful interventions have also been in process. Moreover, cleaning and clearing the ruins and recycling building materials have started in several safe areas (UNESCO 2017a). It is difficult to explain the details of the devastating damages that occurred in the old city in this chapter; however, an ample study of the central zone including the Citadel and the souks is presented later as a pilot case study. Before going into that, it is important to look at heritage policy documents at the national and international levels and understand Old Aleppo as a Historic Urban Landscape site.

3.5  Heritage Policy Documents The main governmental body responsible for heritage management and international relations in Syria is the Ministry of Culture. Among its several duties, it supervises the works of the DGAM. The key local regulations guiding the management of cultural heritage properties in Syria are based on two particular standards: the 1963 Antiquities Law No. 222, amended in 1999 and again in 2012, and the 2006 Law No. 38. Although the new document, issued in 2012, provides instructions and definitions of various heritage properties’ architectural details, it advises to restore the historic buildings to their former state and it overlooks other recovery options. It also fails to observe the heritage as an urban form (Brodie 2015; Lostal 2017). Syria, as a state party of UNESCO, approved the 1972 UNESCO Convention Concerning the Protection of the World Cultural and Natural Heritage and its relative Operational Guidelines (OGs), updated regularly. In addition to recognizing other key documents such as the Hague Convention with its two protocols 1954/1999, accordingly, a wide range of activities including awareness raising, workshops, training courses, exhibitions, and other attempts have been in progress for safeguarding the heritage of Syria by international and national bodies (Perini and Cunliffe 2015). Recently, among the main outcomes of the decisions adopted at the 41st session of the World Heritage Committee (WHC) in July 2017, held in Krakow, was the decision to urge the state party of Syria “to allow sufficient time for the development

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of integrated strategic plans for the rehabilitation and revitalization of the property in its broader urban context, in line with the Recommendation on the Historic Urban Landscape and in this regard, underlines the need for UNESCO to ensure its coordinating role” (UNESCO 2017a:60). Moreover, the committee underlined the importance of following the Table of Actions for the Recovery of the Ancient City of Aleppo (UNESCO and DGAM 2017) which was agreed upon in March 2017, in a meeting hosted by UNESCO, and was held in Beirut, Lebanon. Also, one of the key outcomes was the establishment of a specific UNESCO unit in Aleppo to assist and consult the ongoing safeguarding process. Since its promulgation by the UNESCO in 2011, HUL has been a key guide to the safeguarding process of World Heritage Sites. The HUL perceives the complexity of the urban environment as a dynamic system of cultural and natural values and aspects. It recognizes historic cities as multiple active layers “deposited over time” by their accommodated communities in various settings (Bandarin and van Oers 2012). The HUL, as a tool, values previous and contemporary communities’ engagement with the place. It is true that post-conflict situations need careful reconstruction and mitigation approaches, but the fact of changing values and communities, though slow, is an inevitable issue in the context of historic and heritage cities. A confirming statement by Taylor is that “in the urban landscape, it is critical that we are able to manage change so that historic cities, as they change in response to changing values, reflect their human history but do not become merely designated historic zones with a tight boundary around them devoid of a sense of lived-in places” (Taylor 2016:472). HUL does not stand alone, “it is an additional tool to integrate policies and practices of the conservation of the built environment into the wider goals of urban development in respect of the inherited values and traditions of different cultural contexts” (UNESCO 2017b). Indeed, HUL opens up a context for a much-needed dialogue for the management of cultural heritage properties in general and in the case of post-conflict reconciliation in particular. This perception was subsequently followed by later standard-setting documents. For example, the recently promulgated ICOMOS Guidance on Post-Trauma Recovery of 2017 aims “to help relevant stakeholders affected by traumatic heritage destruction to assess damage to the explicit or implicit attributes supporting Outstanding Universal Values (OUV)” (ICOMOS 2017, 6). It echoes the HUL by accentuating the importance of intangible heritage values in relation to safeguarding OUV. ICOMOS Guidance 2017, also, shifts the position of heritage documents from prohibiting the reconstruction in heritage zones to allowing it. However, the document focuses on regaining OUV even through identifying new attributes “documentation and recording of surviving and lost tangible and intangible attributes of OUV, establishing their post-trauma status and identifying potential new attributes that support OUV.” ICOMOS 2017 could be considered as an opportunity for the damaged properties to regain the WH status in Old Aleppo, for instance, “the interpretation or revision of OUV may be a key to generate a recovery or reconstruction vision for a property” (ICOMOS 2017:8). In the same vein, the UNESCO Document for the Integration of a Sustainable Development Perspective of 2015 encourages promoting intangible

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heritage traditions and practice in the post-conflict recovery process, and it calls for sociocultural equalities. It provides general guidance for the state parties to implement sustainable development criteria along with the UNESCO Convention of 1972 and other leading documents, in peace and conflict times. The list of heritage policy documents is long and extensive; the HUL is adopted in this chapter keeping in mind a number of other related heritage policy documents which were identified in the HUL’s text, in addition to the recent relevant standard-setting documents. These doctrines were the sources of collective definitions of values extracted from their texts. The definitions are presented in Table 3.3 and cited, respectively.

3.6  Old Aleppo as a Historic Urban Landscape Site The Historic Urban Landscape approach is “based on the recognition and identification of a layering and interconnection of natural and cultural, tangible and intangible, international and local values present in any city. According to the HUL approach, these values should be taken as a point of departure in the overall management and development of the city” (UNESCO 2016b). In line with this definition and with respect to the historical brief presented earlier, Old Aleppo is an exemplar Historic Urban Landscape Site with its rich and coherent sociocultural context. Its society has diverse backgrounds including Jewish, Christians, and Muslims. It exhibits evidence of structures built by the communities that inhabited it through various ancient and current layers of history. Therefore, the total tangible and intangible values of Aleppo should be clearly defined and integrated with any reconciliation process, including reconstruction, rehabilitation, and/or intervention. Involving as much as possible the stakeholders, particularly local communities and private actors, in the urban development process, is also vital. Additionally, building capacity on the ground at the local level is explicitly urged by the recommendation of Table of Actions 2017 (UNESCO and DGAM 2017). Therefore, understanding the heritage context of Old Aleppo before 2011 is vital in order to be able to suggest possible integration in line with the HUL approach, which is the best practical solution, hitherto, for an inclusive reconciliation in Old Aleppo.

3.6.1  Old Aleppo and the Values of Heritage The identification of the broad values of Old Aleppo is a complicated task; therefore, in order to develop legal and logistic understanding of the heritage combination of the old city, the definitions stated in the HUL document and other heritage policy guidance are considered; see Table 3.3. Accordingly, the following sections address the reflections of heritage values within the heritage context of Old Aleppo as a Historic Urban Landscape site.

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Table 3.3  Definitions of heritage values according to heritage policy documents Values Outstanding Universal Value (OUV)

Authenticity

Integrity

Cultural

Social

Historic

Identity

Definitions Means cultural and/or natural significance, which is as exceptional as to transcend national boundaries and to be of common importance for present and future generations of all humanity Threats that have the potential to impact adversely on the appearance, skyline, key views, and other different attributes that contribute to OUV. It includes all aspects of authenticity as well as beliefs, stories, festivals, and rituals Authenticity judgments may be linked to form and design, materials and substance, use and function, traditions and techniques, location and setting, spirit and feeling, and other internal and external factors. Proofs of authenticity could be indicated in reflection of the true value, integrity, context, identity, use and function, physical fabric, sense of place and understanding of the history and significance of a heritage setting over time Integrity is evidenced by the survival of physical characteristics that existed over time. It is relevant to the definition of archaeological sites, materials, workmanship, setting, and relationship to the setting Cultural value can be understood through both tangible and intangible heritage features including historical, archaeological, architectural, fabric and material, technological, aesthetic, scientific, spiritual, religious, social, traditional, political, identity, relative artistic or technical, rarity values, and aspects associated with human activities Social value generates a concern for safeguarding heritage properties; it is related to traditional social activities, compatible present-day use, contemporary social interaction, and social and cultural identity Historic value includes the knowledge of what has occurred in the past. It also encompasses the history of aesthetics, science, and society. A place may have historic value because it has influenced, or has been influenced by, a historic figure, event, phase, or activity Identity is reflected in the continuous evolution of cultural heritage properties, in their historical character, in both present and past values, and in their material fabric. It can also include age, tradition, continuity, memorial, legendary, wonder, sentiment, spiritual, religious, symbolic, political, patriotic, and nationalistic. In terms of architectural features, townscapes, roofscapes, main visual axes, and building plots. Cultural identity might include languages, societal structures, economic means, and spiritual beliefs

Documents’ references ICOMOS (2011, 2017) and UNESCO (2016a)

ICOMOS (1994, 1996), ICCROM and UNESCO (2000), and UNESCO (2016a)

ICOMOS (2003) and UNESCO (2016a) UNESCO (1992, 2005), and ICOMOS (2013)

UNESCO (2005) and ICOMOS (2013) ICOMOS (2003, 2013)

ICOMOS (1996), Krakow (2000), and UNESCO (2005)

(continued)

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Table 3.3 (continued) Values Aesthetic

Intangible Spiritual

Economic

Definitions Aesthetic includes aspects of sensory perception of the form, scale, color, texture and material of the fabric, the smells and sounds associated with the place, and its use The beauty of an urban site includes the sights of the town itself, as well as of its squares, streets, and districts Intangible values are memory, beliefs, traditional knowledge, and attachment to a place The spirit of a place is defined as the tangible (buildings, sites, landscapes, routes, objects, settlement patterns, land use practices) and the intangible elements (memories, narratives, religious beliefs, written documents, rituals, festivals, traditional knowledge, values, textures, colors) Economic value may be understood as a value generated by the heritage resource or by a conservation action Economic values are use (market) values and nonuse values

Documents’ references ICOMOS (1966, 2013)

ICOMOS (2008) ICOMOS (1996, 2008)

UNESCO (2005, 2015)

3.6.1.1  Outstanding Universal Value According to the designation indicators stated in Table  3.2 and in view of the destruction, Old Aleppo prevails as a home to the remaining monuments, such as the Citadel and Great Mosque. The historical layers are also still recognizable, though the armed conflict has left its mark as well. Interestingly, recent documents, namely, the ICOMOS Guidance of 2017, combined exceptional intangible heritage traditions and skills, comprising “beliefs, stories, festivals, and rituals,” with tangible predefined ones (Table 3.3). This would be an opportunity for Old Aleppo to redefine its OUV. Therefore, the OUV of Old Aleppo has partially survived in its tangible forms, and its intangible dimensions would reform the old city reconciliation. Key intangible heritage elements of Old Aleppo are presented in the following sections. Furthermore, moveable heritage is not included under the World Heritage inscription at the moment; nevertheless, the saved museums and archive collections are essential in providing an interpretation as to how previous civilizations lived in Aleppo; these would also subsidize its rich OUV. 3.6.1.2  Authenticity and Integrity Values Old Aleppo is characterized by a distinct urban character that is clearly manifested through the use of stones which are brought from different quarries around the city. These stones would be the basic materials for rebuilding the city and partially regaining its tangible authenticity and integrity. Despite the scale of the destructions, there are several surviving structures and a large body of information about the origins and previous alterations, townscape and landscape, that would support

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the authenticity of Old Aleppo. These might be based on previous studies; see (GTZ 2001, 2008; Gonnella 2008), for example. Moreover, what has survived from the key monuments, such as the Citadel and the Great Mosque, would recontribute to the authenticity and integrity significance. Furthermore, in line with the definitions in Table 3.3, the authenticity value is linked to “spiritual believes and sense of place.” Old Aleppo was an exemplar icon of Arabic city as “a living and inhabited organism” (GTZ 2001). Traditional habits, techniques, and ways of life were still being applied through thousands of years. One of these might be the coexistence of religious places and practices in the old city, which were well respected and shared in a unique way. Thus, the implication of authenticity as a collective attribute including other values, which are certainly still accommodated in Old Aleppo and valued by its communities, would enhance the reconciliation practice if Aleppo is understood as a HUL site. 3.6.1.3  Cultural and Social Values The cultural values of heritage are defined by heritage policy documents as collective attributes including all aspects of outstanding aspects of tangible and intangible elements (Table  3.3). Thus, these along with authenticity would be considered together with the total values when visualizing Old Aleppo as a HUL site. Aleppo has a unique social history and significant social traditions and knowledge, which led to building independent “cell-like quarters and districts” (GTZ 2010). Each “city quarter” has a distinct role and value that contributed to building the sociocultural identity of Old Aleppo as a diverse city with unique homogeneous topology. For example, Al Khalidiya district was known as the most-visited “food center” of the city, and the Christian quarter of Al Azizieh was popular for its cafeterias (GTZ 2010). Therefore, from a HUL perspective, if these “city quarters” would be recalled in the postwar reconciliation process in a way that satisfies the unique ethnic, social character of each neighborhood and at the same time remains as a part of the collective consistent sociocultural identity, the communities would be encouraged to return, and the sociocultural identity of Old Aleppo would be moderately reconciliated. Moreover, Aleppo used to have the largest population in the country with rich associations with prominent people from all periods. Famous traders, politicians, aristocrats, artists, writers, and musicians were among the many prestigious visitors and residents (Wikipedia 2018). The city played a long-term role as a national and international place for large-scale social interaction and the shaping of social values (Antoun 1991). This was reinforced by its exclusive collection of buildings, madrasas, hammams, khans and old bazaars, and traditional hotels and restaurants, which were merged with public spaces for gathering and socializing. Therefore, if the functions of these buildings would be retained in postwar reconciliation, Old Aleppo would rise from the ashes through, inter alia, its intrinsic sociocultural values and relative structures.

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3.6.1.4  Intangible Heritage and Values What makes Aleppo so special is its remarkable intangible collection of particular type of traditional music, songs, and dances. The intangible traditions and knowledge contributed to Aleppo’s significance since its creation, in addition to being a city with high religious values (GTZ 2010). For example, Al-Samah dance, a Sufi ecstatic dance specially performed in Aleppo, used to be performed at religious-­ related buildings accompanied by a few traditional instruments such as Oud and Tablah (Ibn-Dhurayl 1996). This dance is associated with special songs that might be performed at secular, public, or religious events at particular places such as madrasas and mosques (MEDLIHER 2010). These, along with many other practices, are identified as intangible heritage traditions by the state party of Syria (DGAM 2014). Aleppo is also famous for its particular types of crafts, in terms of design and material. Textile products including rugs, silk fabrics, dyed and printed fabrics, and embroidered textiles used to be traditionally manufactured in Aleppo and were very popular at national and international levels (Khirfan 2014). Additionally, two important national annual festivals used to be performed in the old city, Syrian Song Festival and Cotton Festival. These could be encouraged to be held again as a symbolic act of recovery. Accordingly, planning for the recovery of Old Aleppo through building on its previous/continuous intangible values, traditions, and knowledge integrated with the city as an inclusive HUL site would be one of the leading ways for reconciliation. 3.6.1.5  Historic and Identity Values The archaeological excavation provides evidence that Aleppo has been an inhabited city since at least the Bronze Age (Burns 2016). The conflict in Syria is an inevitable part of the “recent” history, including positive and negative memories and feelings. The key historical events occurred in Aleppo are important as symbols and lessons to come for future generation. Thus, from this study’s point of view, it would be wise to consider that a new, though devastating, historical layer has been added to Aleppo. Corresponding to the long-standing age of Old Aleppo and bearing in mind the definitions extracted and presented in Table  3.3, Old Aleppo generates collective identities, including personal and common identities through tangible and intangible elements. Several cultural activities and practices are identified, nationally and internationally, as being generated from Aleppo, such as the dances, music (examples are disclosed above), and particular types of cuisines (DGAM 2014). Hence, maintaining tangible, intangible, and collective identities of Aleppo in order to achieve an inclusive “urban identity’ is possible.

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3.6.1.6  Economic Values Located on the famous trade Silk Road, as well as being home to various essential materials for food industry and other traditional objects, Aleppo used to be the driver of trading and economic growth in Syria. A report in 2008 stated that “estimates indicate that the City of Aleppo contains 40% of Syrian industry and textile industry in particular, which constitutes 2/3 of textile industry in Syria. Other industries in the City of Aleppo include gold, silver, soap, leatherwork, and food processing (dried fruits and nuts)” (GTZ 2008). Most of these were related to trading businesses inherited through generations among several families in Aleppo and were operated in the unique traditional bazaars and caravansaries (khans). These used to mark the commercial and economic roles of the city throughout its history. Also, cultural tourism used to be one of the major economic sources in the city since 1986 when the ancient city of Aleppo was designated as a WHS. These along with several world-class tourist attractions around the city, such as the Dead Cities and St. Simon Citadel, manifested an established tourism infrastructure (GTZ 2008). As a result, regenerating the economic values of the heritage of the Old City through the reconstruction of old souks, besides revitalizing traditional small workshops, would be a key economic rebirth of the city and its local handicrafts. This would contribute to both individual and collective economic reform of the communities, in addition to regaining civic pride, if integrated properly with the HUL strategies.

3.7  A  pplying the Recommendation on Historic Urban Landscape: Post-conflict Reconciliation In order to test the conceptual investigation presented in previous sections of this chapter, a pilot case study is selected. As concluded by the brief history explored at the beginning of this chapter, the Ancient City of Aleppo grew in circles with the Citadel at its center, and the districts were basically defined by their historic importance, use, and functions. According to the management plan for Aleppo developed in 2005, seven strategic areas were identified (Fig. 3.1). The reconstruction works have already started in the Citadel and Great Mosque. Therefore, zone X, including the Citadel, souks, and other monuments, is selected. The three sections of zone X are investigated as part of the old city’s Historic Urban Landscape site before 2011. The methodology is based on understanding the strength, weaknesses, opportunities, and threats (SWOT) of these areas in light of previous values of the Old City (as discussed above) and current destructions, reported by (UNITAR 2014; 2016). Consequently, a possible strategy for reconciliation is suggested.

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Fig. 3.1  The World Heritage Site of Aleppo as divided into zones by the 2005 development plan (GTZ 2008)

3.7.1  Zone X1 This area forms the direct enclosure of the Citadel; it used to be devoted to tourism activities with various traditional cafes and restaurants facing the main entrance of the Citadel. These are neighbored by the traditional handicrafts bazaar as part of Khan Al-shuna and by a small residential area to the northeast of the Citadel. This zone embraces cultural, social, and historical values in respect to its use and function activities and the historical layers embodied in it. It is also home to significant monuments including mosques, madrasas, khans, and hammams. The economic value of this zone comes from its touristic attractions and activities. According to the recent report by the DGAM 2017, moderate- to huge-scale destructions are identified. For example, al-Sultaniyeh Mosque was built around 800 years ago during the Ayyubid era. It is a distinctive mosque and modest in scale. Besides its historical, cultural, and religious values, this mosque is an example of

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Fig. 3.2  al-Sultaniyeh Mosque Before (right). (Source: Daniel Demeter). After (left). (Source: DGAM)

Arabic Islamic architectural structures with its open courtyard, prayer hall, a single dome, and an impressive stonework, particularly the design of its Mehrab. The mosque was also part of a religious school known as al-Madrasa al-Zahariyeh. Unfortunately, the prayer hall and tomb were destroyed in 2014 (Fig. 3.2). The question of architectural intervention in a single structure is a debated issue. But, partial reconstruction might be a solution, as advocated in Guidance on Post Trauma Recovery (ICOMOS 2017). Contemporary architecture intervention, however, could be a solution for rebuilding al-Madrasa al-Zahariyeh, which would be employed as a handicraft workshop for small traditional objects, laurel soap, and copper crafts in order to open work opportunities for local skilled workers and to reinforce the economic value.

3.7.2  Zone X2 This area is home to the Great Umayyad Mosque and other mosques, Shebani Church, main bazaars, khans, hammams, madrasas, and the historic library. Thus, besides its outstanding mixed urban fabric, this area includes a substantial combination of functions. The main souks were considered exceptional structures in terms of their traditional goods and architectural style (Soufan 2015). Unfortunately, these have been largely damaged. The level of destructions in the Great Mosque is mainly in the minaret and general structure, wooden pulpit, and partial collapse of the eastern wall (Fig. 3.3). The reconciliation of this area has already been initiated by local authorities. The reconstruction process was started by rebuilding the damaged parts of the Great Umayyad Mosque in view that it is a religious symbolic structure that would reinforce civic pride, as well as generating a sign of the end of the conflict. The values of this zone are derived from the outstanding significant of the Great Mosque and

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Fig. 3.3  Great Mosque Before (right). (Source: Daniel Demeter). After (left). (Source: DGAM)

the bazaars, in addition to the sociocultural and economical values generated from the souks, khans, and other traditional commercial structures. Therefore, despite the huge destruction in the bazaars, these should be rebuilt by introducing contemporary structures that respect the previous cohesion of the urban fabric, as well as by utilizing local building materials in the reconstruction process. This area is full of memories and recollections thought thousands of years; rebuilding the souks and safeguarding their continuity of functions would encourage the people to come back to the city and would also create work opportunities. Additionally, small traditional workshops would be encouraged to re-operate again by local skilled workers. In line with this analysis of zone X (1 and 2), Table 3.4 summarizes the current situation and possible opportunities for recovery in both zones through the identification of the strengths of the site, its previous and current weaknesses, possible opportunities, and current threats. These are based on the arguments demonstrated earlier in this chapter.

3.7.3  Zone X3 The Citadel occupies the central of this zone, in addition to other governmental and administrative buildings. The Citadel is an exceptional example of the twelfth-­ century military Arab architecture, as well as it is an outstanding landmark of Aleppo and a crucial symbol of civic pride and identity. The destructions in the Citadel are at a moderate scale (Fig. 3.4). In 2003, the Aga Khan Trust for Culture

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Table 3.4  SWOT analysis for zones X1 and X2 in Old Aleppo Zone X1 SWOT analysis Strengths (S) Weaknesses (S) Previous Location at the inadequate center of the city infrastructure and adjacent the Citadel Multi-use functions identified by the variety of monuments Previous Cultural, social, unorganized historical, touristic activities economic, and tourism values Current Authenticity, integrity, and OUV moderate- to huge-scale (designation destructions criteria)

Opportunities (O) Reconstruction by recycling old building materials in the site

Threats (T) Lack of funding

Total values to lead the reconstruction of buildings

Political conflict that may affect sociocultural mitigation

Architectural interventions in a positive memorable way as a new layer of history Reconstructions based on heritage policy guidance and the HUL

Development plans that don’t understand the intangible and tangible, diversity, and values Misunderstanding of the collective values of the city and each zone

Encourage the local skilled workers to return to the city by job opportunities

Fig. 3.4  The Citadel Before (right). (Source: Daniel Demeter). After (left). (Source: DGAM)

(AKTC) proposed a regeneration project for zone X3 in collaboration with DGAM and GTZ, titled “Citadel Perimeter” (Jodidio 2011). One of the main objectives of this project was “to open new cultural development opportunities through the reuse of existing historic buildings and to steer tourist and commercial functions into a direction that is beneficial to the particular areas involved and the old city in general.” The archival study and the documentations by this project could be used as a basis for a rehabilitation proposal.

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Accordingly, the reconciliation process would be based on the total tangible and intangible values of Aleppo, and the works might be implemented through several phases starting with the reconstruction of the Citadel and the Great Mosque, intervention and partial reconstruction in the main historical monuments, and ending up by the rehabilitation of the residential areas. All these should be integrated with a full participation of stakeholders including local communities.

3.8  Conclusions In 2011, the Recommendation on the Historic Urban Landscape (HUL) was officially adopted by UNESCO.  It has been widely cited as the main guidance for managing urban heritage areas since then. Interestingly, the armed conflict in Syria began the same year, which has resulted in huge destruction, among other devastating humanitarian losses. Identifying potential, and officially accepted, solutions for a reconciliation process in Old Aleppo has been the intent of this present chapter. Considering the HUL as a key strategy for reconciliation, the values/aspects of Old Aleppo were investigated through international heritage policy documents and consequently provided an answer to the questions raised earlier. Indeed, Old Aleppo is able to rise from the ashes again and regain its sociocultural and economic importance through its deep-rooted collective heritage and associated values. However, a practical governance reform in heritage policies is needed, which should be based on a number of international standard-setting documents, such as the Recommendation on the Historic Urban Landscape of 2011 (UNESCO 2011), the UNESCO Operational Guidelines of 2016 (UNESCO 2016a), the ICOMOS Guidance on Post Trauma Recovery of 2017 (ICOMOS 2017), and the Actions for the Recovery of 2017 (UNESCO and DGAM 2017). Additionally, understanding the total heritage values of Old Aleppo, as well as addressing the particular significance of each zone and consequence destructions, is vital in order to advance a practical decision for sustainable peace. The investigation of Old Aleppo values demonstrates that despite the huge damage to the physical structures, there is an ample chance to redefine the authenticity, integrity, and OUV based on the remaining structures, past and current historical layers; consequently, appropriate reconstruction and/or intervention actions would be achieved. These are reinforced with its sociocultural and economic diversity, collective identity, and knowledge and traditions. Therefore, Old Aleppo could regain its World Heritage status. Moreover, Old Aleppo as a Historic Urban Landscape has strong opportunities for recovery and mitigation. This was proved when implementing the conceptual understanding of the city on the central zone, including a rich mix of monuments such as the Citadel, Great Mosque, khans, souks, churches, and hammams. The strengths of this area are based on its location, diversity in structures and functions, as well as on its long-standing values. The weaknesses and threats would be overcome through careful implementation of reformed local heritage guidance.

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Additionally, previous studies conducted by GTZ, AKTC, and Aleppo municipality would be useful assets for understanding the old city as previously documented. Finally, the investigations implied above would help to establish a reconciliation framework on the ground based on understanding Old Aleppo as an inclusive Historic Urban Landscape. Also, a renomination dossier could evolve from the studies conducted in this chapter.

References Abdulkarim, M., & Kutiefan, L. (2017). State Party report on the state of conservation of the Syrian Cultural Heritage Sites. Syrian Arab Republic: Ministry of Culture, Directorate General of Antiquities & Museums (DGAM). Antoun, R. (1991). Syria: Society, culture, and polity. New York: SUNY Press. Alsalloum, A., & Jackson, I. (2017). Rebuilding and reconciliation in Homs. Context 150 (pp. 27–30). Institute of Historic Building Conservation (IHBC): UK. http://ihbconline.co.uk/ context/150/index.html#28.  Bandarin, F., & van Oers, R. (2012). The Historic Urban Landscape. Managing heritage in an urban century. Chichester: Wiley Blackwell. Brodie, N. (2015). Syria and its regional neighbours: A case of cultural property protection policy failure? International Journal of Cultural Property, 22, 317–335. USA. Burns, R. (2016). Aleppo: A history (cities of the Ancient World). London: Routledge. DGAM. (2014). Directorate-General of Antiquities and Museums. Intangible Cultural Heritage of Syria. V1. The Syrian Trust for Development- Ministry of Culture. (Arabic). Fischer, M., & Gangler, A. (2012). The Aleppo archive: A place for the memory of urban history. Eschborn: Deutsche Gesellschaft fur Internationale Zusammenarbeit (GIZ) GmbH. Gibson, L., & Pendlebury, J. (2009). Valuing historic environments. Surrey: Burlington Ashgate. Gonnella, J. (2008). The Citadel of Aleppo: Description, history, site plan and visitor tour. Geneva: The Aga Khan Trust for Culture. GTZ [Deutsche Gesellschaft für Technische Zusammenarbeit]. (2001). The rehabilitation of the Old City of Aleppo: Development plan. The City of Aleppo, Syria. GTZ. (2008). Program for sustainable urban development in Syria. State of Cities Report. Report on the City of Aleppo Syria-Germany Technical Cooperation. GTZ. (2010). Program for sustainable urban development in Syria. Report on Local Economic Development in Aleppo. In B. von Rabenau (Ed.). Ibn-Dhurayl, A. (1996). Raqs al-Sham and dabke. National government publication, Ministry of Culture, Damascus. (Arabic). ICCROM, & UNESCO. (2000). Riga Charter on authenticity & historical reconstruction in relationship to cultural heritage. Available at: http://www.vilagorokseg.hu/_upload/editor/ UNESCO_hatteranyagok/Riga_Charter_2000.pdf. Cited 15 Aug 2017. ICOMOS. (1966). Resolutions on the regeneration of historic urban sites. Available at: https:// www.icomos.org/publications/93towns7b.pdf. Cited 15 Aug 2017. ICOMOS. (1994). Nara document on authenticity. Available at: whc.unesco.org/document/116018. Cited 15 Aug 2017. ICOMOS. (1996). Declaration of San Antonio: Authenticity in the conservation and management of the cultural heritage. Available at: https://www.icomos.org/en/charters-and-texts/179-articles-en-francais/ressources/charters-and-standards/188-the-declaration-of-san-antonio. Cited 15 Aug 2017. ICOMOS. (2003). Charter-Principles; analysis, conservation & restoration of architectural heritage. Available at: https://www.icomos.org/charters/structures_e.pdf. Cited 15 Aug 2017.

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ICOMOS. (2008). Québec declaration on the preservation of the spirit of place. Available at: http://whc.unesco.org/uploads/activities/documents/activity-646-2.pdf. Cited 15 Aug 2017. ICOMOS. (2011). Guidance on heritage impact assessments for cultural World Heritage properties. Available at: https://www.icomos.org/world_heritage/HIA_20110201.pdf. Cited 15 Aug 2017. ICOMOS. (2013). Burra Charter for the conservation of places of cultural significance. Burwood: ICOMOS. ICOMOS. (2017). Guidance on post trauma recovery and reconstruction for World Heritage Cultural Properties. Paris: ICOMOS.  Available at: http://openarchive.icomos.org/1763/19/ ICOMOS%20Guidance%20on%20Post%20Trauma%20Recovery%20.pdf. Cited 15 Aug 2017. Jodidio, P. (2011). The Aga Khan historic cities programme: Strategies for urban regeneration. Munich: Prestel. Jokilehto, J.  (2010). Reflection on Historic Urban Landscapes as a tool for conservation. In R. van Oers & S. Haraguchi (Eds.), UNESCO World Heritage papers 27 managing historic cities (pp. 7–17). Paris: UNESCO World Heritage Centre. Kalman, H. (2017). Destruction, mitigation, and reconciliation of cultural heritage. International Journal of Heritage Studies, 23(6), 538–555. https://doi.org/10.1080/13527258.2017.1289475. Khirfan, L. (2014). World heritage, urban design and tourism: three cities in the Middle East. Surrey: Ashgate. Krakow. (2000). Charter of Krakow: Principles for conservation and restoration of built heritage. Available at: http://smartheritage.com/wp-content/uploads/2015/03/KRAKOVCHARTER-2000.pdf. Cited 15 Aug 2017. Lostal, M. (2017). International Cultural Heritage Law in Armed Conflict: Case-Studies of Syria, Libya, Mali, the Invasion of Iraq, and the Buddhas of Bamiyan. Cambridge: Cambridge University Press. Mason, R. (2002). Assessing values in conservation planning: Methodological issues and choices. In M. Torre (Ed.), Assessing the Values of Cultural Heritage. Los Angeles: Getty Conservation Institute. MEDLIHER. (2010). Mediterranean Living Heritage. Phase I. Assessment of the state of safeguarding intangible cultural heritage in the Syrian Arab Republic. Contribution to implementing the convention for the safeguarding of the intangible cultural heritage in Mediterranean partner States. Morel, A.-F. (2013). Identity and conflict: Cultural heritage, reconstruction and national identity in Kosovo. Architecture  – media  – politics  – society (Amps), 3(1), 1–20. https://doi. org/10.14324/111.444.amps.2013v3i1.001. Perini, S., & Cunliffe, E. (2015). Towards a protection of the Syrian cultural heritage: A summary of the national and international responses VIII. Girona: Heritage for Peace. Punekar, A. (2006). Value-led heritage and sustainable development: The case of Bijapur, India. In R. Zetter & G. Watson (Eds.), Designing sustainable cities in the developing world (pp. 103– 120). Aldershot: Ashgate. Soufan, A. (2015). Historiographical overview on the post conflict reconstruction in Syria: From the mid-19th century to the 2011 crisis. Paris: UNESCO.  https://whc.unesco.org/en/ events/1286/. Taylor, K. (2016). The Historic Urban Landscape paradigm and cities as cultural landscapes. Challenging orthodoxy in urban conservation. Landscape Research, 41(4), 471–480. https:// doi.org/10.1080/01426397.2016.1156066. UNESCO. (1992). Charter of Courmayeur: Protection of artistic and cultural patrimony. Available at: http://www.unesco.org/fileadmin/MULTIMEDIA/HQ/CLT/pdf/Charter_Courmayeur_ en.pdf. Cited 17 Aug 2017. UNESCO. (2005). Vienna Memorandum on world heritage and contemporary architecture. Available at: http://whc.unesco.org/archive/2005/whc05-15ga-inf7e.pdf. Cited 15 Aug 2017.

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Chapter 4

Amaravathi Heritage Town – Reflections on the Historic Cultural Landscape Approach Amareswar Galla

Abstract  Amaravathi Heritage Town in Andhra Pradesh, birthplace of Mahayana Buddhism, has 2900 years of tangible heritage with distinct layers of significance. It is one of the longest continuously inhabited landscapes in South India. After nearly 1500 years of neglect and degradation, some of the sites are being rehabilitated for tourism. It is part of the Buddhist tourist circuit promoted by the Government of India. Understanding the complex layering of historical landscapes and waterscapes, and their conservation and interpretation has just begun. How well the historical cultural landscapes could be safeguarded will depend on the extent to which negative impacts of rabid tourism are minimised. The Historic Urban Landscape (HUL) Recommendation provides an aspirational standard. Lessons learnt from Ha Long Bay and Hoi An World Heritage sites in Vietnam are useful. Keywords  Ecomuseum · Integrated local area planning · Sustainable heritage development · Buddhism · Village goddesses · Cultural landscapes

4.1  Introduction Cultural landscapes could be ethnocentric constructs. If interrogated appropriately, they would enable multiple understandings and interpretations, the emic and etic. The diachronic iterations are informed by layers of significant research and presentations, often deduced from tangible resources. The synchronic portrayals are informed by contemporary ideologies, politics and conceptual frameworks and importantly the intangible heritage. While the first voice(s) of local primary stakeholders are often documented through the emic-collective memories, it is the A. Galla (*) Amaravathi Heritage Town, Amaravathi, Andhra Pradesh, India International Institute for the Inclusive Museum, Champaign, Urbana, IL, USA Global Change Institute, University of Queensland, Brisbane, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_4

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etic-selective memories by facilitators that often gain circulation (Galla 2008). Integrated local area planning as envisaged in the HUL recommendation is a critical tool to redress this imbalance. World Heritage inscriptions have resulted in the production of localities in diverse contexts based on the shared discourse of outstanding universal value. The local neighbourhoods have been transformed into ‘ethnoscapes’. The relationship of localities to their contexts or ‘environmentality’ is historical and dialectical (Appadurai 1996). The production of localities through the inscription process in the contemporary globalising world and the disjuncture with the traditional neighbourhoods needs to be researched and understood as an integral part of both impacts and benefits from inscription. In this context of cultural reproduction with the new parameters of conservation measures, the agency of various stakeholders needs to be embedded in all forms of research and understanding (Agrawal and Gibson 2001). Reading the past is a critical journey and framed from the contemporary and needs to be constantly interrogated (Thapar 2017). A new way of achieving culturally sustainable development involves preserving not just tangibles but also intangibles – traditions, communities and ways of life. What is sustainable development needs to be chalked out in each context. Appropriate governance modalities need to be established through local communities.1 An entire community can be a dynamic living museum. This model of heritage conservation and responsible tourism can generate the momentum to address the UN Sustainable Development Goals. Initiatives in Asia have demonstrated the potential benefits of this approach, for example, in the World Heritage sites of Ha Long Bay and Hoi An in Vietnam and Hahoe Village in Korea. In India, protection of the cultural resource base is significantly undermined by unplanned rural-urban migration and poor town planning. Physical heritage resources are threatened by encroachments and demands for redevelopment, including land speculation. Social structures are disrupted. Gentrification and tourism development are displacing historical communities. Cultural differences caused by the juxtaposition of immigrant groups with different lifestyles and values, as well as different levels of access to resources, are inflaming tensions resulting in social dysfunction. In the face of such challenges, the Government of India has started resourcing demonstration projects under the HRIDAY and PRASAD schemes. The HUL Recommendation provides a framework that could provide for assessing current work or developing methods for new work. It needs to be grounded in practical experience and bottom-up praxis driving the momentum complementing the standardisation process of the instruments, which can also become another form of globalisation with unwanted impacts. There are lessons to be learnt from Asian countries that have provided demonstrated models for safeguarding their diverse heritage against the backdrop of rapid economic growth. The historical cultural landscapes of Amaravathi Heritage Town are being safeguarded through the application of two concepts: ecomuseology and integrated local area planning. Lessons learnt from their application in Vietnam are proving useful.  Twenty-six case studies are presented (Galla 2012).

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4.2  Conceptual Framework (i) Ecomuseology Ha Long Bay is sometimes referred to as a microcosm of Vietnam. This is certainly so in as much as it clearly shows the conflict between conserving a rich, but fragile, heritage and simultaneously promoting the industrial, economic and tourism development that is essential to alleviate impoverishment of large sections of the community. Traditionally, this has been treated as an ‘either/or’ issue and therefore frequently results in an impasse. The greatest challenge has been to bring together the Ha Long Bay World Heritage area and all the stakeholder groups into a participatory framework through the Ha Long ecomuseum, a national demonstration project. The partnership identifies the aims, interests and values that inform interpretations of community, local history and environmental values, including intangible heritage (Galla 2002a). The Ha Long Ecomuseum is a methodology that seeks to establish a mutuality of interest and a sense of common ownership through the establishment of a far broader stakeholder base, involving communities, groups and organisations, in the management of the World Heritage area and its hinterland. Through interpretation it raises awareness and understanding of both the outstanding universal value and the contribution of industrial and commercial development to address the then Millennium Development Goals until 2015. Better understanding of the critical importance of both conservation and development softens the polarisation of the debate and enables the two issues to be addressed together, an approach taken in addressing the new UN Agenda 2030 and Sustainable Development Goals. (ii) Integrated local area planning Hoi An is a Vietnamese town which has significant cultural heritage resources, recognised through its World Heritage designation. It is relatively small, with a population of around 80,000 within a district area of around 60km2, a series of cultural landscapes and waterscapes that include the Cu Lao Cham-Hoi An, a biosphere reserve. The mobilisation of cultural resources for economic benefits has been impressive, driven by community engagement as well as public-private partnerships. This has involved the public sector (local government and conservation agencies), the business sector and the community sector working productively together (Galla 2002b, 2012). While Hoi An’s heritage extends over many centuries, the remaining urban forms largely date from the nineteenth century. The built form is reflected by the social structure, as buildings have been occupied by the same families over several generations, keeping their cultural practices intact. This is manifested in economic activities (such as crafts) and lifestyle practices (cuisine, customs) and activities which provide both cultural and economic outcomes (such as festivals). The density and richness of living heritage within the ancient town constitute a grassroots community resource, and this has received regulatory protection from incompatible development.

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Surrounding villages which traditionally functioned as a base for various crafts were at risk of losing their skills base but have received support for reviving expertise and contributing to conservation efforts. Buffer areas have protected the integrity of different enclaves. The archaeological remains found in the hinterland of Hoi An have been mapped and interpreted to promote their preservation and enrich the visitor experience. Through a systematic cultural mapping process, an integrated local area plan with 5-year windows for review and development is implemented (iii) Amaravathi Heritage Town The application of ecomuseology and integrated local area planning requires the understanding of HUL values from the contextual standpoint and locating culture in development. The planning process includes the identification of heritage assets while also developing the skills and supporting infrastructure necessary to maintain businesses and launch new enterprises. These approaches involve full participation by the local community, drawing on local skills and expertise and providing for empowerment of the local community groups through the plan’s development and implementation. In developing a community-­based plan, the opportunities to include strategies that empower local communities are prioritised, making them better able to provide for their own needs. The goal is to contribute to more effective community building, by strengthening local capacity for action. Amaravathi Heritage Society, a civic agency drawn from all the local community groups, has become the driving force for heritage action to safeguard and revitalise the historical cultural landscapes.

4.3  Amaravathi Heritage Town Amaravathi Heritage Town is a historical cultural landscape of about 300 acres of land. It is an aggregation of a few conserved sites and mostly neglected historical remains that are encroached upon by an expanding population. Most of the world-­ famous Amaravathi Buddhist sculptures from the Maha Stupa were removed or stolen. It is one of the biggest Buddhist stupas in South Asia. Its sculptural tradition is celebrated as the world-famous Amaravathi School of Art. The best collection is in the British Museum. Others are in the Chennai Museum and Indian Museum, Kolkata and several museums across the world. Now the Indian Government has launched a major project to revitalise the Amaravathi Heritage Town at the end of 2015. Conservation of Amaravathi has many possibilities. HUL Recommendation frame is being applied using ecomuseology and integrated local area planning as tools (Figs. 4.1 and 4.2). Amaravathi Heritage Town includes the twin villages of Dharanikota and Amaravathi. The former is the ancient Dhanyakataka, the flourishing capital centre in the formation of early Andhra Pradesh. The local area is the birthplace of Acharya Nagarjuna who propounded the Madhyamika philosophy. It is the basis for Mahayana Buddhism. Well-known Chinese Buddhist pilgrims, such as Xuanzang

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Fig. 4.1  Gudi or Temple for Balusulamma Thalli. Village patron goddess who has been the focal point for the revitalisation of intangible heritage elements of Amaravathi/Dharanikota and the 23 surrounding villages. It is an exemplar case study for the integration of tangible and intangible heritage in HUL

Fig. 4.2  Preparation of the first ever cultural map of the Amaravathi Heritage Town in partnership with the local community groups has been vital for making conservation and developmental interventions within the HUL frame

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(Hsüan-tsang. c. 602 – 664) , came to Amaravathi to collect sacred texts in the first millennium. Now increasing numbers of Korean, Japanese and Tibetan pilgrims are visiting. There are layers of history in Amaravathi from as early as the megalithic times, some 2900 years ago. These layers need to be unravelled, creating a contemporary understanding among both locals and outsiders, developing educational programming and promoting experiential tourism. The methods of ecomuseology and integrated local area planning from Ha Long Bay and Hoi An are being translated into locally developed pathways. The organic historical linkages and relationships between the Heritage Town and the surrounding stakeholder communities and villages are being addressed as a priority. Investment of resources by the Government of India would hopefully assist conservation of monuments and heritage houses and promote heritage-sensitive urban infrastructure development. Apart from the Maha Stupa and the 2000-year old historical fortification, the old ginning mill, historic houses in the temple’s Pujari Street, zamindar/local raja’s bungalow and other buildings from the past 200 years in Amaravathi Heritage Town also need urgent protection (Figs. 4.3 and 4.4). Understanding and safeguarding intangible heritage elements as living and dynamic resources are being prioritised by the state’s Creativity and Culture Commission. A range of living heritage festivals are being facilitated throughout the year. Affirmative action programmes are enabling the participation of disadvantaged women and young people from the Heritage Town and surrounding villages.

Fig. 4.3  The Amaravathi Maha Stupa, the largest of its kind in South Asia, yielded corporeal relics of the Buddha. It is a major pilgrimage site as the birthplace and evolution of Mahayana Buddhism through the Madhyamika philosophy enunciated by Acharya Nagarjuna

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Fig. 4.4  Ma Vuuru Ma Kodaḷḷu Our Village Our Daughters-in-Law is the major project that is driving change and safeguarding the intangible heritage values in the Amaravathi Heritage Town. It is a seminal project integrating and mainstreaming gender within the frame of HUL, UNESCO Gender Policy and UN SDG 5 on women and girls

International Women’s Day for the past 2 years has become seminal to raise heritage consciousness led by the Amaravathi Mahila or Women’s Society and the newly established Amaravathi Heritage Centre and Museum. Professional and quality-­ assured development of interpretive materials and heritage experiences are proposed as integral to responsible heritage tourism growth. New attractions are planned in the hinterland to diversify heritage experiences for dispersing potential growth in visitation and ensuring income redistribution to surrounding communities and villages. Environmental impacts need to be monitored with the future growth of visitation and increased resident and business activities. Amaravathi Heritage Town is on the River Krishna. The rapid degradation of the Krishna riverine system needs to be addressed through improving infrastructure to deal with commercial waste, sewage from the town and villages and storm water run-off. Integrated local area planning, both short term and long term, by the government must be promoted to continue to enhance the urban infrastructure to cope with development pressures. At last, a town plan is in the offing. (i) Participatory democracy A local Amaravathi Heritage Society is facilitating community engagement and benefit sharing. Amaravathi as an ecomuseum, open-air spatial or landscape approach to all forms of heritage, including the heritage town and its hinterland, will ensure sustainable conservation and growth. An understanding of the past through critical scholarship, professional engagement and safeguarding intangible heritage elements by the carrier and transmitter communities will enable a comprehensive appreciation of the present and hence experiential visitation. In the past 2  years, tangible and intangible assets of the Amaravathi Heritage Town are being mapped (Galla 2018). These include various Buddhist remains and 23 Hindu temples. The largest is the Amaralingeswara Temple that attracts most pilgrims and visitors to

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Amaravathi. Across the historical cultural landscape of Amaravathi, a range of new heritage resources are located, including several mother goddess temples that often date back to the mediaeval times. The basic unit of administration in Amaravathi Heritage Town is the Village Panchayat. In old days the elders sat under banyan or neem/margosa trees to discuss, make decisions and arbitrate conflicts of all kinds. These are called Rachchabandalu in Telugu, the local Dravidian language. In the mapping exercise, 29 such meeting places with old trees were identified. Some of them are once again being used as community meeting spaces, enabling participatory democracy. These are civic spaces for stakeholder mapping, stakeholder ethics and stakeholder participation frameworks. This approach is helping to resolve several conflicts between conservation and developmental issues. It is broadening the possibilities for community cultural action in promoting local area planning and developmental outcomes benefitting all relevant stakeholders. Civil society engagement through Rachchabandalu moderates impacts of bureaucratic processes providing for transparent discussions. Stakeholder conceptualisation is an essential element in ecomuseology and culture in development processes. One of the outcomes of such community engagement led to rethinking outside consultants’ ideas and their imposing tourism that would have diminished local heritage values. (ii) Balusulamma Thalli Gudi (temple) One of the promising developments is the beginning of conserving valuable heritage that is not necessarily monumental and visible. In November 2017, a government order by the state has been given for the protection of the Balusulamma Thalli Gudi as a protected monument for its archaeological and historical importance. This temple is the village patron goddess of Dharanikota in Amaravathi Heritage Town. It dates to the Kakatiya times some 700 years ago. So far, all the protected monuments in Amaravathi Heritage Town are under the Archaeological Survey of Government of India. Balusulamma Thalli Gudi is the first monument protected by the state government, an outcome of the ecomuseum process. The area of the temple is 0.52 acres. It is on major archaeological deposits with pottery showing continuous cultures from 2900 years ago. More than 200 years ago, local king Zamindar Raja Vasi Reddy Venkatadri Naidu used to dismount his elephant on his journeys back from other villages and make offerings to Balusulamma. As a result of the cultural mapping exercise, Balusulamma Thalli Gudi and its heritage landscape have been enhanced through the PRASAD Scheme of the Government of India. The historical cultural landscape has been carefully fenced. Five solar lamps, a water tank and boring pump have been installed. The surrounding area has been carefully landscaped. A gateway has been constructed. Access road to the temple along with drainage has been completed. The Rachchabanda at the large banyan tree in the protected landscape has been renovated with smooth granite. A slate area has been created all around at a lower level for community and school educational programming by the Amaravathi Heritage Centre and Museum. Heritage awareness and Swachh Bharat or cleanliness classes were inaugurated under the tree in partnership with the Village/Grama Panchayat and the District

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Educational Office for 80 students, villagers and tourists. Village atmosphere or Grama Vathavaranam at the  Balusulamma Thalli Gudi has been revitalised. The descendants of the  Raja’s family have visited the temple recently and offered to assist in conservation and enhance the site with appropriate infrastructure. A traditional Chuttillu or tradtional round house has been built to accommodate a site specific educational resource centre. Interventions and conservation at the Balusulamma Thalli Gudi led to community groups identifying more village goddesses that illustrate historical and heritage values in the Amaravathi Heritage Town. Several of them date back to the mediaeval period. It is planned to connect them through the Amaravathi Mother Goddess Heritage Tourism Route. Extensive consultations and community engagement are taking place. Ankallamma Gudi Complex is on the old Krosuru Road built more than two centuries ago. Muthyalamma Gudi, Mother Goddess or Grama Devata of Amaravathi, predates the Zamindar’s times of the 1790s. It was maintained since then by the Kapulu caste, and the officiating was done by the Yadava community. Muthyalamma has the same significance for Amaravathi as Balusulamma for Dharanikota/Dhanyakataka. Two other neighbouring historical mother goddess temples are dedicated to Chintayya and Tirupatamma and Ankalamma Thalli. One of the outstanding revelations is the Peddaintiamma Thalli Temple on the outskirts of Amaravathi Heritage Town along the old road that was probably used by Emperor Sri Krishnadevaraya of the Vijayanagar Empire in 1515  AD  when he came to Amaravathi. There is a very significant mother goddess temple here with a large banyan tree. It has a Rachchabanda that is sacred and several 100 years old. It has two historical inscriptions that are yet to be deciphered and studied. Other mother goddess temples are in Chakalipeta of the washer women’s/men’s community, Padmasali of the weaver’s community and Gajulapalem of the bangle merchants. There is a clear nexus of the caste system and use of the mother goddess temples across the historical cultural landscapes of Amaravathi Heritage Town. (iii) Muslim heritage Dharanikota has been under the Qutub Shahi and Nizams rule during the recent historical period. The local Raja or Zamindar in shifting his centre of operations from Chintapalli to Amaravathi brought with him in the 1790s – 2000 Muslims to Amaravathi and 1000 Muslims to Dharanikota. There is significant heritage belonging to the local Muslim communities which constitute over 30% of the local population. Through extensive community consultation, the following has been identified: Eidgah Wall with the only historical inscription in Amaravathi in Urdu. The associated square will be rehabilitated with minimal interventions. Several Masjids have been identified: Omar Al-Farooq Masjid; Madina Masjid; Masjid-e-Bilal, next to Kabristan or cemetery; Jamia Masjid, old one during the Zamindar’s time; Masjid-­ e-­Ansari, on the way to Vijayawada; and Masjid-e-Bilal, with the oldest Urdu School. These places of Muslim heritage are significant but neglected by the heritage and tourism officials until now. Interventions anticipated include conservation of architectural elements, restoring the flooring for prayers, Wazoo khana renovation for pre-prayer washing facilities, toilets, plantations, railings on the compound walls, RO plants for drinking water and consolidation of entrance arches.

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(iv) Boat jetties on the river Krishna A new barrage across the River Krishna at Vaikuntapuram, 9 kilometres downstream, will bring higher levels of water to the Amaravathi Heritage Town. It provides opportunities in the recreational spectrum. Conservation measures identified include rehabilitation of the original boat ramp and boat building area from the Satavahana times nearly 2000  years ago. It is to the west of the recent cement Buddha project built in 2007. Similarly, a second historical jetty should be rehabilitated just before the cremation ground to the east of the Amaralingeswara Swamy Temple. Given the future works by state’s irrigation departments, these two jetties could be rehabilitated. The project has reached an impasse due to the lack of appreciation by officials. Local people hope that tourism officials would appreciate the significance of the two sites to the historical cultural landscapes and waterscapes of the Amaravathi Heritage Town.

4.4  Conclusion Drawing on the HUL Recommendation and other UNESCO standard-setting instruments, Amaravathi Heritage Centre and Museum drafted the following guidelines for the gradual rehabilitation of Amaravathi Heritage Town and its historical cultural landscapes. These are framed within the New Urban Agenda, and several of them were discussed in Habitat III in Quito, Ecuador in October 2016. 1. Engage the public, private and community sectors: A trisector approach can be most effective in developing a framework for heritage protection and cultural industry development. It is important that this is an inclusive and respectful process that is measured for its benefits to all stakeholders through quantitative and qualitative indicators. 2. Identify cultural resources: Rethinking cultural mapping and cultural planning that should include tangible and intangible heritage as well as contemporary cultural resources. Equitable community participation in the mapping process should be encouraged and enabled through appropriate upskilling and facilitating first voice of primary stakeholders. 3. Build local capacity for conservation and interpretation: An inclusive approach requires that cultural and heritage conservation agencies work with local/primary stakeholder communities, the private sector and government agencies to develop new skills and appreciation. 4. Develop an asset management regime: Requirements for protecting physical and social heritage resources in the short and long term need to be identified, within a clear budgetary framework. 5. Establish an economic development regime: This should encompass mobilising resources for economic benefit without diminishing heritage values, distributing benefits within the community and investing in the protection of the asset base.

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6. Provide incentives for consistent development: This can be a powerful way of implementing the economic development framework, for example, by way of tax concessions and enterprise licences and permission for creative or adaptive reuse of built heritage and other infrastructure. 7. Develop promotional materials and interpretive programmes: This is an essential infrastructure for cultural development, and it may include establishing interpretive hubs (exhibitions, galleries, museums) as well as guided tours for the benefit of all creative, cultural, heritage and tourism industry participants and audiences. 8. Protect cultural freedom: Development needs to respect the cultural values of all participants. Strategies should prevent commercial exploitation of cultural and heritage industry practitioners, for example, by misuse of cultural property, and empower local communities to control how culture is presented within their own precincts. 9. Reinvest in social wellbeing: It is vitally important to ensure that communities that are carriers and transmitters of living heritage are not held in a state of impoverishment, while their cultural resources are mobilised for economic gain, and that there are clear benefits in terms of contemporary infrastructure and services. 10. Monitor and mitigate impacts: The flow on effects from development needs to be well managed, including urban traffic congestion, wear and tear on the physical environment and the safety of residents. The HUL Recommendation is useful provided it is considered with comparative case studies and demonstration projects from different parts of the world and assessment of critical success factors and pitfalls to be avoided, and recommended strategies are pursued in all jurisdictions. Toolkits with affordable adjunct mentoring and facilitation services should be available through the affordances of the digital domain. Amaravathi Heritage Town development can access these facilities and also contribute to the broader knowledge communities of the HUL domains.

References Agrawal, A., & Gibson, C. C. (Eds.). (2001). Communities and the environment: Ethnicity, gender and the state in community-based conservation. New Brunswick: Rutgers University Press. Appadurai, A. (1996). Modernity at large, cultural dimension of globalisation. Minneapolis: University of Minnesota Press. Galla, A. (2002a). Culture and heritage in development: Ha Long Ecomuseum, a case study from Vietnam. Humanities Research, IX(1), 63–76. Galla, A. (2002b). Hoi An: Five year developmental plan, Hoi An Centre for Monuments Management and Preservation and UNESCO Office Hanoi, 2002. Galla, A. (2008). The first voice in heritage conservation. International Journal of Intangible Heritage, 3, 1–17. Galla, A. (Ed.) (2012). World heritage: Benefits beyond borders. Cambridge University Press and UNESCO Publishing. (2013) French and Korean translations.

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Galla, A. (2018). Amaravathi Heritage Town: Narratives from an Indian ecomuseum development. In M.  Chiba, S.  Jain, S.  Ghosh, & V.  B. Mathur (Eds.), Cultural landscapes of Asia: Understanding and managing heritage values (pp.  195–203). New Delhi: Aryan Books International. Galla, A. World heritage in poverty alleviation: Hoi An ancient town, Vietnam. In World heritage: Benefits beyond borders, (Ed)., op. cit. pp. 107–120. Thapar, R. (2017). Talking history. New Delhi: Oxford University Press.

Chapter 5

Toward a Special Management and Protection Plan of Urban Heritage in Ambalema, Colombia Sandra Higuera, Andrés Forero, Juliana Forero, and Alberto Escovar

Abstract  Since 2009, the Special Management and Protection Plan (PEMP in Spanish) has been the instrument adopted by the Colombian government to plan, manage, and disseminate the cultural heritage of historic city centers. Based on the acquired experience, the Cultural Heritage Office of the Ministry of Culture identified the need to develop a more holistic and participatory approach to revitalize these areas of cultural significance. To achieve this, the Cultural Heritage Office led a pilot scheme in Ambalema, Tolima, throughout 2016. The development of the Special Management and Protection Plan of Ambalema was based on an interdisciplinary approach aimed at recognizing the intersection of multiple values that characterize the historic city center and form the basis of social identification with the urban landscape and cultural ecosystem. Moreover, the PEMP was an opportunity for enhancing citizen participation in urban heritage conservation in Colombia. This paper describes the methodology used and the results obtained, as a contribution to develop more comprehensive tactics toward heritage sustainability, which has been done in harmony with Historic Urban Landscape (HUL) approaches to the conservation of urban values that shape the city’s life. Keywords  Special Management and Protection Plan · Historic city centers · Cultural heritage · Urban heritage conservation · Citizen participation · Heritage values · Historic Urban Landscape

S. Higuera (*) · A. Forero · J. Forero · A. Escovar Ministry of Culture of Colombia, Bogotá, Colombia e-mail: [email protected]; [email protected]; [email protected]; [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_5

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5.1  Introduction This article presents a route to a more participatory and holistic approach toward guaranteeing the sustainability of cultural heritage values of historic city centers and the different living cultural experiences that shape a city’s life, based on the case study of Ambalema in Colombia. Based on the experience of the Ministry of Culture in the formulation, monitoring, and implementation of Special Management and Protection Plan (PEMP, for its abbreviation in Spanish)1 for the historical city centers, which have declared Property of Cultural Interest on a national level, and the critical revision of the current regulations in force for such cultural properties, throughout 2015, it was evident that there needed to be more analysis on the following aspects: 1. The need for PEMPs to be appropriated both by the municipal administrations and by the communities that inhabit the historical city centers. 2. The importance of formulating and implementing actions that favor the social appropriation of the cultural heritage of historic city centers, in order to assess its values and protect them more effectively. 3. The formulation and implementation of actions directed at the improvement of habitability of the spaces (buildings and public spaces) that make up the historic city centers. 4. The formulation and implementation of tools that tend to guarantee the sustainability of historic city centers. 5. The importance of integrating intangible cultural heritage (ICH) as a fundamental component of the PEMP. PEMP approach represents an example of how HUL methodology has been implemented by national and local governments through their own urban and cultural heritage planning system. Both look for an integral and comprehensive perspective on how to integrate cultural heritage management into an overall sustainable development framework. Within this context, in 2016, the Ministry of Culture prioritized the preparation of the Special Management and Protection Plan (PEMP) for Ambalema, the historic city center of which was declared a Site of Cultural Interest in 1980. It was projected as a pilot project through which the community; the public sector, at the municipal, departmental, and national levels; and the academy could work together toward identifying the heritage value of the place, determining its current problems and proposing actions that promote the protection and safeguarding of cultural heritage in a holistic manner. 1  PEMP: In accordance with Article 2.4.1.1.1. (Decree 763 of 2009, Article 14) of Decree 1080 of 2015 by which the Single Regulatory Decree Sector Culture is issued, “Special Management and Protection Plans are a management tool of Cultural Heritage of the Nation, that establishes actions necessary in order to ensure the protection, conservation and sustainability of Properties of Cultural Interest or property in process of being declared as such, whenever the competent authority requieres it.”

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To undertake this challenge, it was important to review the definitions that international organizations such as UNESCO have established in terms of cultural heritage, or in the Colombian case, the General Law of Culture (Law 397 of 1997, as amended by Law 1185 of 2008 and its regulatory decrees). In these documents, cultural heritage is defined as the sum of movable and immovable properties and cultural expressions that are the basis of particular group or community identity (Ministerio de Cultura 2011). This means that heritage must function as a resource for the development of communities and, at the same time, for their sustainable preservation because of its integration with how identity is expressed (Colantonio and Dixon 2011). The central problem lies in how to make this premise effective, taking into account that cultural expressions cannot be understood through the idea of monument that is more associated with the cultural heritage of a tangible nature (which for the Colombian case is primarily of colonial origin). From a legislative standpoint, the response to this problem is the development of PEMPs in the case of tangible assets and Special Safeguard Plans (PES, for its abbreviation in Spanish) in the case of the intangible cultural heritage. The separation that exists between the tangible assets and the intangible expressions begs the following questions: How can we understand the interactions of different social, cultural, economic, political, environmental, and other elements and their effect on the various historical processes that configure historical city centers? What happens when these planning tools in the heritage domain address their analysis in a disjointed way, depending exclusively on studying tangible immovable, or movable cultural assets or cultural expressions, without understanding their close interrelation? Moreover, how can effective mechanisms that allow opening the dialogue to a holistic analysis be established, without these tools going beyond the scope established in the legal framework? The HUL approach brought some tools to solve these questions. They were approached by understanding territory as the space where resources and assets, which are charged with meaning and significance built and shaped by a dialogue, come together and are assorted among the physical characteristics of the place and the cultures settled in it. In this understanding, the physical characteristics and intangible culture must be understood and valued together (Duarnd 2002). Therefore, the focus of the PEMP was shifted to understanding territory through a cultural lens, which would also encompass human activity as a central component of such territory. In this sense, the problem of undertaking practical research focused on two main fronts. First, the scope of the territory to be studied needed to be defined, including more extensive areas than those established for the historic city center, and a holistic concept of cultural heritage, including resources and cultural dynamics. Second, an approximate framework had to be constructed, which provided guidelines for understanding the existing relationships between cultural, human, and natural components and proposes effective management measures for its sustainability and use as a territorial resource.

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Considering the above, a methodology was constructed that adhering to the provisions of Decree 1080 of 2015 “by means of which the Single Regulatory Decree of the Culture Sector is issued,” as far as the PEMP is concerned, could offer an integrating perspective of its components in order to provide the local institutions with an alternative development strategy (Decreto 1080 2015). This alternative would be based on the assets, expressions, and cultural resources existing in their territory and a mechanism for the preservation of cultural heritage. A shift was then proposed from interpreting the PEMP as an obligation to presenting it as an opportunity to direct a shift in how development is thought of in Ambalema. The construction of a methodology for heritage urban planning in historic city centers emphasized engagement and cultural appropriation, in which territory was addressed in the context of the Historic Urban Landscape (HUL) approach. Although this was not the central application tool for the creation of PEMP, it is an expression of local territorial realities around the conservation of historic city centers based on a more holistic approach that recognizes the different layers of interaction in the territory landscape.

5.2  S  pecial Management and Protection Plan (PEMP): Beyond Managing “Historic City Centers” Despite Colombia’s long legal and regulatory history regarding cultural heritage, there is no precise definition of the historic city center in its laws and regulations. However, regarding the relevance of protecting historical city centers, the definition of the Quito Colloquium of 1977 is very accurate when affirming that they are testimonies of “all those living human settlements, strongly conditioned by a physical structure coming from the past, recognizable as representative of the evolution of a town” (Consejo Superior de Investigaciones Científicas 1990, pg. 13). Therefore, the recognition of a settlement as a historical city center and its inclusion in the representative list of the national cultural heritage acquires a special condition in relation to the construction and representation of the Colombian nation. This is one of the attributes conferred to Ambalema, whose historic city center, as well as the other 44 historic city centers in Colombia that have been recognized, currently makes up the repertoire of the historic and cultural heritage of settlements that have shaped the territory of Colombia. Ambalema is particularly linked to the tobacco boom of the late nineteenth and twentieth century, a factor that shaped the distribution and construction of infrastructure in the town and made it an epicenter of agro-industry and trade. Also, because they are testimonies of the national historic and cultural life, these historic city centers “belong in a particular way to all those social sectors that inhabit them” (Consejo Superior de Investigaciones Científicas 1990, pg. 13). Therefore, the inhabitants are partly responsible for the sustainable management of these historic centers. It is in this scenario, requiring an instrument that ensures the future

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inheritance of cultural heritage, that the PEMP becomes meaningful. Realizing such a strategy depends on formulating strategies of citizen engagement, as will be presented later. The problems currently afflicting the historical city centers and in particular those of Ambalema made it essential to run a study of its current conditions, with particular consideration to already existing data found in reports, obtained from local, regional, and territorial development plans, but primarily focusing on the daily experience of its inhabitants. This last approach of promoting citizen engagement became a fundamental tool for one of the central strategies of the cultural policy in Colombia: the social appropriation of cultural heritage. The joint act of recognizing historic city centers as heritage and, from there, identifying the stakeholders that intervene in its management allows the population to become aware of their situation and to acquire responsibilities toward it.

5.3  A  mbalema’s Landscape: Between the River and the Snow Peaks Addressing the analysis of the historic city center of Ambalema required seeing the study area not as an isolated entity but as part of a complex set of elements that, over time, develop in a territory at different scales. The territory is a dynamic reality; it is the result of the superposition of the various historical moments that have occurred in it – which are permanently rewritten. It is also a complex reality, because it is composed of natural and cultural, tangible and intangible components. Its morphological aspects – roads, rivers, houses, and infrastructure – become essential because they express the relationship between the natural environment and the community that inhabits such space, and it is of special importance to decode it. The municipality of Ambalema belongs to the department of Tolima and is part of the Andean Region of Colombia, a natural region that crosses the country from south to north, where the departments of greater economic productivity in the country are concentrated. This region is conformed by the three branches into which the Andes mountain range (central, eastern, and western ranges) is divided, in the middle of which the Magdalena and Cauca rivers are born, two of the most important in the country (Fig. 5.1). The Magdalena River is “the most important axis of national development, from a geographic-spatial, environmental, cultural, social, economic, demographic, urban, historical and, of course, hydrographic standpoint” (Bernal Duffo 2013, page 10), becoming a “factor of union of a country with geographies as diverse as the Andes and the Caribbean, the páramos, and the jungle” (Museo Nacional de Colombia 2010, page 6). This is how each of the towns that are located on the banks of the Magdalena, as is the case of Ambalema, can be understood as part of the history and development of Colombia (Fig. 5.2).

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Fig. 5.1  Location of Ambalema. Elaborated for the PEMP of Ambalema 2016

On the other hand, the Nevado (Snow Peak) del Ruiz, located on the border between the departments of Tolima and Caldas, has been a determining geographical marker of the cultural and economic relations in the region because of the massive volcanic eruptions that generate lahares (flows of mud and debris) that, when dragged by the tributaries of the Magdalena River, pose a threat to human life, but also generate nutrient-rich volcanic ash that scatters on the ground. Thus, the area known as “Ambalema tobacco district” throughout the nineteenth century was precisely the area of influence of the eruptions of the volcano. The location of Ambalema between the mountain ranges has caused the town’s geographical isolation, positioning the Magdalena River as the main and constant

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Fig. 5.2  Location of Ambalema. Geographical location map of Ambalema. Elaborated for the PEMP of Ambalema 2016

communication channel over time. “When the navigation of the Alto Magdalena River disappeared, the city began a process of regional isolation that is reflected in the economic hardships it faced” (Mendoza 2010, page 62). The river was, thus, one of the main assets that had to be protected and engaged through the PEMP, as a building block of Ambalema’s heritage and history. These geographical and geological conditions have guaranteed that, throughout history, Ambalema has been linked to the primary sector of the economy, mainly the agricultural industry, from the tobacco production to sugarcane production and later to the cotton and rice fields. However, due to a historic and continued process of privatization, land has been concentrated in a few large estates after “a broad and complex process of expropriation of the majority of independent and community workers” (Novelio 1984, p. 45). Therefore, the identity of the Ambalemuno2 is associated with a culture tied to labor. Its identity is based on the relationships woven between workers/partners and employers, their work tools, and the products resulting from their work, converting physical and mental energy into capital. This can explain the scarce presence of traditional crafts and a weak capacity for community organization, as most of the

 Ambalemuno is the demonym of the city of Ambalema in Spanish.

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workforce is concentrated in agro-industrial activities, leaving little space for the development of other activities. The dynamics of economic boom and decline and the connectivity of the municipality are a fundamental determinant to frame the current situation of this historic city center from a heritage perspective. At present, many of the cultural elements are threatened by various problems such as scarce community organization, limited sources of economic activity, lack of knowledge of the territory and its resources, as well as a fracturing of municipal institutions.

5.4  I dentifying Heritage Values: A Holistic and Participative Within the HUL Framework For the elaboration of the PEMP of the historical city center of Ambalema, a general methodology was followed, which was divided in three stages. The first one was based on the recognition of the territory and its main problem divided in turn into three different steps that have been called characterization, assessment, and diagnosis. The second stage consisted of developing a structure that would allow the analysis of the information gathered for the formulation of the plan, grouped into categories of analysis as follows: governability, habitability, and social, economic, and environmental sustainability. Finally, in the third stage, the formulation of the management plan was addressed by ordering the projects and proposals within a management model composed of transversal strategies and programs in which the different projects necessary to confront to the problems that were identified in the aforementioned second stage of the methodology were designed.

5.4.1  Citizen Engagement Strategy In all statements and conventions that refer to cultural heritage, there is a repeated call to communicate the cultural meanings and values ​​of heritage elements, in order to generate recognition and respect for heritage. This respect can foster a sense of responsibility and, thus, help ensure the sustainability of this legacy for future generations. In the development of the plan, the leaders of different social groups interested in participating in the diagnosis of the PEMP were identified. A group of 39 people was formed, which was called the “Citizen Participation Table,” and they worked together in the development of the diagnosis and formulation of the PEMP.  Two types of activities were carried out: socialization spaces open to the whole community and the worktables with the aforementioned participation table, with the aim of

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collecting through them their perceptions of the historic city center based on their everyday experiences. Furthermore, the process of citizen participation had two aspects: the participatory formulation of the PEMP and the promotion of local initiatives and capacities for the protection and safeguarding of cultural heritage. In the first aspect, members of the Ambalema community brought forth their perceptions on values, risks, and the safeguarding and protection projects to address those risks. In the development of these activities, a process of informed consent was carried out, in which the community was informed about routes of action for the protection of heritage in Colombia. In addition, the community was constantly informed of the results of the diagnosis and formulation process. To achieve this purpose, a cycle of participatory activities was designed, which are described below: Opening workshop of the Special Management and Protection Plan  to socialize the process of preparing and formulating the PEMP with the community. A public invitation was sent to members of the community in order to participate, as well as personal invitations to the Heritage Watchers3 group of Ambalema, a team of voluntaries that participate in multiple heritage protection and valuation activities. The participants discussed how to recognize the historical, symbolic, and aesthetic values of its historical center on a cartography based on the results of the heritage valuation built with the Heritage Watchers. This participatory process gave rise to identifying how multiple spaces and historic buildings constitute important elements of the memory of Ambalemunos. These intangible dimensions of material heritage were therefore seen as an oral tradition that is transmitted from generation to generation collectively, which should, thus, be preserved through strategies similar to the safeguarding of ICH. Stakeholder Map Workshop  to identify in a participatory manner the main leaders of civil society and representatives of public and private institutions engaged in the protection of cultural heritage. The participants had to formulate a list, a brief characterization, and a scheme of influence of the actors on the dynamics of the historic center. To enrich this reflection, a brief presentation was made on cultural heritage, explaining its immovable, movable, and intangible dimensions. This workshop was the basis for a potential organizational scheme of the PEMP and multiple sectors of the city that must come to agreements in order to foster heritage values in their town. Specifically, it highlighted the importance of the fishermen, through the association ASOPEZAMBA (Fishermen of Ambalema Association). Trade and fishing production was seen as an expression of the relationship between the population and the environment from which they obtain their sustenance, again demonstrating the importance of understanding heritage as living and dynamic activities for the community of Ambalema. 3  Heritage Watchers is a strategy that encourages citizen participation in the social appropriation of cultural heritage. Under the volunteer scheme, Colombian communities organize to recognize, value, protect, recover, disseminate, and identify actions aimed at the sustainability of the nation’s cultural heritage.

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Cultural Entrepreneurship Workshop  to recognize cultural entrepreneurship initiatives and analyze how they can be strengthened in order to contribute to the sustainability of the historic city center. Cultural entrepreneurs were invited to pitch their ideas related to a cultural product or service based on different aspects of the Ambalemuno cultural identity. This workshop offered not only practical tools for cultural entrepreneurs in order to better promote and present their products or services but also an opportunity to think about the historic city center as an inspiration for ideas to promote economic sustainability activities in Ambalema and diversify its economy. Ambalema Public Space Assessment Workshop  a participatory recognition of the ways in which public spaces of Ambalema are structured. In this activity, different stakeholders analyzed the values, the risks, and the opportunities to enhance the way in which these places satisfy the urban and cultural needs. Among the topics discussed, the participants affirmed how ICH cultural expressions, such as feasts and traditional cuisine, play a role in the social construction of space from the historic center. Historical Valuation Workshop and Validation of a Preliminary List of Intangible Cultural Heritage Elements  participatory recognition of the historical moments that shaped the territory and the forms of social organization present in Ambalema. Likewise, a validation exercise of the preliminary list of intangible cultural heritage was carried out. In this workshop, members of the community reflected upon the history of the city center as a testimony of a memory collective. Through objects that the participants considered to be of historical value, they built a timeline that allowed us to understand how the historic center alludes to and encompasses a past that must be communicated and transmitted. Workshop of Architectural Appraisal: What Is the Value of My House?  This workshop was designed to address the need to identify, with the community, the value of the architecture in Ambalema and understand the importance of preservation. For this purpose, a model house was used to demonstrate where the typological characteristics of this historic center were evident. The model allowed for different pieces to be replaced to show how different inappropriate interventions affect the values of Ambalema’s architecture. As a complement, a practical workshop on earthen architecture was carried out so the community could learn about maintenance work for buildings built in traditional techniques (predominant building system in Ambalema), thus, denying the preconception that stigmatizes these traditional constructive systems as expensive and obsolete. This was based on one of the main strategies to promote a closer relationship between the community and its material heritage, which was to prioritize preventive conservation, as a way in which citizens can engage and preserve cultural heritage without the mediation of experts or institutions.

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Presentation of the Diagnosis Phase of the PEMP  to share the results of the diagnosis of the PEMP with the community. In this framework, a space for dialogue was opened on the problems and possible alternatives for solving the identified problems. Workshop for the Participative Construction of the Formulation of the PEMP  to put into discussion the solution alternatives proposed by the PEMP team and adjust them according to the observations of the citizens of Ambalema. Workshop to Present the Formulation of the Special Management and Protection Plan  to socialize with the community the results of the formulation of the PEMP. In-Depth Interviews  In-depth interviews were conducted with the aim of expanding the dialogue between the PEMP professionals and the community. Moreover, the construction of information needed to plan the protection of heritage values ​​was accompanied by the implementation of heritage safeguarding and protection initiatives and the fostering of capabilities in heritage management, in partnership with citizens of Ambalema. The activities developed were the following: Training Workshop for Heritage Watchers (Volunteer Program of the Heritage Division of the Ministry of Culture of Colombian) in the Historical City Center of Ambalema  training process for Heritage Watchers to strengthen local self-­ management capacities to protect cultural heritage. In 2015, a process of formation of Heritage Watchers began with the students of the educational institution Nicanor Velásquez of Ambalema, the University of Ibagué, and the Ambaviva Foundation and citizens interested in the conservation, management, and promotion of heritage cultural. The result of the workshop was an initial inventory of cultural resources that make up the cultural heritage of Ambalema. Institutional Workshop Called “Education for the Social Appropriation and Management of the Cultural Heritage of the Historic City Center”  from a joint understanding of the meaning and importance of cultural heritage, officials of the local mayor’s office identified the cultural resources that make up the cultural heritage of Ambalema to propose possible actions that can be carried out from each of their roles. The officials were given a presentation on cultural heritage, its international framework and legislation in Colombia, and its different categories. Based on this initial presentation, officials presented their own view on what makes up Ambalema’s heritage and how can they promote its protection. Civil Culture Workshop Called “Myths and Legends of Ambalema for Respect for Pedestrians”  proposal that sought to stimulate a culture of respect for the life and dignity of pedestrians in order to promote the social appropriation of Ambalema’s cultural heritage. It promoted the use of art to send a message on respecting traffic

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signals and laws in order to decrease the risk for pedestrians that walk through the historic city center, using figures of myth and legend that are part of Ambalema’s oral traditions. Interinstitutional Project Formulation Workshop  a training session to structure projects for officials of the mayor’s office of Ambalema in order to leave an installed capacity that serves as the basis for the implementation of the PEMP. Exposition on Intervention Techniques for Maintaining Facades of the Historic City Center of Ambalema  in order to promote ownership and care of buildings that make up this historic city center, a practical and visible intervention of its façades was carried out, as these are one of the most recognizable components of its cultural heritage. An open exposition on Ambalema’s architecture and practical techniques for its preventive maintenance was presented in the city center. Workshops on the Assessment of Heritage Values of Traditional Ambalema Cuisine and Innovation Workshops  reflection process on the traditional cuisine as a reference point of the Ambalemuno identity, in order to evaluate its possibilities of innovation and take advantage of intangible cultural resources to promote community well-being based on possible productive initiatives. Workshops to Assess the Crafts Associated with the Magdalena River  workshops where the problems and opportunities faced by artisanal fishing were addressed, as an intangible element linked to the uses of the landscape and territory of Ambalema. Teaching Artisanal Fishing in School  based on a proposal from the community, the fishermen’s association of Ambalema led a ludic teaching cycle of artisanal fishing for school students to promote the transmission of fishing knowledge and respect for the river. All these spaces allowed a holistic diagnosis of the situation of the cultural heritage in Ambalema that reflects the vision of the municipality that its own inhabitants have. This information was analyzed by the base work team and supplemented with technical criteria to propose actions and projects that favor the appropriation and valuation of the cultural heritage in Ambalema. These focused primarily on initiatives that can be carried out by community members with little effort, such as conducting preventive conservation measures for the Ambalema houses that have been built through traditional earthen architecture techniques.

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5.4.2  T  eam Composition and Assessing Ambalema’s Heritage Values and Resources For the conformation of the team of professionals that formed the core group of the PEMP, a structure was designed that reflected the need to design solutions in terms of habitability of the heritage site and to propose solutions that promote the sustainability of the historic city center’s values, in order to make a holistic approach that would prioritize projects of greater impact. An interdisciplinary team was assembled, consisting of architects, engineers, anthropologists, restorers, and economists, who worked on collecting and processing data from primary, secondary, and oral sources and surveys and whose fieldwork was the fundamental axis of the process while also counting on local counterparts in the region in order to capture primary information. Once enough information had been gathered, the team proceeded to analyze and intersect data of different characteristics (from socioeconomic statistics to the transformations of houses and other heritage buildings in city center), in order to identify the current problems of Ambalema in terms of cultural heritage and build new indicators of variables that could affect the cultural assets of the municipality. All the primary and secondary information, both technical and socioeconomic, was structured in a geographic information system, in basic, thematic cartography, and a large database of property and land information. This allowed spatial analysis and the characterization of the variables, superposition, crossing of information, consultations, and correlation, among other geoprocesses, that supported the synthesis of diagnosis and decision-making process of the PEMP.

5.4.3  Processing and Analyzing Information For the characterization and assessment of Ambalema’s cultural heritage, bibliographic information was organized in thematic periods from a historical perspective. These led to establish zones within the territory where traces of each historic period of development physically manifested. This zoning was then reinforced and analyzed with geographic, property and land data, and problematic situations that had been identified through the consultation, participation, and fieldwork activities. The information was then further organized according to axes and spaces of cultural significance (Space 1, Campoalegre; Space 2, Foundational Center; Space 3, The railroad; Space 4, Center expansion; Space 5, La Esperanza; Space 6, Nicanor Velásquez; Space 7, Industrial). In each of these, the cultural elements that make up its particular heritage value were referenced. In order to process the relevant information of each of these spaces of cultural significance, heritage valuation sheets were prepared and constructed for each of the zones. This facilitates decision-­ making, in sections of the territory, grounded in protecting the different cultural

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expressions and tangible heritage that reference a connection with memory and identity.

5.5  A  ssessing the Vulnerability Status of Urban Heritage Values 5.5.1  Problem Tree Analysis for Ambalema To synthesize the results of the diagnosis, a logical framework approach was applied, a tool that requires identifying a central problem that affects a situation or condition, the “condition” being the historic city center of Ambalema and which is the basis for the formulation of a plan to solve the central problem. Based on this methodology, the problem tree was built,4 which for this case relied on Vester’s matrix5 to identify the central problem from which the circumstances that affect the sustainability of the historic city center derive from (De los Heros Rondenil 2015). In this way, the logical framework allowed the identification and prioritization, from the central problem, of the circumstances (causes) that put at risk (effects) the values attributed to the Property of Cultural Interest, as well as those particular scenarios that affect the management and actions derived from the policies developed for cultural heritage protection (Fig. 5.3). The problem tree is a result implementing this exercise which was first applied by the base team of the PEMP and then supplemented and deepened in different workshops and conducted with different stakeholders in the town of Ambalema (officials, citizens, and councilors, among others). Next, the critical aspects identified in the diagnosis are synthesized, by means of the evaluation of the frequency of certain aspects, as well as the deficiencies in the dynamics of assessment of values, of sources of information, and, therefore, in the application of the management instruments.

5.5.2  Identifying the Central Problem In the case of Ambalema, there are three fundamental aspects that, if not addressed, threaten to distort the cultural significance of the municipality: conflicts in urban planning and regulations; poor prioritization of actions by the local administration and civil organizations, for the protection and safeguarding 4  Diagram showing the current undesirable or problem situation, along with other problems identified around the main problem and cause and effect relationships between 5  A tool that facilitates the identification and determination of the causes and consequences of a problematic situation. A qualitative technique developed by Frederic Vester.

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Fig. 5.3  Problem tree elaborated for the historic city center of Ambalema. Elaborated for the PEMP of Ambalema 2016

of the values attributed to the historic city center; and the weakening of the social fabric and leadership as the basis for initiatives aiming to protect cultural heritage. This situation has been aggravated by the scarce economic diversification of the municipality, financial instability, the concentration of labor demand in a few stakeholders, and the lack of regional articulation to consolidate an economic vocation in the municipality. In other development planning instruments, there is an absence of projects that address the decrease in the quality of life, the loss of identity of the Ambalemunos, the high vulnerability of the workers situation, the exodus of the population, the lack of investment in the maintenance of buildings in the historic city center, and, in general, an increase in the poverty of the inhabitants that particularly impacts the young and the elderly, which is detrimental for the sustainability of traditional cultural practices. Therefore, the PEMP went further than being an instrument of heritage management to being a road map for development with culture at its epicenter. In this sense, it has been identified that the cultural significance of Ambalema as a referent of the economic history of Colombia and of urban development in terms of productive dynamics is being blurred by the economic and social situation that Ambalema currently faces. Therefore, Ambalema is in dire need of investment opportunities that may allow the diversification of its economy in new sectors in

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Cause •Lack of identification, prioritization and coordination of efficient actions for the protection of the historic city center (Governance) •Poor planning and urban regulation of the historic city center (Habitability) •Lack of capacities to gather and negotiate more resources for the management of the historic city center (Habitability-external stakeholders) •Weakening of the social fabric and leadership in the historic city center (Social Sustainability) •Scarce economic diversification of the municipality (Economic Sustainability) •Decrease in public health and sustainability of cultural practices based on their relation to natural elements, such as artisanal fishing in the historic city center due to environmental impacts (Environmental Sustainability-external stakeholders)

Effect •Loss of institutional legitimacy on behalf of the community, due to the lack of capacity of the local administration to properly manage the heritage site (Governance) •Loss of values , lifestyle, and significance of this heritage site (Habitability) •Exodus of the population and loss of identity and self-esteem (Social Sustainability) •Increased poverty and decrease in the quality of life for the lower income bracket of the local population (Economic Sustainability) •Alterations to the environmental conditions of buildings, public spaces and places where traditional crafts and festive acts are conducted (Environmental Sustainability)

Fig. 5.4  Causes and effects of the central problem of the PEMP.  Elaborated for the PEMP of Ambalema 2016

order to generate more capital that can create a stronger sense pride and identification with the town itself, deterring the current exodus of people to larger cities, and generating more local purchasing power which can help drive the circulation of cultural goods and services locally, based on traditional and cultural practices. On the other hand, the city lacks resources to invest in the protection and safeguarding of its cultural heritage. Thus, economic sustainability was identified as a main factor in identifying the central problem. This leads to the central problem of the PEMP: The loss of heritage values ​​of the historic city center of Ambalema due to the alteration of the traditional way of life because of economic hardship. Having identified the central problem, the next step was the systematization of the causes that generate the risks and the state of vulnerability of the heritage values. Next, in order to understand the causes of risks to the heritage values of Ambalema, the effects of such causes were identified. Aiming to generate concrete changes in the framework for development of the city, the information gathered was analyzed to help develop policy components and guidelines for the protection and safeguarding of cultural heritage. The following causes and effects were identified (Fig. 5.4).

5.6  Developing Policies and Actions Formulating actions and policies that make up the whole process of planning, design, and implementation of the PEMP aimed at the sustainability of heritage values in dialogue with the development needs of Ambalema required the construction of strategies, programs, and projects, derived from a defined tree of objectives that in turn responds to the risks and vulnerabilities identified in the latter stage. For each component (governance, housing, social and economic sustainability, and

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environmental sustainability), short- and medium-term targets were proposed. This eased the definition of guidelines for the main local stakeholders (government, civil society, academia, and private sector) who make up the management framework of Ambalema’s heritage to follow and form a structure of cooperation. These strategies were defined as follows: 1. Institutional Strengthening: Formulate planning, urban management, and monitoring tools necessary to ensure proper management of cultural heritage of Ambalema. 2. Heritage Education: Design and implement educational activities linking the local population (civil and institutional society) with the cultural heritage of Ambalema to strengthen the bonds of territorial identity. 3. Enhancing Productivity: Design and implement actions to promote economic activation in Ambalema, based on cultural resources and territorial assets. 4. Infrastructure: Promote the development of intervention projects fostering Ambalema’s cultural heritage as a development tool for local benefit. 5. Memory and Heritage: Consolidate history and “memory” of Ambalema in the territory through enhancement of cultural heritage appropriation, both tangible and intangible, as key resource for the culture of the Ambalema community. For each of the strategies, financing, information sources and goals, and an organizational structure were designed. For example, in the case of the first strategy, Institutional Strengthening, four projects were identified with the sole purpose of enhancing the capacities of local authorities to develop heritage protection projects and promoting their capacities to regulate urban planning for a cultural heritage perspective. The strategy hopes to create more autonomy in the decision-making process at the local level and address the lack of investment in Ambalema’s cultural heritage by fostering capacities in project formulation aimed at competing for international and national financing sources. The financing structure aimed at formulating low-cost but high impact projects, where capacity building is key. A detailed budget for each of the projects was formulated, which resulted in a total of an estimated 40,000 US dollars that had to be invested for this project. Three different sources were identified: public sources, private sources, and international cooperation. For each of these sources, specific funds and a model of how to present projects for them were listed in the detailed description of the specific projects. In the case of capacity building in the use of geographic referencing tools, the University of Ibagué was identified as an ally that could offer such training for low cost, which could be financed by the local municipality. In terms of information sources, each project had geographic referencing and a map of actors with a specific database that must be articulated in the project, which in turn was the basis of its organizational structure of implementation, with a leading institution or actor, a beneficiary, and possible allies, in hopes that these projects can be easily be led by local stakeholders. Finally, the strategies are supported by a proposed functional restructuring of local government for the articulation of functions with respect to the proposed PEMP and a new local regulatory system. All of the projects aim to generate

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employment through various heritage activities that can be funded through public-­ private alliances, heritage funds offered by the Colombian government, and international cooperation, especially regarding environmental protection of the local ecosystem. Therefore, heritage becomes a motivation in fostering development in Ambalema, by expanding the notion of cultural resources beyond architecture and monuments.

5.7  Conclusion As seen through this paper, Ambalema’s case study demonstrates three main aspects. First, the HUL approach has acknowledged a reality that all towns face when planning for cultural heritage within the framework of sustainable development. Cultural heritage in its material expressions cannot be divided from communities’ ways of life, national and local values, as well as elements of urban structure where a city’s life converges. Ambalema is a classic case where the integration of urban planning patterns, social appropriation of heritage, as well as the sustainability of the historic areas need to be integrated. Second, the HUL steps are not only the lowest common denominators when applying this methodology but are also enhancers of the integration of social factors when developing cultural heritage management plans in cities. All the strategies applied when constructing Ambalema PEMP were articulated with the HUL steps, which helped this PEMP to position cultural heritage and peoples’ ways of life in the center of the spatial development plan. Lastly, the HUL approach proposes a framework to understand the character of the historic areas that also depends on local culture. All the policies and actions proposed by Ambalema’s PEMP were based on this town’s reality under its cultural, social, political, and economic bases. This helped to bring heritage conservation processes into the center of the enhancement of well-being and quality of life as defined by Ambalemunos.

References Bernal Duffo, E. (2013). El Río Magdalena: Escenario primordial de la patria. Credencial, 10–24. Colantonio, A., & Dixon, T. (2011). Urban regeneration & social sustainability: Best practice from European cities. Wiley-Blackwell: Hoboken. Consejo Superior de Investigaciones Científicas. (1990). Carta de Quito: Conclusiones del coloquio sobre la preservación de los centros históricos ante el crecimiento de las ciudades contemporáneas (UNESCO/PNUD, Quito, 1977). Informes de la Construcción, 41(405), enero/ febrero, 13–14. De los Heros Rondenil, M. (2015). La planeación estratégica en la educación. La aplicación en el proyecto Fogise. En: Giovanna Valenti Nigrini (coordinator) Nueva cultura educativa: Los sistemas educativos estatales (pp. 187–226). Mexico: FLACSO.

5  Toward a Special Management and Protection Plan of Urban Heritage in Ambalema… 109 Decreto Único Reglamentario 1080 del 26 de mayo de. (2015). Por medio del cual se expide el Decreto Único Reglamentario. Duarnd, L. (2002). La relación ambiente-cultura en antropología: recuento y perspectivas. Nueva Antropología, A.C., XVIII(61), 169–184. Mendoza, M. C. (2010). Elaboracion de la primera fase del plan especial de manejo y protección (pemp) del centro historico de ambalema y su correspondiente zona de influencia, en el departamento del tolima. Ministerio de Cultura: Bogotá. Ministerio de Cultura. (2011). Legislación y normas generales para la para la gestión, protección y salvaguardia del patrimonio cultural en Colombia/Ley 1185 y su reglamentación. Bogotá: Ministerio de Cultura. Museo Nacional de Colombia. (2010). Navegando por una nación. Bogotá: D’Vinni SA. Novelio, V. (marzo de 1984). La cultura obrera, una contrapropuesta cultural. Nueva Antropología VI(23), 45–56.

Chapter 6

Integrating Policy: The Historic Urban Landscape Approach in Amsterdam Loes Veldpaus and Helma Bokhove

Abstract This chapter focusses on the question of how the Historic Urban Landscape approach influenced Amsterdam’s conservation planning policies. The research made use of a policy analysis tool (Fig. 6.1) developed to cross-relate policies in a multilevel governance setting. This tool supported the analyses of local heritage policies and policy practices (Veldpaus, Historic urban landscapes: framing the integration of urban and heritage planning in multilevel governance. Eindhoven. Retrieved from http://www.tue.nl/en/publication/ep/p/d/ep-uid/482697/, 2015; Veldpaus, Pereira Roders, Learning from a legacy: Venice to Valletta. Change Over Time 4(2):244. Retrieved from http://muse.jhu.edu/journals/change_over_time/, 2014) in a series of three workshops (May 2014) and a set of six follow-up peer interviews (December 2016). The tool  relates heritage management processes to heritage concepts, following  the HUL recommendation (UNESCO, 2011). The tool is based on an analysis of international guidelines and offers a systematic way to assess and reflect on policies and practices in relation to the used definitions of heritage. The aim of this tool is not designed to judge the appropriateness of local policies or rate their successfulness, but rather to understand which concepts of cultural heritage are used and how they are applied in order to discuss them more in depth. The chapter focusses on the insights from the workshops and interviews that emerged by revealing differences between HUL and local policy, as well as differences in the used heritage concepts between Amsterdam’s urban planning and heritage management officers. While the focus of this chapter is on HUL in Amsterdam, the wider aim of the research is to develop a tool to support systematic comparative policy analysis. L. Veldpaus (*) School of Architecture, Planning & Landscape, Newcastle University, Newcastle upon Tyne, United Kingdom e-mail: [email protected] H. Bokhove Programme Manager Central Borough (Stadsdeel Centrum), Amsterdam, The Netherlands e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_6

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Keywords  Collaboration · Multilevel governance · Workshop · Peer interviews · Policy analysis, discussion and development · Heritage practices, policies, and conservation planning

6.1  Introduction: HUL as a Landscape Approach The Historic Urban Landscape approach uses a definition of landscape that is universal, dynamic, hierarchical, and holistic and understood or managed through an integrated, multidisciplinary approach that embraces all its components (Brown et al. 2005; Taylor et al. 2015). The landscape approach is therefore not about transformation in itself but about guiding the nature of the transformation. It addresses the people and the quality of the resources and relationships that form a landscape over time (Cortina 2011; Dalglish 2012). To manage heritage, a wide range of policies, laws, and regulations are readily available. These laws, principles, and guidelines influence each other and are also influenced by the evolving understanding of the nature of cultural heritage (Pickard 2002). Whether the policies and laws that apply are very rigid, more indicative, or mostly absent, they have an impact on the historic built environment, historic preservation, and the perception of heritage. They not only set limits of acceptable change but also effectively decide what is considered heritage, officially and, more broadly, perceptually. Therefore it is important to go beyond a theoretical discussion on the heritage concept and reveal, compare, and reflect on how it is used in policies and practices. HUL is based on the premise that heritage is a process, a process of people (who) assigning value (why) to something (what). Supranational policies often use limited concepts of heritage, setting strict categories as to who can define heritage, what can become designated and why, and even how heritage has to be dealt with. HUL operates in a wider context of ideas and guidelines that is moving away from these restrictions. HUL, as such, aims at a process of heritage production and management in which the who, what, why, and how are not restricted to certain categories or experts but inclusive and open. This chapter presents the results of an analysis of Amsterdam’s urban and heritage policies and their relation to what the HUL approach recommends in this respect (Veldpaus 2015). The analysis aims to reveal, compare, and discuss the heritage concepts as used in local policy in relation to the HUL approach and reveal the discrepancies and similarities. This then does not provide a solution but a platform for debate among and between the various departments in local government involved in the urban management. The review of Amsterdam’s urban and heritage policy using the policy analysis tool does two things. First, it reveals the discrepancies and similarities between what HUL recommends and what is the practice according to local policy makers. This is not to judge or rate the implementation of HUL, but for local policy makers and officers to assess and reflect on their practices and decide whether or not to revise their policies or practices. Second, the tool aims to  support  discussion to stimulate the integration of urban and heritage policies and practices. It facilitates

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comparison of the interpretations of local policy between urban and heritage ­departments and reveals potential obstacles in the integration of those policies and practices across those departments. The policy analysis tool breaks down the definition of heritage into smaller portions, allowing the concept to be discussed more easily. Putting those pieces back together as an integrated narrative then reveals known and unknown gaps in policies and between practices.

6.2  Analysing Policy Practices: An Approach The policy analysis focusses on four main questions: What is heritage? Why is it heritage? Who is involved in the process of heritage management? How is the process organised (What, Why, How, and Who, Figs. 6.1 and 6.2)? The categories in the analysis tool are deducted from supranational heritage documents as produced over the past decades (Veldpaus 2015; Veldpaus and Pereira Roders 2014). Amsterdam’s policy practices were analysed in a series of three focus group workshops in 2014, to introduce, fill out, and discuss the heritage concepts and crossrelations in the tool (Fig. 6.1) and its results. The results were further reflected on in a follow-up lecture (April 2016) and in a series of six follow-up peer interviews conducted in November and December 2016.1 The workshop and the peer-interview methods were chosen to create a collegial setting close to the normal context the participants work in. The aim was also to stimulate cross-disciplinary debate between departments and levels of governance, WHY values governmental

experts

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WHAT intangible attributes

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tangible attributes asset related

societal

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WHO actors

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taxonomy definitions

Building element

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Ensemble

Context or setting

The result of layering

Area

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Concept or artistic trend

Relation(s) to context (location)

Character

Use, function

Knowledge, traditions, practices

Relation(s) to meaning (association)

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Aesthetic value

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Politicians

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step 1 - inventory resources step 2 - define value

step 5 - integrate strategies step 6 - prioritize

H HOW

step 4 - develop strategy

process steps

step 3 - define vulnerability

step 7 - built partnerships step 8 - monitor resources

Fig. 6.1  Policy analysis tool cross-relating the how with the what, why, and who categories, based on the how column of the wider analyis framework in Fig. 6.2

1  Peer-interviews were conducted by the 2nd author of this chapter, who at the time of research was the manager of the Amsterdam World Heritage Bureau.

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x Values Values x

Values

Values x

Values x

Values Values Fig. 6.2   Wider Analysis Framework

as suggested by HUL, by creating an environment open for honest debate and reflection on daily practice. The three workshops were held with policy officers from both urban and heritage departments in Amsterdam municipality. Follow-up peer interviews were conducted about 2  years later. For the workshops, we invited policy officers in the fields of heritage management and urban planning, working wither for the district/conservation area (Central Borough) or the wider city/region. This was done to enable an overview and comparison of the different groups. The participants came from a variety of departments within Amsterdam: the Planning Department (R&D), Bureau of Monuments and Archaeology (M&A), the Central Borough District, and Bureau of World Heritage (BWE). The peer interviews were with individuals from each of the categories, but not all of the interviewees were present at the workshops.

6.3  HUL: Process in Practice, Practice in Process UNESCO’s General Conference (2010) recommended ‘Member States and relevant local authorities identify within their specific contexts the critical ­ steps  (Fig.  6.1  how) to implement the Historic Urban Landscape approach’ (UNESCO World Heritage Centre n.d.). In the workshops, the participants agreed that while those process steps are familiar and in an ideal world they would be followed, they do not necessarily reflect reality. Political choices, biases, and ‘everyday reality’ all play their role in influencing which of the steps are implemented, to which extent, and in what order. The selection and order of steps taken is, consciously or not, tailored per project. In the follow-up interviews, it became clear that the HUL steps had become a consciously used tool by some heritage officers. The recommendation and the provided steps are considered a valuable guide. They stimulate genuine consideration of process, as well as the issues mentioned

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in the steps, such as sustainability, climate change, and participation. For most however, the focus is on using the principles, and the importance of using an integrated approach, rather than the systematic application of the suggested steps. Across the workshops and the interviews, the participants expressed that they feel they are implementing HUL to a certain extent, if only because the integration of urban and heritage policies is part of the strong planning tradition which is in ‘Amsterdam’s DNA’.

6.4  The Heritage Concept in Practice Looking at the results of the workshops and follow-up peer interviews, we would like to share a selection of the results considered particularly  valuable by the Amsterdam policy officers and that may be relevant in a wider context. Reflecting on Amsterdam’s policies through the HUL workshops showed that the conceptualisation of heritage in Amsterdam is becoming broader. This broadening is characterised by, for example, a move towards looking at more comprehensive areas, including younger assets, and going beyond values more traditionally associated with heritage, such as aesthetic and historic values, by including economic and social values. At the same time, the results of the workshop demonstrated that while there is broadening, a relatively traditional conceptualisation of heritage is still more common in heritage policy in Amsterdam. When looking at what is considered heritage in daily policy practice in Amsterdam, the results reveal a focus on objects and areas, and much less on for example the wider landscape. It was confirmed by the participants that most of the policy known to and used by them was directed at assets and areas and less at the entire urban landscape. Although some participants argued that the ‘landscape-based’ approach was an important part of the local policy, it soon became clear that their definition of ‘landscape-based’ corresponded with the area-based concepts of heritage in the policy analysis tool. This shows how important discussion on concepts and interpretations is, and the tool very much stimulated this discussion. The importance of being aware of significant differences in interpretations of key definitions was one of the insights that emerged from the workshops. While a variety of interpretations is not problematic in itself, the used concepts have to be discussed, and practices analysed, to ensure common ground (Hajer 1993). A similar issue arose around the definition of intangible heritage. The discussion on intangible heritage confirmed that the main focus in Amsterdam is on the tangible, the material, and intangible heritage is considered a somewhat ‘foreign’ concept. One of the participants indicated that the intangible would be ‘a bonus that follows the tangible’. The discussions revealed that despite the fact that there is less familiarity with it, intangible heritage is considered valuable. It, however, has no significant position in urban management, mainly because the participants perceived a lack of tools to deal with it in this context. Policy makers in Amsterdam do feel that the importance of intangible heritage has been growing in recent years, and there is a clear interest in improving understandings of how

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to deal with intangible heritage. One reason the concept is unclear might be the way it was introduced to most of the workshop participants. The concept ‘intangible heritage’, as applied in Amsterdam, it appears, has mostly been introduced by how it is defined in the World Heritage nomination file (2010). Notably, ‘intangible heritage’ was not introduced into Amsterdam policy as a concept with a general definition; it was only introduced by its application in the context of this specific WH nomination, leaving it up to the policy officers to deduce the more general definition of intangible heritage for use in their daily practice. The workshop provided a valuable platform to discuss the concept further.

6.5  Participation in Heritage In HUL there is a strong emphasis on being inclusive and having all stakeholders around the table. Particularly, it focusses on community involvement in all stages of the process. The results from the workshop showed that governmental stakeholders in Amsterdam mostly work with other governmental stakeholders, implying an inward focus when it comes to the management process. The results also showed that the local community would mostly be informed about decisions, rather than have a more active or decision-making role in the process (see Fig. 6.3). Moreover, local community participate mainly  in the part of the process that is about

decision making enrolled Total amount of answers in %

consulted informed

Results per taxonomy definition | who

Fig. 6.3  Results of the tool on the question ‘“who is involved, and how’” in heritage projects in Amsterdam the result from all steps aggregated per type of stakeholder group

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identification of heritage and not for example in the management of it. The participants received this low ‘score’ on participation as a somewhat surprising and disturbing result, as they considered their approaches highly participatory. However, they also confirmed that there was no standard procedure to actively involve the community throughout the process. While participants felt they work more with local communities than legally required, they also concluded they should probably strengthen community involvement and, rather than aim to reach more people, develop more active forms of participation. The follow-up interviews, carried out  two  years later, reveal a more outward-­ looking focus and more active participatory practices. The main challenge identified by the interviewees is around the implementation of collaborative practices. They are becoming more common, and some innovative participation pilots are being undertaken at the moment  of interview. However, the best approach  is still very much debated. Co-creative practices, or the lack thereof, they feel, should not depend only on vocal societal groups; it should be an active undertaking by the municipal organisation to involve a wide and diverse audience. This then leads to the question of ‘how to deal with dissonance and different voices’, as well as how to deal with expectations and expectation management. Clarity on where the decisive power lies and who has which responsibilities is considered very important, so as to not raise unrealistic expectations. These questions link back to the issue revealed by the 2014 workshops that participation is mostly undertaken in earlier stages of the HUL process, e.g. the identification of heritage, while the management of it remains a responsibility of the municipality. That can easily lead to unrealistic expectations, when an identified ‘wish list’ of heritage sites does not match the reality of available capacity or financial resources in the municipal organisation. While the focus is on collaboration with citizens and entrepreneurs, improving the outward focus also includes nurturing stronger and more numerous partnerships and collaborations with knowledge institutes and commercial stakeholders.

6.6  HUL and the Integration of Urban and Heritage Policies HUL emphasises the importance of ‘the integration of historic urban area conservation, management and planning strategies into local development processes and urban planning’ (UNESCO 2011). Looking at the integration of heritage and planning and the similarities and differences in approach between the heritage and urban departments was therefore an important part of the research. In the workshops, the participants expressed a need for further integration of policies and thinking. One of the differences identified between urban and heritage departments, through the tool and the discussions, was that the heritage department is proactively defining what is of value and develops policy to protect those values against potential threats. Conversely, in urban departments, the idea of proactively defining the vulnerabilities of a certain area to then develop policies, plans, or projects was more common. As with the differences in definitions, it is not about

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the difference in focus but about awareness of this difference. Another identified difference was the scale of their work. In the process of identifying value or vulnerabilities, heritage departments tended to focus on objects and areas, while the urban departments focussed on areas or the entire urban landscape. The follow-up interviews show how the perception of integration of policies evolved over the past years. The interviewees are more confident that Amsterdam is using an integrated approach and refer to this process of improved integration in a positive way. There were substantial changes to the administrative structure after elections in 2014. One of the changes regarded the role and responsibilities of the ‘sub-municipal’ (borough) councils, and policy making powers shifted, and in 2015 this was followed by a large-scale reorganisation of Amsterdam’s civil service. This resulted in the creation of an umbrella department of Space and Sustainability (dienst Ruimte en Duurzaamheid) for all of Amsterdam, which includes integrated area teams per urban district, as well as special project teams for large-scale urban projects, and ‘team-city’, covering wider Metropolitan developments. The daily practices of urban development in Amsterdam are now mostly organised around those area teams which focus on a broad understanding of spatial quality. This area-­ led governance structure creates urban development partnerships in which heritage is represented by someone throughout the entire process. As such, heritage officers feel they are better positioned to provide advice on how to deal with the significance of heritage in planning and projects. This, according to the interviewees, not only supports an integrated approach of working, it also stimulates interdepartmental learning. The structure also provides chances for a better embedding of the HUL approach, as taken forward by the heritage department. However, interviewees emphasise that, in addition to the modified system, the role of a few very enthausiastic and engaged individuals pushing for better integration and collaboration was, and still is, significant and instrumental. While the area teams are considered a positive change, the new governance structure also means the decision-making is more centralised and the political power moved ‘up’. Decisions are now being made on city level, rather than borough level. This, it is felt, leads to the risk of decreased understanding and acknowledgement of the more particular issues and values of the specific areas, as the direct connection between decisions and the area management has been lost. This is also the case for the even more abstract regional level and planning documents such as the regional structural vision. So the area-led approach provides a platform for on-the-ground application and dissemination of the principles of HUL without it being part of formal city or regional policy. It was suggested that a workshop to develop a heritage-led regional vision, might provide a very productive joint exercise to overcome the disconnect between governance levels. Nonetheless, all interviewees mentioned the area-led approach as an important step towards an integrated way of working. Other tools are also considered important in the process of integration. The Dutch National Planning Policy, for example, has become much more sensitive to heritage arguments, heritage-led planning, and integrated approaches with subsequently the Belvedere program (1999-2009), the ‘Character in Focus’ policy (de Boer and Visie voor erfgoed en ruimte project group 2011), and most recently the new integrated Heritage Act (Ministerie van

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Binnenlandse Zaken en Koninkrijksrelaties 2017; Rijksdienst voor het Cultureel Erfgoed 2016). Heritage policy however, will still be ‘split’ between the Heritage Act and the upcoming Environment and Planning Act (Ministerie van Infrastructuur en Waterstaat n.d. (foreseen for 2021) which is currently being piloted. This new Environmental Act will encompass over 25 Acts related to spatial planning and is considered ‘heritage friendly’ as it seems much better positioned to provide opportunities for integrated planning according to the interviewees. On a local level, tools that support integrated planning are the land use and zoning plans, which now have to have a heritage ‘layer’. Moreover, high-rise impact assessments need to be undertaken for proposed high rises close to the World Heritage site in Amsterdam. Anticipating the upcomming Environmental Act, the former ‘welstandscommissie’ of Amsterdam (aesthetic quality committee) has been reformed into a spatial quality committee, widening their scope and remit. Finally, Amsterdam has renewed its ‘heritage agenda’ (2016) which sets out actions in relation to how to integrate heritage in a citywide agenda, and the city has also appointed a ‘Monumentenloods’ (MonumentsMentor) to give advice and support citizens in their dealings with heritage assets they own or want to protect or develop. These tools are all mentioned in the interviews as supporting an integrated approach to planning, but  the people are still the main drivers. The interviewees mention that multilevel governance is still a challenge, if only because different levels of planning have different levels of abstraction and different aims and objectives. It is felt that the linkages between the plans for the wider urban landscape and the area plans could still be improved. For example, the acknowledgement of heritage in the more abstract plans could go beyond the designated structures of heritage such as conservation areas, listed buildings, and archaeological areas. Heritage potential in, for example the periphery, or developing wider urban or regional links could be explored. There is even a suggestion that the process could be turned on its head by developing a heritage-led regional vision, which then integrates mobility, sustainability, housing, etc. Here again the differences in definitions (discourse coalition, Hajer 1993) arise, especially around concepts of integrated planning and local character. While similar terminology is used, meanings deviate. This time, however, not so much between urban and heritage policy workers, but between levels of abstraction and governance (region, city, and area). Despite this, there is also much common ground to work with, and while differences in opinion between urban development and heritage officers will remain, it is felt they are growing closer, and collaboration is considered vital by all interviewees.

6.7  Reflecting On, and Learning With Most of the discussion points come back to one main issue: the importance of continuous reflection and debate. Heritage management, as a cultural practice, needs inclusive and ongoing debate and the reconsideration, redevelopment, and reiteration of the concepts and ideas that define it. Debate, through internal and external

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exchange of practices, experiences, knowledge, and ideas, is vital to reflect critically on current policies and practices. The Amsterdam participants have been very open to learning about HUL and debating their own practices throughout the years of collaboration. The results show that the process of learning from discussing the evaluation of one’s practices is considered valuable. This learning could be developed further by taking a more longitudinal approach of workshops and comparison of, for example, discussion and tool results in time. Participants also felt that internal sharing of knowledge could be better, being more explicit about what internal knowledge there is, making time for sharing, and exploiting it further. Moreover, learning from other cities could be increased. Generally, an emphasis on and need for reflecting and learning is expressed, whether that occurs internally or externally, through sharing practices, experiences, knowledge, and ideas. Further increasing the collaboration with citizens and entrepreneurs and creating stronger partnerships and collaborations with knowledge institutes and commercial stakeholders will also support this. Collaboration between Amsterdam and the university has been a positive experience in this process of learning from and reflecting on practices. The interviews showed that the HUL approach had been introduced to most of the participants during a formal collaboration between Eindhoven University of Technology2 and Amsterdam Municipality between 2011 and 2017. This collaborative programme, including student placements, lectures, and HUL workshops, was considered a useful element in learning more about HUL and discussing heritage concepts and policy practices. The collaborative programme was not set up to just collect data for research; it was explicitly designed in a way that would make it mutually beneficial. Both researchers and policy officers could develop and discuss ideas of heritage and heritage management, meet and better understand each other, and take a moment to stand back and reflect on their daily practice. For most of the participants in Amsterdam, the HUL as an approach provides valuable principles and underlines the importance of using an integrated approach. While the citywide implementation of HUL approach in the literal sense is not on the agenda, it stimulates thought about the issues mentioned in the steps, such as sustainability, climate change, and participation. The use and mobility of concepts in multilevel governance is also important to consider, by both local governments and supranational bodies such as UNESCO. In Amsterdam, we saw the term ‘landscape approach’ being used for existing practices (e.g. area-based approaches) and relatively new concepts such ‘intangible heritage’ being inserted into local policy and practice without providing solid background knowledge. This can easily lead to confusion and reiterates the importance of open and reflective discussions to increase awareness of differences between academic and policy ‘speak’ as well as internal varieties between departments and governance levels and the expectations that come with this. 2  First author was working at Eindhoven University of Technology, Department of the Built Environment at the time of conducting the main part of the research (2013-2014). This chapter presents results from both that fieldwork and the follow-up peer-interviews (2016).

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Another issue to highlight is that any of the felt improvements, were to a large extent felt to be dependent on having ‘the right people in the right positions’. For example, the more integrated way of working between the urban and heritage departments on projects is attributed to a few people ‘leading by example’ and really making an effort to put those ideas into practice and support those who were willing to contribute to the process of integration. As much as this is mentioned as a positive experience, being dependent on particular people is also recognised as a potential problem. A final point of reflection is to come back to the need for continued debate. A follow-up workshop would be considered very valuable by the Amsterdam participants. This not only confirms the previous points made about reflection and discussion but also provides the opportunity to further develop the policy analysis tool. Applying it again in Amsterdam would make a longitudinal comparison between the results possible. Going further, future research could apply the tool in other locations to compare results and discuss the differences in approach, concepts, and solutions, and thus facilitate learning from other cities. This would not be to rate cities or judge them but to learn from, and discuss, each other’s approaches and choices. This research was designed to allow for more systematic review of policy practices. As the method was only comprehensively tested in Amsterdam, it would benefit from further testing and nuancing (Veldpaus 2015, p.  112) and indeed constant debate and reflection. In addition to learning from the outcomes in Amsterdam, applying it in other localities could potentially be beneficial for other cities too, and this would also be relevant for the development of the method.

References Brown, J., Mitchell, N. J., & Beresford, M. (2005). The protected landscape approach: Linking nature, culture and community. IUCN – The World Conservation Union. Cortina, A. (2011). Landscape ethics: A moral commitment to responsible regional management. Ramon Llull Journal of Applied Ethics, 1(2), 163. Dalglish, C. (2012). Archaeology and landscape ethics. World Archaeology, 44(3), 327–341. https://doi.org/10.1080/00438243.2012.723320. de Boer, T., & Visie voor erfgoed en ruimte project group. (2011). Character in focus: Vision for heritage in spatial planning/Kiezen voor karakter, Visie erfgoed en ruimte. Ministerie van Onderwijs, Cultuur en Wetenschap. Retrieved from http://www.culturalheritageagency.nl/sites/ default/files/u6/publicatie_Characterinfocus%5B1%5D.pdf Hajer, M. (1993). Discourse coalitions and the institutionalization of practice: The case of acid rain in Britain. In F.  Fischer & J.  Forrester (Eds.), The argumentative turn in policy analysis and planning. Durham: Duke University Press. Retrieved from http://www.oalib.com/ references/9344492. Ministerie van Binnenlandse Zaken en Koninkrijksrelaties. (2017). Erfgoedwet. Pub. L.  No. BWBR0037521/2017-09-01. Retrieved from http://wetten.overheid.nl/ BWBR0037521/2017-09-01. Ministerie van Infrastructuur en Waterstaat. (n.d.). Revision of environment and planning laws. Retrieved January 25, 2018, from https://www.government.nl/topics/ spatial-planning-and-infrastructure/revision-of-environment-planning-laws

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Pickard, R. (2002). A comparative review of policy for the protection of the architectural heritage of Europe. International Journal of Heritage Studies, 8(4), 349–363. https://doi.org/10.1080/ 1352725022000037191e. Rijksdienst voor het Cultureel Erfgoed. (2016). Heritage Act 2016. Retrieved January 25, 2018, from https://cultureelerfgoed.nl/publicaties/heritage-act-2016. Taylor, K., Mitchell, N. J., & Clair, A. S. (2015). Conserving cultural landscapes: Challenges and new directions. New York: Routledge. UNESCO. (2011). Recommendation on the historic urban landscape. Retrieved from http://portal. unesco.org/en/ev.php-URL_ID=48857&URL_DO=DO_TOPIC&URL_SECTION=201.html. UNESCO World Heritage Centre. (n.d.). Recommendation on the historic urban landscape. Retrieved January 25, 2018, from http://whc.unesco.org/en/hul/ Veldpaus, L. (2015). Historic urban landscapes: Framing the integration of urban and heritage planning in multilevel governance. Eindhoven. Retrieved from http://www.tue.nl/en/ publication/ep/p/d/ep-uid/482697/ Veldpaus, L., & Pereira Roders, A. (2014). Learning from a legacy: Venice to Valletta. Change Over Time, 4(2), 244. Retrieved from http://muse.jhu.edu/journals/change_over_time/.

Chapter 7

The Transformational Power of the HUL Approach: Lessons from Ballarat, Australia, 2012–2017 Susan Fayad and Kristal Buckley

Abstract  This paper highlights the transformative power of the HUL approach by exploring its innovative application in the City of Ballarat, Australia, since 2012. Part of the global pilot phase for the HUL, Ballarat is notable for its mainstreaming of HUL principles by local government. This has had diverse and impressive outcomes – heritage and culture have completely permeated the city’s work; new community engagement models are being developed and implemented; and many more partners of all kinds are buying in to a bigger vision about culture and identity than before. A broader cultural shift can be observed in Ballarat, and HUL has been an ‘energiser’ for others to try new things. Ballarat’s experience not only highlights how local government practice can be transformed; it predicts transformational change at other levels of government and for heritage practice itself. Keywords  Historic urban landscape · Ballarat · Urban conservation · Heritage practice · Local government · Community engagement · City management · Sustainable development

7.1  Introduction The twenty-first century has been termed the ‘urban century’, but for much of the twentieth century, the challenges posed by a global upswing in urbanisation have been part of international development discourses. These have provoked sweeping high-level policy responses that have shifted the contexts for ‘urban heritage conservation’ and its ability to contribute to larger questions about the social, economic and cultural futures. As communities, city governments and other actors strive for S. Fayad (*) City of Ballarat, Ballarat, VIC, Australia e-mail: [email protected] K. Buckley Deakin University, Burwood, VIC, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_7

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urban environments that accommodate greater numbers and more diverse residents and uses, safeguarding and celebrating distinctive cultural and natural legacies needs bigger thinking and more versatile tools. The search for these is increasingly recognised as a shared quest, across immense differences, settings and scales; and the exchange of experiences has proven powerful in motivating practitioners and decision-makers (Bandarin and van Oers 2012, 2015). This book focusses attention on the 5  years of dialogue, experimentation and implementation of UNESCO’s 2011 Recommendation on the Historic Urban Landscape (HUL) (UNESCO 2011). The waves of shifting paradigms for cities and heritage have also emerged in the global policy discourses of sustainable development and urbanism and coincide with a ‘cultural turn’ in the international development sector (Winter 2015). In the lead up to the adoption of the 2015 United Nations Sustainable Development Goals (SDGs) (United Nations 2015), UNESCO and other organisations advocated for the inclusion of ‘culture’ in the renewed development agenda with a campaign tagged as ‘the future we want… includes culture’ (#culture2015goal; UNESCO 2015). While this was not adopted in its entirety, the SDGs now include various references to culture, and one specific reference to heritage. New work to operationalise the urban heritage target in the SDGs (target 11.4) and the adoption of the ‘New Urban Agenda’ by Habitat III in 2016 (UN Habitat 2016) now sits alongside the implementation of the HUL. In Australia, the ideas, methods and mechanisms suggested by the HUL have attracted attention in various urban locations but especially in the central Victorian city of Ballarat, which joined the HUL pilot program in 2012. Within the global pilot phase for the implementation of the HUL, the City of Ballarat is notable for its ability to demonstrate the role of the local or municipal government in leading the dialogue and developing new approaches. This paper reflects on the transformational possibilities that have been revealed for Ballarat, and the potentially powerful role of local governments. The transformative work is seen best in ‘how’ decisions are made, especially in the quest for better insights, evidence and knowledge that underpin them. The municipality of the City of Ballarat is located in the traditional country of the Wadawurrung and Dja Dja Wurrung peoples, in what is now known as the Central Goldfields region of the State of Victoria in south-eastern Australia. Melbourne, the large metropolis and state capital, is located approximately 115 km to the southeast (Fig. 7.1). The most valorised characteristics of Ballarat’s urban form and architecture were established during the rapid transformations of landscapes and populations that characterised the Victorian gold rush from the 1850s (Fig.  7.2). Today’s Ballarat includes this historic centre and a number of nineteenth- and twentieth-century suburbs, each with their own characters, cultures and histories. Ballarat is therefore comprised of a number of separate but interlocking urban and rural landscapes, shaped fundamentally by the resources and constraints of the natural environment (Context Pty Ltd 2013). Ballarat is a thriving regional city of over 100,000 people1 1  The municipality of Ballarat includes urban, rural and satellite townships over a land area of 73,867 hectares (739 km2) and overall population density of 1.36 persons per hectare.

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Fig. 7.1  Location of the city of Ballarat in Australia and the State of Victoria. (Source: City of Ballarat)

Fig. 7.2  The historic central business district sits high on a basalt ridge overlooking the Eureka goldfields below and is known for both its architecture and setting. (Source: Falcon Aerial Photography & Video for City of Ballarat)

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and is a major driver of regional growth and development, providing services to more than 400,000 people. It is a city with a long legacy of manufacturing and ­agricultural support, although its economic future is changing as these sectors ­restructure. Discussion about ‘change’ is a constant in Ballarat, particularly in light of forecasts which have identified it as the fastest growing regional city in the State (The Courier 2014). Projections of population growth predict that Ballarat will need to accommodate a 60% population increase between 2015 and 2040 (City of Ballarat 2015a), bringing discourses about the future into the sometimes-uneasy present. There will be new communities, new urban elements, new uses and new demands on infrastructure. There are community concerns about how these changes can be accommodated by the city, and the impacts on Ballarat’s historic character. These are new contexts for the city council’s thinking about the purposes of heritage. Heritage has become a focal point in local politics, and the politics of managing change was one of the motivators for the city government to formally engage in the HUL. In 2013 the City of Ballarat became the first local government in the world to sign onto an international HUL pilot program. Joining the global HUL pilot was made possible by formal partnerships between the City of Ballarat and the World Heritage Institute of Training and Research for the Asia and the Pacific Region under the auspices of UNESCO (WHITR-AP)2 (Shanghai, China) and Deakin University (Australia) (WHITR-AP and City of Ballarat 2013). However, as this paper will demonstrate, this was a small beginning to what has become a multitude of creative partnerships.

7.1.1  Heritage Practice in Australia To understand the differences made possible through the use of the HUL in Ballarat, it is useful to briefly outline the existing regulatory and practice frameworks that establish and guide heritage conservation in Australia. Australia is a federation of six States and two self-governing Territories. The Australian Constitution creates a finite list of powers for the national (or ‘Commonwealth’) government, leaving most powers related to the identification, protection and management of heritage to the States and Territories (Boer and Wiffen 2006). The Commonwealth government deals only with matters of national significance; and each of the States/Territories has established legal frameworks for heritage. For the most part, there are separate laws, policies and agencies for each of what have been termed the ‘three environments’: • Natural Heritage – focussed primarily on the system of protected areas, threatened and endangered species and the conservation of biodiversity. 2  WHITR-AP is a Category 2 Centre under the auspices of UNESCO, providing a platform for relevant UNESCO strategic programs.

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• Indigenous Cultural Heritage  – the cultural heritage of Aboriginal and Torres Strait Islander peoples, including the continuing cultural traditions and tangible evidence of the immense time depth of the human history of the continent (at least 50,000 years). • ‘Historic’ Cultural Heritage – associated with the histories of both Indigenous peoples and the culturally diverse non-Indigenous peoples that have migrated to Australia since the British invasion and colonisation of the Australian continent in the late eighteenth century The conceptual framework of ‘values-based management’ of heritage is well established in Australian legislation and practice, including through the relatively widespread use of the Australia ICOMOS Charter for Places of Cultural Significance (‘the Burra Charter’). First adopted in 1979 and revised several times since, the Burra Charter (Australia ICOMOS 2013) is a non-government document, but it has co-evolved with Australian government legislation and policy, and its influence on the dialogue about heritage conservation has been substantial (Walker 2014). Aboriginal and Torres Strait Islander cultural heritage is protected by Commonwealth and State/Territory laws (Boer and Wiffen 2006). These are informed by human rights instruments such as the United Nations Declaration on the Rights of Indigenous Peoples (UNDRIP) (United Nations 2007) and the historic decision of the Australian High Court in the ‘Mabo case’ of 1993 that recognised the existence of native title at the time of British colonisation and its persistence into the present (Australian Institute of Aboriginal and Torres Strait Islander Studies 2015). In the State of Victoria, Aboriginal cultural heritage is protected and managed through the recognition of Traditional Owners who are empowered to make decisions concerning the protection and impacts on places of cultural significance to Aboriginal people (State of Victoria 2006). In Australia, intangible cultural heritage is far less established in legislation, policy and government programs than ‘place’ heritage. Despite its long-standing participation in the 1972 World Heritage Convention (UNESCO 1972) and 19 World Heritage properties (UNESCO 2017), Australia has yet to indicate any intention to ratify the UNESCO Convention for the Safeguarding of the Intangible Cultural Heritage of Humanity (UNESCO 2003). Nevertheless, in 2016, Victorian Government legislation for Aboriginal heritage was revised to establish, for the first time in Australia, specific legal mechanisms for safeguarding the intangible heritage of Aboriginal peoples (Aboriginal Victoria 2016). Local governments (councils) are established by the States and constitute the third ‘tier’ or ‘sphere’ of government in Australia. There are 560 local councils in Australia (ALGA 2017), which operate according to State laws. This level of government is the responsible authority for the majority of Australia’s statutory protected heritage (HCOANZ 2008). For the City of Ballarat, this includes identifying and protecting heritage in the Ballarat Planning Scheme (City of Ballarat 2017b); acting as an approval authority for development that has potential to impact

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Indigenous and non-Indigenous heritage; as an owner of local, state and nationally significant heritage; and as a manager/trustee of heritage on behalf of the State (HCOANZ 2008). Planning structures are especially significant in determining heritage outcomes at the local level. In Victoria, a standardised system for planning schemes includes the imperative for local councils to establish a schedules of places of historic heritage significance that are then subject to the provisions of the ‘Heritage Overlay’ planning controls. To assist, most councils employ specialist ‘Heritage Advisors’ and planners. The many ‘heritage versus development’ conflicts that arise are resolved by council decision-making processes or through State appeal mechanisms. Development interests and community activists alike are adept in using these mechanisms, leaving council staff in the middle of what are often highly-contested processes. In this typical scenario, there are few opportunities taken to look more broadly at the urban environment, to look beyond the tangible attributes of heritage or to engage in dialogue with citizens about the future.

7.1.2  Heritage Practice in Ballarat Ballarat is well-known for its history and heritage – especially its gold rush history and lavish Victorian era city centre streetscapes.3 These form part of local and regional tourism promotion and product development. The communities of Ballarat are diverse, but citizens are accomplished participants in heritage advocacy, and there are several long-standing active community-based organisations. The systems in place for the identification and protection of heritage places in the City of Ballarat constitute a well-developed example of the generalised Australian snapshot presented above. There is 1 place in Ballarat entered in the National Heritage List and more than 60 individual places on the Victorian Heritage Register (deemed to meet the high threshold of ‘state’ significance and managed through the provisions of the state Heritage Act [State of Victoria 2017]). However, the majority of the municipality’s historic heritage places  – including 26 precincts  – are protected and managed by the City of Ballarat through the provisions of its planning scheme (Fig.  7.3). These places have been identified through a large number of professional studies conducted since the late 1970s. The City has been responsive to its heritage responsibilities. There are over 10,000 properties included in protected by heritage controls, generating ongoing work to conduct statutory planning assessments for development. At the same time, the provisions of the Victorian Aboriginal Heritage Act 2006 (State of Victoria 2006) require investigations and development of agreed management plans for places with Aboriginal heritage values before planning permission can be granted for certain types and scales of development.

 Victorian era buildings include those built between 1840 and 1901.

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Fig. 7.3 Ballarat’s heritage overlay areas (highlighted in red) are extensive and cover most of the city’s central urban area. (Source: City of Ballarat)

Until the HUL program began, the City’s heritage-focussed financial and community engagement tools served to support the regulatory framework. The strategy adopted in 2010 ‘Preserving Ballarat’s Heritage’ introduced initiatives to respond to pressures arising from the regulatory framework such as advisory services; financial support for private, commercial and not-for-profit owners of listed heritage places (Ballarat Heritage Restoration Grants); and community engagement programs targeting conservation in protected heritage areas (Ballarat Heritage Awards) (City of Ballarat 2010). It is paradoxically because the systems and programs for heritage protection were well established in the City of Ballarat that it was ready for the innovation promised by the application of the HUL.  The systems were highly evolved, ­supported and used, but somehow not always delivering good outcomes. There are many dimensions to this paradox, including: • Certain periods (gold rush) and place types (Victorian era buildings) were more easily established as more significant than others. ‘Historic’ heritage has become decoupled from natural heritage and Aboriginal cultural heritage (and vice versa). The same could be said for the artificial regulatory hierarchy of national/ state/local heritage recognition. Yet the experiences of place by local communities did not make these distinctions.

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• Heritage ‘battles’ were won or lost on a site-by-site basis, without a good sense of the qualities, uses and socio-economic contexts of the whole area, neighbourhood or streetscape. Adversarial systems of decision-making created ‘all-or-­ nothing’ polarisation of heritage and development interests, with a tendency towards ‘preservation’ of heritage rather than more dynamic ideas of ‘conservation management’. • While the Burra Charter and legislative frameworks provide for the recognition of ‘social value’, the decision-making processes for associative values are far less well established than for the ‘tangible’ attributes of important places. • The incorporation of ‘heritage’ within town planning processes has exposed important limitations. Listing processes are lengthy and often contested, resulting in variable outcomes and methods for heritage identification that are expert-­ driven and legally focussed. Heritage became a ‘problem’ or obstacle for development to overcome, and a tight and unpleasant spot for political actors.4 Ballarat’s heritage and planning practitioners are aware of the vulnerability of existing practice, based on their own experiences and from listening to people who have encountered the system. It is from these starting points that they recognised the potential of applying the HUL approach.

7.2  Transforming Practice in Ballarat 7.2.1  Starting to Work with HUL UNESCO’s Recommendation on the Historic Urban Landscape first came to the attention of the City of Ballarat through the League of Historical Cities 13th World Conference in Hue (Vietnam) in April 2012, 5  months after it was adopted by UNESCO’s General Conference. What appealed about the HUL was the enabling effect that it could have for local communities and practitioners to drive local solutions. Ballarat’s elected councillors signed an agreement with WHITR-AP in 2013, embarking on a comprehensive HUL program (WHITR-AP and City of Ballarat 2013). The city’s early involvement with the HUL pilot program was conducted in ‘good faith’ as there was little evidence available to demonstrate the impact of operationalising the broad brush and high-level concepts of the HUL ‘on-the-ground’.5

4  For a more detailed comparison of the HUL, Burra Charter and Practice see Buckley and Fayad 2017. 5  Programs in Edinburgh (http://www.ewht.org.uk/) and Zanzibar (WHITR-AP and City of Ballarat 2016) provided early inspiration for Ballarat’s practitioners, however, at the time there were no city governments formally applying the HUL in the way the Recommendation had foreshadowed.

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The approach was not a short-term fix, but its promise of a better and more sustainable future generated high expectations across the council’s organisation and in the community. It has therefore been essential to frequently set, achieve and communicate milestones in order to maintain the needed political and community support. This pressure to deliver early and tangible benefits has been challenging, especially as the early outcomes were more profound at the operational level but less visible on the ground. Stepping into the broad and integrated world of operationalising HUL from the position of local government was a difficult, yet motivating experience; and ‘seeing urban settlements as landscapes has had more profound impacts on the rethinking of approaches and methods than was anticipated at the start of the project for the City of Ballarat’ (Buckley et  al. 2016: 107). From the start, this critical shift to thinking about landscapes helped move mindsets beyond the regulatory frameworks. Ron van Oers (2015: 328) suggests that the HUL journey is about ‘making the planning framework a true instrument of twenty-first century forward-looking, ­pro-­active, inclusive and participative decision-making’. This has been the experience of the Ballarat HUL program since 2012. The usefulness of the international partnership in maintaining interest and motivation has been a factor. The ability of the mayor and elected councillors to enter into an agreement with UNESCO and its international partners, essentially bypassing the usual imprimatur from the national government, enabled Ballarat to be globally visible. At times, this added appeal to the HUL processes, creating the space and political and social capital needed to push for change. As the first Australian city to join the program – and the only one from Victoria – the City of Ballarat took seriously its outreach responsibilities; and at times, it seemed that the ties with UNESCO added greater credibility to these efforts. Transnationalism of the HUL pilot was also a key factor in its effectiveness. The international dimension of the program connected Ballarat with an increasingly helpful network across the globe that was a constant source of inspiration. Sharing experiences allowed the common characteristics of urban challenges to be more clearly appreciated; and the creation of a clearing house for the exchange of new tools enabled progress to be sustained (van Oers 2015). The network that is moving to establish the GO-HUL (Global Observatory on the Historic Urban Landscape) has been one of generous collaboration and great spirit that includes both researchers and practitioners who are passionate about furthering the reach of the HUL.

7.2.2  Actioning the HUL Day-to-Day Practicalities The methodology for Ballarat’s HUL pilot program is practical, exploratory and action-based. The process has been led and delivered by Ballarat’s local government practitioners, championed by the Ballarat City councillors and supported by

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Fig. 7.4  The HUL has been operationalised initially from within and across the local government’s wide-ranging organisational structure

scholars and a variety of consultants as opportunities presented themselves. The capacity and skill of practitioners and collaborators, political and organisational support, time and resources constraints and limitations and the day-to-day practicalities of implementing change were all factors in the implementation program (Fig. 7.4). No additional human or financial resources within the council were provided during the pilot phase. Instead, the methods used for delivering existing programs and projects evolved to help facilitate delivery of the HUL approach (such as realigning the Ballarat Strategy and refocussing heritage programs that were already underway) and new partnerships helped bring in new resources and research capacity.6 In addition to making delivery of HUL possible, this process required exploring, testing and building a participatory foundation, which has led to a deeper acceptance of the HUL approach across the organisation and with program partners over time. Change management and collaborative models were employed to progressively enable the relevance and benefits of HUL to be experienced across many areas of the organisation. Promotion of the program occurred through workshops, conferences and publications that aimed to connect Ballarat’s program with other practitioners. The growth of research partnerships demonstrates the momentum built around Ballarat’s

6  For example, a series of HUL-focussed conferences and workshops were only made possible through partnerships, the City of Ballarat providing venues and funding for catering and universities providing human resources and support for guest speakers. Other projects, such as the development of online tools, were progressed through local research partnerships rather than the more expensive (and less flexible) digital tools available on the market at the time.

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HUL program. Ballarat’s involvement in the HUL pilot program and its role as an innovating city provided a ready-made platform for project partners, consultants and researchers to engage at a highly visible international level (WHITR-AP and City of Ballarat 2013). The transformation of the role of the urban conservation practitioner under HUL was part of the process in Ballarat and had been foreshadowed by van Oers (2015: 328–329) who saw the need for new but not yet plentifully available skills in ‘… guiding people and interest groups, orchestrating processes, understanding different viewpoints, making them heard and practical to broader audiences’. Ballarat’s experience exactly mirrors these predictions and coordinating the program since its inception has required all of these skills. Following renewed commitment by the Ballarat City councillors to mainstream the HUL approach in 2015, a new multidisciplinary ‘Heritage and Cultural Landscapes’ team has been established, with greater resources, new skills and broader knowledge than the council functions it has replaced, highlighting further transformation underway. Operationalising HUL in Practice It was clear from the outset that the HUL required a ‘clean slate’ to test and explore its possibilities. City of Ballarat practitioners, research partners and consultants at Context Pty Ltd. came together in the first study made to operationalise the HUL. The explorations in Mapping Ballarat’s Historic Urban Landscape (Context Pty Ltd. 2013) opened a Pandora’s box in many ways, as those involved looked at the ‘usual’ practices in new ways and resolved to remain ‘unsettled’ and open to change without yet understanding how it could be achieved.7 The UNESCO Recommendation and the six critical HUL steps (action plan) provided the main framework, along with an emerging HUL toolkit. This toolkit remains fluid given that it comprises the experiences of the participating cities, practitioners and researchers (Bandarin and van Oers 2015); however, the exchanges made possible by the HUL network have been mutually beneficial (cf. Avila and Perez 2016). To effectively apply the six critical steps in a sustained and effective way, the City of Ballarat and its project partners have focussed on identifying tools that address identified challenges, changing what needs to be changed, value-adding to what could work better and leaving the things that work alone. Many actions listed in HUL’s six critical steps have been achieved, particularly at the macro level. However, tremendous and continued tenacity is needed to achieve the required mainstreaming (both inside and beyond local government), defining a ‘new normal’ in day-to-day practice.

 For more detail about these early steps, see Buckley et al. 2016.

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7.2.2.1  Step 1: A New World of Knowledge Applying Step 1 from within local government has resulted in a combined focus on research and practical realities, moving beyond exercises that only gather knowledge for narrow and time-bound purposes, towards thinking that includes how knowledge can be used more widely. Information is critical but needs to be practically usable and easily accessed. Priority was placed on creating a robust framework for community engagement, knowledge and planning tools that can visualise Ballarat’s ‘natural, cultural and human resources’ (UNESCO 2011). Table 7.1 outlines the work towards this step so far, based on recognition of the following challenges: • Imperfect data: Information about the City has been collected over long periods of time, across a number of stakeholders. This information is not embedded in day-to-day systems and can be fragmented, siloed, duplicated or forgotten. There are gaps, and captured data often represents a moment in time and has not evolved as the city changes over time.

Table 7.1  Ballarat’s approaches and solutions for implementing Step 1a Studies, research and symposia Mapping Ballarat’s Historic Urban Landscape (Context Pty Ltd. 2013)

Ballarat’s priorities Open/public data, big data

3D Mapping System Scoping Study (Omnilink 2014) 1st International HUL Symposium (2014)b Cultural Mapping Audit (Tsilemanis 2014)

Multisource/ federated data Landscape data/ mapping SMART technology

Smart cities: Building the future workshop (2016)

Interoperable and open-source technology Detailed Landscape Assessment – Spatial and visual tools (Dahlhaus and Ballarat City Historic Urban Thompson 2014) Landscape Character Appraisal and Assessment (Borg 2016) Decision support Online collaborative frameworks Research

Ballarat’s HUL tools Public websites – ‘HUL Ballarat’ (City of Ballarat and CeRDI 2014a), ‘Visualising Ballarat’ (City of Ballarat and CeRDI 2014b) and ‘time capsule’ Memory atlas Research partnerships SMART cities (Australian Government 2017) – Predictive 3D modelling Impact analysis (CeRDI 2015)

Step 1: ‘To undertake comprehensive surveys and mapping of the city’s natural, cultural and human resources’ (UNESCO 2011). b Hosted by the Centre for eResearch and Digital Innovation (CeRDI) Federation University Australia and the City of Ballarat. a

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• New concepts/skills: The ideas of fluidity in landscapes can be contradicted by practical approaches to mapping that require some spatial precision; and the expertise of heritage professionals is not strong for intangible heritage (Context Pty Ltd. 2013: 112). • Practical constraints: There are many ideas about mapping possibilities but modest financial and human resources. For example, 3D mapping offers real advantages; however, there are limitations on how adaptable this technology is or could be (particularly proprietary models).8 Costs can be prohibitive, and levels of support (political and organisational) will undoubtedly vary over time. Of particular note are prototype Information Communication Technology tools (ICT) developed through a research partnership (Box 7.1), aimed at shifting ‘the participatory landscape significantly’ (CeRDI 2015: 22). This is a foundation for further innovation and multiplied community uses and has already contributed to broader citywide applications, including Ballarat’s proposed SMART city solutions.9

Box 7.1: Online Tools www.hulballarat.org.au and www.visualisingballarat.org.au What makes Ballarat, Ballarat? These websites are collaborative platforms enabling local citizens and stakeholders to contribute to understanding what is distinctive and valued. These issue a very broad invitation to citizens and are progressively bringing dispersed data about the city together. Research is underway to further develop the tools, including 3D and 4D visualisations and augmented reality. These tools have provided a collaborative platform for local communities and stakeholders, as well as decision support capacity for local government. They also provide a home for a growing range of aligned projects.10

7.2.2.2  Step 2: Inclusion, Collaboration and Participation Initially, perhaps the most observable change in the City of Ballarat’s approach through HUL was the steadily increasing democratisation of political and organisational practice. The prioritisation of local citizen collaboration resonated strongly

8  For example, ‘interoperability between Spatial and BIM – which would facilitate a viewer moving from outside to inside a building – is developing but not yet mature’ (Omnilink 2014: 23), and the capacity to solve these types of challenges through proprietary systems is tied to commercial demand. 9  SMART Cities is an Australian government initiative (Australian Government 2017). 10  In 2015, the tools were awarded the Victorian Spatial Excellence Award in the category ‘People and Community’.

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with the practitioners and researchers involved and was part of what initially drew them to the HUL. Although collaboration with local citizens and stakeholders was known to be best practice, it was often difficult to achieve. Operationalising the HUL has facilitated broad organisational and political support to deliver best practice. By broadening the concept of the city, interdisciplinarity and whole-of-council uptake was achieved as practitioners, politicians, local citizens and stakeholders found this new approach more relevant to their interests. The development of participatory tools – such as cultural mapping through citywide and local area planning projects (see Box 7.2)  – has helped to bypass perceived roadblocks and improved the extent to which people are involved in decisions and futures (City of Ballarat 2016a: 33). Table 7.2 outlines the work towards this step so far, based on recognition of the following challenges: • Time and resources: Collaboration takes time and often the resources were not available. • Limited participation/diversity: It was sometimes difficult to navigate beyond the dominant small interest groups and communities change over time. • Participation methods and skills: The contexts of participation were not always well chosen – For example, consultation on short-term projects was not always motivating for citizens, and ‘town hall’-style meetings were not conducive to reaching consensus. • Variable organisational support: Levels of political and executive support for more comprehensive engagement can waver (due to changing priorities). • Consultation fatigue: Many communities have stretched volunteer capacities and volunteer resources.

Box 7.2: ‘Imagine Ballarat East’ Local Area Plan (LAP) In 2016, the City of Ballarat embarked on a series of local area plans, including ‘Imagine Ballarat East’, which aims to develop a vision for Ballarat East’s sustainable future in collaboration with the local community and other stakeholders (City of Ballarat 2016b). The hope is to develop new controls for inclusion in the Ballarat Planning Scheme (City of Ballarat 2017b) and other required actions (soft-tools), based on a variety of cultural mapping activities (see the ‘community map’ in Fig. 7.5 designed solely by the local community highlighting the great things about Ballarat East). Guided by the HUL approach, the Imagine Ballarat East local area plan is helping decision-makers and other stakeholders to understand the subtle values and character of Ballarat East, based on a collaborative long-term vision. Bringing this together with best practice regulatory/planning tools provides an important implementation of this work. (continued)

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Box 7.2 (continued)

Fig. 7.5  Ballarat East community map. (Source: City of Ballarat)

7.2.2.3  Step 3: Sustainability and Vulnerability Assessing vulnerability in the complex and integrated way proposed by the HUL was very new for Ballarat’s practitioners and researchers working with the program prior to 2015. In many ways, it has been the most complex of all of the HUL’s steps to action because vulnerability associated with heritage was previously understood by simply presuming what was driving unacceptable outcomes in the city, and in general, cultural vulnerability was not actively considered. In 2015, Dr. Malcolm Borg introduced the United Nations Global Compact Cities Program (UNGCCP) and ‘The Circles of Sustainability’ to Ballarat. This tool is based on ‘…fundamental principles that relate to the basic domains of social life: ecology, economics, politics and culture’ (Western Sydney University 2017), offering a significant shift from the dominant ‘triple-bottom-line approach’ (Borg 2016). Circles of Sustainability indicators were tailored for Ballarat in order to assess the city’s performance, sustainability and vulnerabilities and provide a baseline to measure the impacts of applying the HUL across the municipality (see Box 7.3). This allows actions to be measured and more effectively targeted and enables evidence-­ based outcomes to be more effectively communicated in the future. Ongoing reviews are planned to be undertaken with support from the UNGCCP every 2 years, and the city has been invited by the UNGCCP to become an innovating city (United Nations Global Compact Cities Programme 2017), which will enable expert support to continue over the long term.

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Table 7.2  Ballarat’s challenges and solutions for implementing Step 2a Studies, research and symposia As for Table 7.1, plus: Second International HUL Symposium: Revitalising Historic Cities (2015)b

Ballarat’s priorities Use of technology to achieve more inclusive participatory engagement, two-way knowledge sharing and empowerment of a range of communities to be more active participants in decision-making Historic Urban Landscape Using knowledge/data to reach consensus (underpinned by local and Visualising Ballarat knowledge and values) Impact Analysis – eResearch (First Wave) Place-based approaches extended (CeRDI 2015) Cultural mapping Storytelling Living and evolving knowledge-base Tapping into existing knowledge/ information platforms (e.g. social media platforms)

Ballarat’s HUL tools As for Table 7.1, plus: Ballarat imagine (City of Ballarat 2013) (whole-of-­ municipality vision setting for Ballarat strategy) Ballarat strategy development Value-add to existing engagement programs (e.g. Making Sebastopol) Local area planning processes and community maps (beginning with Learmonth, Burrumbeet, Cardigan Village and Ballarat east)

Step 2: ‘To reach consensus using participatory planning and stakeholder consultations on what values to protect for transmission to future generations and to determine the attributes that carry these values’ (UNESCO 2011) b Hosted by the City of Ballarat and Federation University Australia’s Collaborative Research Centre in Australian History (CRCAH), in collaboration with Deakin University’s Cultural Heritage Centre for Asia and the Pacific and WHITR-AP a

Box 7.3: The Circles of Sustainability Tool and Ballarat The Circles of Sustainability tool has provided the City of Ballarat with an approach to incorporating sustainability and climate change in its HUL program, using both qualitative and quantitative data and indicators (see Western Sydney University 2017). Ballarat’s initial assessment (Fig. 7.6) highlights that the area of most vulnerability is the city’s ecology, which measures the city’s natural and built environment. The tool tells us that one way to address this is through more participatory and inclusive decision-making processes. This is successfully being demonstrated on the ground through the Imagine Ballarat East local area planning and cultural mapping project and the local community’s priority for their natural and built environment. (continued)

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Fig. 7.6  Circles of Sustainability Aggregate Profile results for Ballarat (2015–2016) (Borg 2016). ‘This diagram tells us how sustainable our city will be if we ‘do nothing different’. It helps identify what areas we should target if we want a more sustainable, resilient and vibrant city’. (Source: City of Ballarat 2017a: 86)

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Table 7.3  Ballarat’s challenges and solutions for implementing Step 3a Studies, research and symposia 2016 HUL implementation Programme, including circles of sustainability survey and indicators; detailed landscape appraisal; landscape vulnerability and liveability assessment; best practices (Borg 2016)

Ballarat’s priorities Build evidence base and use indicators adapted for HUL (targeting socio-­ economic and climate change factors) Integrated and interdisciplinary

Ballarat’s HUL tools Circles of sustainability assessment (UNGCCP)b adapted for HUL (initial benchmarking and ongoing assessments every 2 years)

Step 3: ‘To assess vulnerability of these attributes to socio-economic stresses and impacts of climate change’ (UNESCO 2011) b The United Nations Global Compact Cities Program (UNGCCP) a

This is the newest part of Ballarat’s HUL program, yet the achievements already show great potential and provide the evidence base for targeted actions in the city’s new heritage plan, Our People, Culture & Place. A plan to sustain Ballarat’s heritage 2017–2030 (City of Ballarat 2017a). Table 7.3 outlines the work towards this step so far, based on recognition of the following challenges: • Minimal evidence, benchmarking and performance measures to guide decisions and monitor impacts. Even where statistics have been available, they have rarely been used in integrated ways or spatially represented (Borg 2016). 7.2.2.4  Step 4: The Virtuous Cycle – Framework for City Development The HUL challenges authorities to ‘redefine urban heritage as the centre of the spatial development process’ (UNESCO 2011). For Ballarat, this has meant implementation across complex and multiple levels of government, authorities, departments, organisations and stakeholder groups with many and varied agendas and priorities. Each of the three tiers of government in Australia has responsibilities for and in Ballarat – and each is democratically elected for a term of 4 years (but these terms are not aligned), resulting in a continually changing policy environment.11 It is in this context that Step 4 is being implemented in Ballarat. When practitioners began working with the HUL in 2012, there was already a recognition of the need for a high-level citywide strategy to deal with forecasted change. This provided a large-scale development strategy to which the HUL could be joined. The intent was for the strategy to sit above the 4-year Council Plan, addressing challenges over a much longer term and setting future development goals for the city. Building the HUL approach into the City of Ballarat’s long-term growth strategy, Today, Tomorrow, Together: The Ballarat Strategy (City of Ballarat 2015a), became an immediate priority. Even though the citywide strategy was completed well in  The Ballarat City Council consists of nine democratically elected officials from three wards, whereas the City of Ballarat consists of employed staff (council officers).

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advance of the 2016 Vulnerability Assessment (see Step 3), the Strategy has put heritage and culture at the core of the future sustainable development of the city. This was made possible by prioritising participatory approaches with local citizens and stakeholders (see Box 7.4). Integrating heritage into the wider city framework via the HUL represents a substantial and critical shift in the organisation’s policy settings.

Box 7.4: ‘Ballarat Imagine’ and the Ballarat Strategy The first step in developing Ballarat’s city development framework was the community engagement program Ballarat Imagine – a ‘community conversation’ to set a new whole-of-city strategy’s vision (City of Ballarat 2013). Ballarat Imagine applied a values-based methodology inspired by the HUL approach and the Burra Charter’s concept of social value (Australia ICOMOS 2013). Set in the context of future change it invited responses to three emotive questions: what do you love, imagine and want to retain in Ballarat? It was distributed to every household in the municipality and was promoted via websites, social media and postcards, while direct engagement included workshops, events and meetings with local citizens in work, recreation and education settings. Ballarat Imagine received over 6500 responses, with heritage and culture at the top of the community’s list. The result has put cultural identity at the heart of the city’s future vision in Today, Tomorrow, Together: The Ballarat Strategy (City of Ballarat 2015a). Ballarat Imagine is a simple and adaptable model that has influenced community vision setting in other cities. It is an accessible way of getting to know what is valued about our cities. The success of Ballarat Imagine has also helped make participatory approaches central to work across the organisation, providing the methodology for local area plans and a wide variety of projects.

Table 7.4 outlines the work towards this step so far, based on recognition of the following challenges: • Position of heritage and culture: In conventional arrangements, heritage and local culture is dealt with only as ‘stand-alone’ assets (van Oers 2015: 327). • Changing priorities: City strategy priorities can change with rapid political election cycles. • Limitations of local government: Not all desired directions are within the powers and responsibilities of the council, which must lobby state and federal governments to shift their policies (Planisphere et al. 2015).

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Table 7.4  Ballarat’s challenges and solutions for implementing Step 4a Studies, research and symposia As for Tables 7.1, 7.2 and 7.3, plus:

Ballarat’s Priorities Participatory and democratised planning and values-based approach Cultural landscape and change-focussed lenses

Ballarat’s HUL tools As for Tables 7.1, 7.2 and 7.3, plus:

Today, tomorrow, together: The Ballarat strategy – Our vision for 2040 (City of Ballarat 2015a) Our people, Culture & Place. A Long-term strategy and plan to sustain Ballarat’s heritage strong commitment to 2017–2030 (City of Ballarat HUL (over and above 2017a) political cycles) Proactive advocacy Local area plans (LAP) Various Ballarat Strategy background studies, workshops Transfer HUL studies to Municipal strategic statement and reports (City of Ballarat tangible tools (Borg 2016) (MSS) (integrating the 2015a). community vision and Ballarat strategy into the Ballarat planning scheme) Heritage overlays (Ballarat planning scheme)

Implementing the Historic Urban Landscape Program through the Planning System (Planisphere et al. 2015)

Step 4: ‘To integrate urban heritage values and their vulnerability status into a wider framework of city development, which shall provide indications of areas of heritage sensitivity that require careful attention to planning, design and implementation of development projects’ (UNESCO 2011)

a

7.2.2.5  Step 5: Setting Priorities Van Oers writes, ‘… next to defining new operational guidance and activities, it will be important as well to review the overall policy landscape to detect overlaps, including potential contradictions, and identify gaps’ (van Oers 2015: 328). For Ballarat, this has occurred through the 2016 HUL Implementation Programme  – part of the Circles of Sustainability assessment feeding the City Scan (Borg 2016). This brings together all of the city’s HUL work to date and provides evidence to better target and prioritise actions. This work has been integrated into a new heritage plan, Our People, Culture & Place. A plan to sustain Ballarat’s heritage 2017–2030 (City of Ballarat 2017a), which takes the HUL to a more detailed action-oriented level – perhaps better termed out into the street. Other ways actions for the city are being prioritised are coming from citizen participation. For example, there is strong desire for people to tell their own stories. In response, the heritage plan sets out a process for applying a whole-of-city interpretation framework, aimed at gathering, engaging with and sharing the city’s stories. These stories  – and the intangible, moveable and place heritage they are associated with – are a new source of inspiration for design, businesses, tourism, creative industry and conservation management. Table 7.5 outlines the work towards this step so far, based on recognition of the following challenges:

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Table 7.5  Ballarat’s challenges and solutions for implementing Step 5a Studies, research and symposia As for Tables 7.1, 7.2, 7.3 and 7.4

Ballarat’s priorities Problem-­ solving framework

Ballarat’s HUL tools As for Tables 7.1, 7.2, 7.3 and 7.4, plus: Circles of sustainability (UNGCCP) – Provide dynamic evidence base Circles of practice (UNGCCP) adapted for HUL Today, tomorrow, together: The Ballarat strategy – Our vision for 2040 (City of Ballarat 2015b) for high-level alignment Our people, Culture & Place. A plan to sustain Ballarat’s heritage 2017–2030 (City of Ballarat 2017a) (including an interpretation framework for Ballarat) Conservation grants (partnership through NGO)

The Circles of Sustainabilty tool includes a process tool to ‘provide pathways to guide practitioners through the process of making a significant impact upon a designated locale, such as a city, a town or an urban region’ (Western Sydney University 2017) a Step 5: ‘To prioritize actions for conservation and development’ (UNESCO 2011)

• Diverse priorities: Independent decisions and varying priorities across all levels of government, between departments and disciplines. • Political change: Priority refocus with each new political term (different at each level), restructures of organisations, staffing loss and poor succession planning. 7.2.2.6  Step 6: Working with Partners, Building Capacity Without partnerships, our achievements to date would have been impossible. Operationalising HUL requires a platform for active participation in guiding the way that the city develops into the future; for striving to achieve sustainable practice; for validating, reviewing and reimagining approaches; and for opening a dialogue between conservation and social and economic development. Without the continued involvement of many people  – inside and outside local government  – none of this can succeed. Initially, partnerships were research-based and related to the heritage discipline, but over time this has expanded. Our People, Culture & Place. A plan to sustain Ballarat’s heritage 2017–2030 (City of Ballarat 2017a) continues this trend by strengthening networks through tangible, deliverable projects, ensuring that inclusive stakeholder-based transformation continues and broadens out from ‘dominant cultural groups’ (van Oers 2015: 328). The process must remain open, allowing partnerships to evolve and change in tandem with the changing city. Van Oers predicts that more inclusive participation ‘will likely constitute a major overhaul of the framework itself, its relevant legislation and all related components’ (van Oers 2015: 328), and this is something to watch for, highlighting again the need for tenacity over the long term.

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Step 6 therefore crosses all the others.12 All of the initiatives listed in Tables 7.1, 7.2, 7.3, 7.4 and 7.5 have embraced and furthered partnerships with the City of Ballarat. Specific challenges included: • Resistance from practitioners, who can be hard to convince about the benefits of new partnerships, due to competing day-to-day pressures, and vague policy framing (at state and national levels). • Disempowered communities: Many groups and individuals are disengaged (particularly in lower socio-economic areas and young people). • Research processes: Formal research funding timelines can be slow and uncertain, and priorities for academic researchers can differ from those of council staff and local communities. Responses to these are seen in the formation of advisory committees, broad stakeholder-based and interdisciplinary project groups, the establishment of formal memoranda of understanding with WHITR-AP and university partners at Federation University and Deakin University (WHITR-AP and City of Ballarat 2013, WHITR-AP, City of Ballarat and Collaborative Research Centre in Australian History (CRCAH) Federation University Australia 2015) and active participation in the international networks for HUL.

7.3  Reflections on Building a New Practice Model The implementation of the HUL in Ballarat has been a process of cultural change – especially within the council structures. The early stages of such shifts require considerable persistence as efforts to ‘unpack’ the implications of the HUL recommendation were not always immediately useful in resolving day-to-day problems. Scepticism about their usefulness was a common reaction – even within an organisational environment that was open and supportive. However, these early projects have proven their worth, since they identified specific things to do, continue to add value to a wide range of in-train and proposed projects and policy work and bring many different parts of the council’s organisation into the dialogue. The movement towards mainstreaming the ideas of the HUL can be seen in various ways – such as the newly common discussion of ‘values’ and ‘place’ in council decisions, across the organisation, in the media and in the community.

 Step 6: ‘To establish the appropriate partnerships and local management frameworks for each of the identified projects for conservation and development, as well as to develop mechanisms for the coordination of the various activities between different actors, both public and private’ (UNESCO 2011).

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A more tangible milestone is the Ballarat Strategy, adopted unanimously by the council in 2015, which commits to ‘Manage Ballarat’s unique heritage, landscape and character as an integrated historic urban landscape’ and ‘implement UNESCO’s historic urban landscape approach as the guiding framework for managing change in our dynamic historic city’ (City of Ballarat 2015a: 183). It has been followed by an aspirational heritage plan – adopted unanimously by Ballarat City councillors in 2017 – which focusses on people and places (rather than merely ‘things’) and delivers on-the-ground actions in three priority areas: regeneration, celebrating and inspiring with Ballarat’s stories and managing change and safeguarding heritage (City of Ballarat 2017a). The plan moves the council’s focus for heritage from a regulatory-only environment towards an integrated whole-of-organisation role, acknowledging the critical role that Ballarat’s diverse and extensive heritage plays in the social and economic life of the city (City of Ballarat 2017a). Together, the Ballarat Strategy and the heritage plan have adopted new ways of talking about, thinking about, promoting and listening about heritage  – all based on the HUL’s cultural landscapes lens, a focus on change, and linking with the social and economic goals of the city. These shifts have allowed heritage – always important in Ballarat, but essentially off to the side of the main drivers of economic development, urbanisation and social change – to become more relevant, visible and critical to the city’s future. In turn, making better uses of heritage has allowed heritage conservation objectives to be seen as more compatible with development. While there are still exceptions (and some less-than-ideal development proposals), moving away from the conventional paradigm of ‘preservation-versus-­ development’ (Buckley et al. 2016) has reduced the levels of adversarial conflict that seemed to accompany so many ‘heritage issues’ and remaining on this trajectory predicts a different future for the city. The emphasis in the HUL on interdisciplinarity is not especially new. However, in Ballarat, the processes brought people from different professional orientations into a discussion about the future of the city. The ability to bring diverse perspectives to the same table has been a key factor in the success of the internal ­transformations. Moving from multidisciplinary dialogue to interdisciplinary solutions is still a work in progress, especially given the realities of council’s day-to-day responsibilities and the ever-present influences of local politics. However, the appetite and opportunities to make this possible are increasing steadily with much less effort than required in the earlier stages of the pilot. Importantly, the city’s identity – its culture, people and place – is now a key pillar for the sustainable development of the city. This is an enormous shift and should provide a great degree of validation to those who have worked tirelessly to develop the HUL Recommendation as a means of ensuring that culture and heritage are at the centre of the transformative processes of the urban century. Acknowledgements  The list of people who have contributed to Ballarat’s HUL pilot program is extensive. We would like to acknowledge all those involved and make special mention of Dr. Ron van Oers and colleagues (WHITR-AP); Ballarat’s council officers, councillors and local community members; researchers at Federation University Australia and Deakin University and Dr.

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Malcolm Borg (UNGCCP); contributing consultants; Francesco Bandarin and colleagues (UNESCO); Dr. Ana Pereira Roders (Eindhoven University of Technology); and Prof. Michael Turner (Bezalel Academy of Arts and Design). Dr. Steven Cooke (Deakin University) has formed the third member of the continuing research collaboration between Deakin University and the City of Ballarat and has contributed to the reflections that are presented in this paper. We gratefully acknowledge Dr. Malcolm Borg’s generosity to include his research in this chapter. Finally, we would like to affectionately thank our fellow ‘HULigans’ who give more of themselves than anyone can imagine to operationalise the HUL approach – they’ve shared lessons and cheered on Ballarat’s efforts from all around the world – you know who you are! Dedication  The authors would like to dedicate this paper to Dr. Ron van Oers decd. Ron is the sole reason that Ballarat was welcomed into an international pilot program where he gave freely to the city, passionate guidance and, personally, valued friendship. His influence is evident throughout all of Ballarat’s work. We know that we are not alone in hoping that we can carry on his substantial legacy into the future as we are sure he would have hoped.

References #culture2015goal [website]. http://culture2015goal.net/. Accessed 29 Dec 2017. Aboriginal Victoria. (2016). Aboriginal heritage amendment act 2016, summary information sheet. Melbourne. Australia ICOMOS. (2013). The Burra Charter: The Australia ICOMOS charter for places of cultural significance. Burwood: Australia ICOMOS. Australian Government. (2017). Smart cities plan [website]: https://cities.dpmc.gov.au/. Accessed 29 Dec 2017. Australian Institute of Aboriginal and Torres Strait Islander Studies. (2015). Mabo case (online). https://aiatsis.gov.au/explore/articles/mabo-case. Accessed 29 Dec 2017. Australian Local Government Association (ALGA). (2017). [website]. http://alga.asn.au/. Accessed 29 Dec 2017. Avila, M. E. S., & Perez, J. R. (2016). Heritage Values Protection, from the Monument to the Urban Dimension. Case Study: the Historic Centre of Santa Ana de los Rios de Cuenca, Ecuador. The Historic Environment: Policy & Practice, 7(2-3), 164–176. Bandarin, F., & Van Oers, R. (2012). The historic urban landscape. Chichester: Wiley. Bandarin, F., & Van Oers, R. (2015). Reconnecting the city. The historic urban landscape approach and the future of urban heritage. Chichester: Wiley. Boer, B., & Wiffen, G. (2006). Heritage law in Australia. South Melbourne: Oxford University Press. Borg, M. (2016). HUL implementation Programme. Victoria: City of Ballarat. I: Aggregate profile: Circles of sustainability survey and peer review. II: Comprehensive study  – Circles of sustainability report and indicators. III: Detailed landscape assessment – Ballarat City historic urban landscape character appraisal and assessment. IV: Vulnerability assessment – Ballarat City: Landscape vulnerability and Liveability assessment. V: Best practice. Reports to City of Ballarat. Buckley, K., & Fayad, S. (2017). The HUL and the Australian Burra Charter - some implications for local heritage practices. Historic Environment, 29, 46–57. Buckley, K., Cooke, S., & Fayad, S. (2016). Using the historic urban landscape to re-imagine Ballarat: The local context. In S. Labadi & W. Logan (Eds.), Urban heritage, development and sustainability. International frameworks, national and local governance (1st ed., pp. 93–113). London: Routledge.

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Centre for eResearch and Digital Innovation (CeRDI). (2015). Historic urban landscape and visualising Ballarat impact analysis. eResearch (First wave) extended. City of Ballarat. City of Ballarat. (2010). Preserving our heritage strategy (online). http://www.ballarat.vic.gov.au/ sh/heritage/heritage-project-and-studies/preserving-our-heritage.aspx. Accessed 29 Dec 2017. City of Ballarat. (2013). Ballarat imagine (online). http://www.ballarat.vic.gov.au/haveyoursay/2013/ballaratimagine.aspx. Accessed 29 Dec 2017. City of Ballarat. (2015a). Today, tomorrow, together: The Ballarat strategy (online). http://www. ballarat.vic.gov.au/pbs/city-strategy/ballarat-strategy.aspx. Accessed 29 Dec 2017. City of Ballarat. (2015b). Today, tomorrow, together: The Ballarat strategy. Our Vision for 2040 (online). http://www.ballarat.vic.gov.au/media/3832716/40._ballarat_imagine_our_vision_ for_2040_july2013.pdf. Accessed 29 Dec 2017. City of Ballarat. (2016a). Our people, culture & place. A new heritage plan for Ballarat 2016– 2030 (preliminary plan). http://www.ballarat.vic.gov.au/media/3985655/preliminary_heritage_plan_our_people__culture_and_place_august_2016.pdf. Accessed 29 Dec 2017. City of Ballarat. (2016b). Imagine Ballarat east (online). Available at: http://www.ballarat.vic.gov. au/pbs/city-strategy/strategic-projects-and-frameworks/current/imagine-ballarat-east.aspx. Accessed 29 Dec 2017. City of Ballarat. (2017a). Our people, culture & place. A plan to sustain Ballarat’s heritage 2017– 2030 (online). http://www.hulballarat.org.au/cb_pages/ballarat_heritage_plan.php. Accessed 29 Dec 2017. City of Ballarat. (2017b). Ballarat planning scheme (online). http://planning-schemes.delwp.vic. gov.au/schemes/ballarat. Accessed 29 Dec 2017. City of Ballarat and Centre for eResearch and Digital Innovation (CeRDI). (2014a). Historic urban landscape Ballarat [website]: http://www.hulballarat.org.au. Accessed 29 Dec 2017. City of Ballarat and Centre for eResearch and Digital Innovation (CeRDI). (2014b). Visualising Ballarat [website]: http://www.visualisingballarat.org.au. Accessed 29 Dec 2017. Context Pty Ltd. (2013). Mapping Ballarat’s historic urban landscape. Stage 1 final report. Brunswick: City of Ballarat. Dahlhaus, P., & Thompson, H. (2014). Visualising Ballarat – Past, present, future. A collaborative research proposal to develop online tools to support Ballarat’s Historic Urban Landscape program. Ballarat: Centre for eResearch and Digital Innovation, Federation University Australia. Edinburgh World Heritage. [website]: http://www.ewht.org.uk/. Accessed 29 Dec 2017. Global Observatory on the Historic Urban Landscape (GO-HUL). [website]: https://go-hul.com/. Accessed 29 Dec 2017. Heritage Chairs and Officials of Australia and New Zealand (HCOANZ). (2008). Supporting local government heritage conservation (Final report). https://www.heritage.vic.gov.au/__data/ assets/pdf_file/0020/55523/Supporting-Local-Government-Heritage-Conservation-finalreport-May-2008-.pdf. Accessed 29 Dec 2017. Omnilink. (2014). 3D mapping system – Scoping study. Unpublished report prepared by Omnilink for the City of Ballarat Historic Urban Landscape Pilot Program – Stage 2.2. Melbourne: City of Ballarat. Planisphere, Forest & City of Ballarat. (2015). Ballarat’s Historic Urban Landscape Program – Stage 2.1 – Results-based investigation of the Ballarat’s Planning System for potential Historic Urban Landscape program implementation (draft). Unpublished report to the City of Ballarat. Ballarat: City of Ballarat. State of Victoria. (2006). Aboriginal Heritage Act 2006 – Sect 1 Purposes (online). http://www9. austlii.edu.au/cgi-bin/viewdoc/au/legis/vic/consol_act/aha2006164/s1.html. Accessed 29 Dec 2017. State of Victoria. (2017). Heritage Act 2017 (online). http://www5.austlii.edu.au/au/legis/vic/consol_act/ha201786/. Accessed 29 Dec 2017. The Courier. (2014). Ballarat the fastest growing city in regional Victoria (online). http://www. thecourier.com.au/story/2792437/ballarat-the-fastest-growing-regional-city-in-victoria-abs/. Accessed 29 Dec 2017.

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Tsilemanis, A. (2014). Ballarat research. Unpublished report to City of Ballarat, Australia. Ballarat: City of Ballarat. UN Habitat. (2016). The new urban agenda. Adopted at Quito, Ecuador, 20 October 2016. https:// habitat3.org/the-new-urban-agenda/. Accessed 29 Dec 2017. UNESCO. (1972). Convention concerning the protection of the world cultural and natural heritage (World heritage convention). Paris. http://whc.unesco.org/en/conventiontext/. Accessed 29 Dec 2017. UNESCO. (2003). Convention for the safeguarding of the intangible cultural heritage. Paris. http://www.unesco.org/culture/ich/en/home. Accessed 29 Dec 2017. UNESCO. (2011). Recommendation on the historic urban landscape. Paris: UNESCO. [Online] http://portal.unesco.org/en/ev.php-URL_ID=48857&URL_DO=DO_TOPIC&URL_ SECTION=201.html. Accessed 29 Dec 2017. UNESCO. (2015). [website] Culture for Sustainable Development. http://www.unesco.org/new/ en/culture/themes/culture-and-development/the-future-we-want-the-role-of-culture/. Accessed 29 Dec 2017. UNESCO. (2017). States parties  – Australia (online). http://whc.unesco.org/en/statesparties/au. Accessed 29 Dec 2017. United Nations. (2007). United Nations Declaration on the Rights of Indigenous Peoples (online). https://www.un.org/development/desa/indigenouspeoples/declaration-on-the-rights-of-indigenous-peoples.html. Accessed 29 Dec 2017. United Nations. (2015). Sustainable development goals: 17 goals to transform our world (online). http://www.un.org/sustainabledevelopment/sustainable-development-goals/. Accessed 29 Dec 2017. United Nations Global Compact Cities Programme. (2017). Get involved (online). https://citiesprogramme.org/get-involved/. Accessed 29 Dec 2017. Van Oers, R. (2015). The way forward: An agenda for reconnecting the city. In F. Bandarin & R. van Oers (Eds.), Reconnecting the city. The historic urban landscape approach and the future of urban heritage (pp. 317–332). Chichester: Wiley. Walker, M. (2014). The development of the Australia ICOMOS Burra charter. APT Bulletin, 45(2/3), 9–16. Western Sydney University. (2017). [website] Circles of sustainability. About. http://www.circlesofsustainability.org/about/. Accessed 29 Dec 2017. Winter, T. (2015). Heritage diplomacy and Australia’s responses to a shifting landscape of international conservation. Historic Environment, 27(2), 18–28. World Heritage Institute of Training and Research in Asia and the Pacific (WHITR-AP) and City of Ballarat. (2013). Agreement on strategic cooperation concerning the implementation of UNESCO’s recommendation on the historic urban landscape between the City of Ballarat and WHITR-AP. Unpublished document, Shanghai and Ballarat. World Heritage Institute of Training and Research in Asia and the Pacific (WHITR-AP) and City of Ballarat. (2016). The HUL guidebook: A practical guide to UNESCO’s recommendation on the historic urban landscape. Shanghai and Ballarat. World Heritage Institute of Training and Research in Asia and the Pacific (WHITR-AP), City of Ballarat and Collaborative Research Centre in Australian History (CRCAH) Federation University Australia. (2015). Agreement on strategic cooperation concerning UNESCO’s recommendation on the historic urban landscape and the league of historical cities 15th world conference. Unpublished document, Shanghai and Ballarat.

Chapter 8

Managing Urban Heterogeneity: A Budapest Case Study of Historical Urban Landscape György Alföldi, Melinda Benkő, and Gábor Sonkoly

Abstract  This article has a double objective. First, it defines the major challenges of contemporary urban heritage preservation through the specificities of the Historic Urban Landscape (HUL) approach in order to determine an analytical framework to examine heritage cities and quarters from the perspective of heritage preservation. Second, it applies the analytical framework to assess current urban interventions in the 8th District (Józsefváros) (Józsefváros – “Josephtown” in English – was named after the Habsburg Emperor, Joseph II, in 1777. In this article, we refer to this district as “District” or under its Hungarian denomination) of Budapest. The research results help discuss the utility of the HUL approach. In addition to the management of the general urban challenges of globalization, Józsefváros – the most heterogeneous administrative unit of Budapest’s historical center – must develop a variety of adaptation techniques, which fit its diverse built, social, cultural, and environmental legacy. Accordingly, the launching of an overall rehabilitation program for the District posed great dilemmas for decision-makers and designers. As a trailblazing decision among the districts of Budapest, the 8th District Municipality recognized this heterogeneity by the division of its territory into 11 quarters, which were determined by their specific character and heritage in 2005. Two opposite cases are selected to compare current urban intervention. Whereas the Magdolna Quarter Program was Hungary’s first truly integrated socially sensitive urban regeneration program, the one-time prestigious Palace Quarter boasts one of the highest densities of urban historic buildings in Europe, which are rehabilitated through the establishment of a new network of interior and exterior spaces with the participation of the locals. G. Alföldi · M. Benkő Department of Urban Planning and Design, Budapest University of Technology and Economics, Budapest, Hungary e-mail: [email protected]; [email protected] G. Sonkoly (*) Faculty of Humanities, Eötvös Loránd University of Budapest, Budapest, Hungary e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_8

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Keywords  Budapest · Józsefváros · HUL approach · Participative urban planning and design · Quarter-based regeneration · Urban heritage · Urban milieu · Security · Heritage territory · Heritage community

8.1  Introduction A recent analysis of the conceptual history of the Historic Urban Landscape (HUL) approach allowed us to place this concept into a longer historical perspective of urban planning and to compare it to concurrent notions of urban heritage management (Sonkoly 2017). It was concluded that the use of the notion of “landscape” – which is not only an integral element of the HUL approach but also the most recurrent territorial denomination in heritage management, in urban/territorial planning, and in the related social sciences and humanities – is very similar to the way “milieu” was applied by the central authorities in earlier centuries, according to Michel Foucault (Foucault 2009). From this perspective, both contemporary urban landscape and modern milieu mean a territorial unit, which is suited to the development of the indicators on the expanding concept of security, in order to prevent threats of uncontrolled development. In this sense, heritage preservation is integrated into a long history of social security, which became very complex by the twenty-first century. The Convention on the Diversity of Cultural Expressions,1 which states that cultural diversity is as crucial as biodiversity from the point of view of the survival of humanity and assigns particular importance to the safeguarding of cultural heritage, shows the fusion of cultural and natural heritage in the international cultural heritage discourse, which has been expressed in the institution of the concepts of cultural landscape, sustainability, and resilience. All these concepts emphasize that the concerned communities must be mobilized to appreciate their own culture, heritage, and traditions. The novelty of the complex conception of security lies precisely in the relationship between the levels of belonging and constructs of security (Foucault 2009). The milieu was invented in order to measure security, while the landscape of cultural heritage is considered not only as a way to measure it but also to measure its perception and sensation by its custodians2 (Ascher 2001). This complex security supposes that the territory of urban heritage is expanding to include those parts of the city, which do not necessarily convey exceptional historical or aesthetical values but are significant for the city dwellers. Thus, protection is envisaged as a necessary condition for the survival of the community and its habitat. In this sense, the HUL approach has the potential to turn the city from its territorial division between protected and non-protected territories into an integral city, which is united by its continuous temporality and territoriality. 1  The Convention on the Diversity of Cultural Expressions and the first standard setting instrument on HUL – the Declaration of the Conservation of the HUL – were both accepted in the same year, in 2005 (UNESCO 2005a, b). 2  According to François Ascher, “threat and the principle of precaution” are the essential elements of contemporary urban planning, in which social actors search for anything, which can “ensure, reassure, produce trust” (Ascher 2001. pp. 76–77).

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Fig. 8.1  Areal overview on the southern part of Budapest historic city center; inner Józsefváros is next to the National Museum and its garden. (Source: Municipality of Józsefváros – Rév8)

Consequently, the population of current cities changes into a series of communities, which make use of the urban landscape not only to represent their identity but also to express their experience of their built and natural environment3 (Besse 2009) (Fig. 8.1). The dramatic growth of urban World Heritage properties over the last 30-years resulted in the fact that this title is not only representative but also eventually constitutes a framework for social and cultural realities.4 In addition to the universal level of urban heritage conservation, hundreds of other historic – or less historic – quarters are protected at national, regional, or local levels. Heritage protection is becoming a norm, a conventional means to express belonging and identity. Moreover, the areas concerned, which were often abandoned in the mid-twentieth century, regained their attractiveness from the 1970s onward, which resulted in massive immigration toward them. In consequence, the expanding territory of urban heritage accommodates very diverse social groups – from the well-off inhabitants of freshly 3  Jean-Marc Besse explains that the landscape takes charge of the dimension of human relationship to the world, which has been abandoned by modern science and which is the direct, immediate, physical link to the sensible elements of this world. Thus, the landscape is primarily an experience. 4  In Budapest, for example, since 2013, the territory of the World Heritage property has been used to define the area in which the homeless are not allowed to dwell (Budapest 2013).

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gentrified areas through fancy artistic neighborhoods to the pauperized population of rust belts – all of whom tend to formulate their identity and the attached claims under the banner of cultural heritage. Politicians and other social actors also use the heritage discourse to mobilize the relevant population. As such, the 8th District of Budapest is an excellent example of a considerably heterogeneous population, which is reorganized according to overlapping heritage references.

8.2  Józsefváros, the Eighth District of Budapest Since the fall of the Iron Curtain in 1989, Budapest is governed by a nonhierarchical, dual-municipal structure in which the central municipality is responsible for determining urban development and management tasks, as well as overseeing the general strategic and planning framework (Hegedűs 1999). The 23 districts operate as autonomous units within Budapest. As a consequence of their history and current policy, every district has different urban development and renewal strategies, projects, and achievements. Among these plans, the rehabilitation program of Józsefváros excels by its quarter-based approach5 (Fig. 8.2). Witnessing its fastest growing period in history, Budapest almost quadrupled its population reaching one million between 1870 and 1930. Józsefváros grew at the same pace amounting to 150,000 people, in the same period. This impressive Fig. 8.2  Budapest urban development: small Budapest’s limit in 1873 and big Budapest’s limit since 1950; historic core in gray; Józsefváros is in the black circle. (Drawing by Melinda Benkő)

 Budapest agglomeration, Budapest City, 23 districts, and some hundred quarters can be differentiated as development unit. 5

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d­ emographic and urban increase followed the District original social segregation pattern emphasized further by the installation of the Grand Boulevard between the 1870s and 1900s, which divided the District into a richer inner part and a poorer residential middle and outer industrial part. The inner area was dominated by the National Museum (built in 1837–1847), which –as the new pivot of Hungarian nation-­building  – attracted the aristocrats to construct their urban palaces in its vicinities. Thus, a highly prestigious quarter evolved in the nineteenth century, which could retain its position in the first half of the twentieth century (Déry 2007). The larger apartments of this area were primarily sought by the upwardly mobile members of the middle classes. On the contrary, the other parts were inhabited by small office holders, poorer freelancers, tradesmen, the petite bourgeoisie, maids, and servants. Here, the typical multistory tenement development was limited to the sides of the main roads, while the intersecting streets continued to have single or maximum two-­story homes built from the middle of the nineteenth century and smaller industrial and agricultural buildings. Though the 8th District went through significant changes, in the twentieth century, to its position and function within the urban fabric, its built environment remained practically unaffected. The low-density buildup in the early twentieth century was only slightly modified, and during the communist era, between 1949 and 1989, the historic urban core of Budapest, mainly the poorest parts, was absolutely neglected. In 1967, an urban reconstruction plan envisaged the demolition of all the traditional streets and buildings and the erection of ten-story prefabricated slabs and towers in the middle part of Józsefváros (Benkő 2011). The economic significance of the Hungarian capital increased after the fall of communism, and Budapest was facing the challenge of double transition.6 The public administration system, which was reformed soon after the change of regime, but obsolete by now, conserved the inherited development inequalities in the spatial and social structure of the city. Józsefváros’s newly gained “independence” arrived with a troublesome social and environmental legacy. The District is partly located in the historic city center, and it is divided into strikingly different quarters, including the gentrifying inner city Palace Quarter with its renovated buildings and young intellectuals as well as the Magdolna Quarter or Orczy Quarter with some of the highest unemployment and lowest education and income levels in the city of Budapest. Although the entire Józsefváros received a rather pejorative connotation in the second half of the twentieth century, this stigma is still present in the mental maps of Budapest residents. In 1997, the 8th District’s local government (with 61% ownership) and the local government of Budapest (with a 39% share) created the Rév8 Plc.7 – a public company responsible for urban renewal. The urban renewal inherited gap-toothed buildings and plots as the residues of two world wars and the more than 30-year 6  The double transition is an expression used in Central and Eastern European countries because they entered simultaneously into the market economy and the globalization. 7  http://rev8.hu/english/. One of the authors, György Alföldi, was the director of this company between 1999 and 2015.

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construction restraint and centralized facility management of the communist regime. The launching of an overall rehabilitation program for the District posed great dilemmas for decision-makers and designers. The planning and rehabilitation principles were the following: • The preservation and reconstruction of the architectural and urban heritage – for example, in the Palace Quarter – to reevaluate the District, redefine the identity of its quarters, and work against its stigma. • The decrease of large, adjacent, deteriorated areas giving new development potentials8. • The reorganization of traffic and parking areas to create people-friendly squares and streets. • The extension of green surface and the amelioration of the living conditions. • The involvement of local residents in the renewal process. Finally, the urban regeneration strategy identified 11 quarters, based on their physical and social contexts. The 8th District Municipality officially approved this division in 2005, and this moment was a turning point in the current history of Józsefváros. Every quarter has different characteristics and chances for the future, and every quarter becomes a local unit within the District, and, thus, every quarter develops differently. Seven out of these eleven quarters are situated within the historic core of Budapest, and two of them will be taken as case study to explore the application of the HUL approach (Fig. 8.3).

Fig. 8.3 Quarter-based regeneration: 11 quarters of Józsefváros; double line presents the limit of Budapest’s historic city center, and sites of the HUL case studies are in gray. (Drawing by Melinda Benkő)

 The Corvin Quarter, based on this principle, became the largest development area in Budapest historic city center as Corvin Promenade since 2005 to present. 8

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8.3  Applying the HUL Approach The comparison of these seven quarters by the analytical grid revealed to which extent different local urban heritage practices relate to the HUL approach (Sonkoly 2017). Though the urban rehabilitation started with an official decision, the reconstructed identity and the related heritage experience of urban communities are strongly determined by the efficiency of the interaction between heritage administrators representing this decision and the inhabitants (Alföldi and Horváth 2009). The HUL approach is specifically receptive to this interaction, in which different definitions and practices of urban heritage are cumulated. In order to understand and to evaluate the presence of these various heritage concepts and their relevance in the interaction between heritage experts and the local communities, an analytical grid of the following indicative concepts was established: • The perception of security, that is, the temporality of urban heritage preservation, which can vary between a strict distinction between protected and unprotected areas (temporal rupture according the register of monument protection) and the continuous perception of built urban heritage (in which historical distance and aesthetic considerations are secondary to the community’s preferences). The sub-indicators are the acknowledgment of temporal continuity, the management of change, and the practice of active safeguard. • The heritage territory in which the former distinction between the old and the new parts of the city and its administrative definition (historic center, zoning, Table 8.1  The case study selection is based on the adaptation of our HUL grid to the seven historic quarters in Józsefváros Historic quarters in Józsefváros: indicative concepts of HUL Security Temporal continuity Management of change Practice of active safeguard Heritage territory Palimpsest city Outstanding historical areas Non-outstanding historical areas Heritage community Cultural diversity Participative heritage preservation Balanced top-down/ bottom-up initiatives

Palota (palace) x x x

x x

Corvin Csarnok Népszínház Losonci Orczy Magdolna

x

x

x x x

x x x

x x

x

x

x x

x

x

x x x

x x x

x

x

x

x

x

x

x

x

x

x

x x

x 8/9

x 4/9

6/9

6/9

3/9

6/9

8/9

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core and buffer areas, etc.) becomes blurred and a consequent continuity of the urban heritage territory can be perceived as the emergence of the growing number of coexisting urban heritage spots. The sub-indicators are the appreciation of the historical layers of the built environment (i.e., the urban palimpsest) as well as the protection of outstanding and non-outstanding historical areas. • The involvement of the heritage community in the definition and the management of its urban heritage. The sub-indicators are the local awareness of cultural diversity, participative heritage preservation, and the proportion of top-down and bottom-up initiatives. The short analysis based on indicative concepts summarized in Table 8.1 gave stable basis for the two quarters to be selected as case studies  – (1) the Palace Quarter and (2) the Magdolna Quarter, two different parts of the District – by location, physical, and social conditions  – and reports the application of the HUL approach in Józsefváros. While the analytical framework reveals a complex typology of urban heritage quarters, its complementation by a SWOT analysis allows the most significant elements within each indicative concept to be determined and, thus, the implementation of the HUL approach in these quarters, in which historical, social, and economic characteristics are truly diverse, to be evaluated. The current results of the ­rehabilitation program in the two test quarters will be summarized according to its SWOT aspects in the conclusion (Fig. 8.4 and Table 8.2).

Fig. 8.4  Courtyard of a renovated residential building in the Palace Quarter. (Photo by Attila Baranyai – Rév8)

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Table 8.2  The extension of the analytical framework by a SWOT analysis The HUL quarter Security

Heritage territory

Heritage community

SWOT Analysis The perception and recognition of urban heritage in its temporal continuity by different stakeholders. The management of urban heritage accordingly and with a consensus among the stakeholders’ groups. The implementation of active safeguarding techniques. The replacement of protection zones by a continuity codetermined by different stakeholders’ perspectives. The incessant preservation of (already protected) outstanding historical areas. In accordance with the safeguarding of non-outstanding historical areas and the establishment of a preservation unity of the diverse areas. The recognition and mobilization of the social and cultural diversity of the inhabitants in order to ensure their involvement in the safeguarding of urban heritage. The development of the participative preservation toolkit in socially and culturally diverse urban quarters. The development of a mixed urban heritage governance model, which is proper to the needs of a given quarter.

8.4  Contemporary Urban and Architectural Interventions 8.4.1  Palace Quarter The structure of the plots, characterized by huge undivided lands, in inner Józsefváros dates back the eighteenth century, and it allowed the construction of palaces and national institutions in the nineteenth century. Fin-de-siècle, inner Józsefváros, exhibited a great number of Beaux-arts architecture. This was the dominant style in the center of Budapest, a uniquely homogeneous and extended historic urban center in Europe, which resulted from the economic and demographic boom between the Austro-Hungarian Compromise and World War I.  Inner Józsefváros, the area of the 8th District between the Small and the Grand Boulevards of Budapest, was not only a prestigious residential area, but it boasted several national cultural and educational institutions (Tihanyi 2012). Nowadays, this quarter still keeps its character as a cultural center. It is not surprising that the secondary and higher education level of local households is above the Budapest average. The local population is typically middle class, and the older generation is overrepresented in comparison with other parts of the city. Nevertheless, the public spaces are animated not only by local residents but also by young people, because traditionally several secondary schools and university buildings and other public facilities, such as libraries, health centers, etc., have been situated there for decades.9 9  In the Palotanegyed, the internationally well-recognized regeneration method was based on the creation of social diversity by mixing local inhabitants with students. The campus is not situated

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In the beginning of the twenty-first century, the District Municipality decided to commence to rehabilitate the inner part of Józsefváros with the widest possible involvement of central and local governmental bodies, market, and nongovernmental associations as well as local inhabitants (Rácz and Alföldi 2012). The goal of the long-term strategy was to redefine this spatial and cultural unit within the city where the inherited historic environment functions are fundamental for contemporary small-scale development. The use of a new name, the Palace Quarter, started in 2005, and today everybody knows it. The renewal process is based on existing cultural diversity, promotion of economic activities (hotels, restaurants, bars), development of students’ public facilities, amelioration of living conditions, public space renewal, etc. The official top-down program led by the Rév8 Plc. works together with bottom-up initiatives presented by local residents, associations, institutions, and NGOs. Through participative actions, the locals’ awareness was directed to the fact that the creation of new and creative touristic and cultural solutions could multiply the effect of governmental aid and that they could help to accumulate resources needed for the renovation of public spaces, restoration of buildings, and a long-term maintenance of the development (Fig. 8.5). As a result of this rehabilitation agenda, a new network of interior and exterior spaces is being established – a sort of microspace – and the inner courtyards are still able to host the trendy “tumbledown pubs” (bar-cafés habitually installed in

Fig. 8.5  Residents’ event after the participative reconstruction of the condominium courtyard. (Photo by Attila Baranyai – Rév8)

somewhere else, but within the historic city center. In Paris, the Masséna projects utilized this development concept, but in the Palotanegyed, this is the inherited situation (Benkő 2010).

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dilapidated buildings and courtyards), which are the contemporary continuation of late nineteenth-century cafés and their café culture. One of the central elements of the heritage protection program was the renovation and transformation of a nineteenth-­century building (13, Horánszky Street) into a community space. This two-story-­high building was built in the typical Beaux-arts style, and it was the home of one of the most controversial Hungarian literary figures, Júlia Szendrey, in the nineteenth century.10 The whole interior of the building was rebuilt with the preservation of the stucco facade and the beautiful gate. Since its renovation, the center serves as a hub to assist the further development of the quarter – as a student club to target the 20,000 students studying at the Palace Quarter for participatory actions and as an “incubator house” to help local young entrepreneurs (Alföldi et al. 2015). The most intriguing question is how and when the inhabitants will start using their new environment. Streets and cafés of the quarter are more animated than ever, and the new individual renovations made by a building condominium or private investors seem to reflect a rising awareness of the importance of urban heritage. The municipality and the Rev8 Plc. could create a very efficient cooperation with local nongovernmental organizations, especially with the Association of Citizens for the Palace Quarter (CaPE). Public places are open for art projects. The programs of the Újirány (“New Direction”) Group in the inner courtyards and the orthophoto projects, for example, are internationally acclaimed as “simple, poetic interventions” that can stimulate people (Lae Foundation 2015). In the Palace Quarter, small urban acupuncture11 made in the physical and social environment as well could influence real changes toward sustainable future (Fig. 8.6). In the last 10 years, the majority of the historic buildings have been renovated by the cooperation of the city of Budapest, the local municipality, and the residents-­ owners. The renovation is co-financed, and the streets have been renewed by municipality programs. In this way, public spaces, public buildings, and private buildings form together the new Palace Quarter and its new community. It became one of the well-recognized residential and cultural neighborhoods in Budapest (Fig. 8.7).

 First, she was the young “widow of the nation,” since her first husband, Sándor Petőfi, the most famous national poet, died during the 1848–1849 war of independence. Her second marriage was denied by many as an act of treason, and her efforts to become an independent female writer were also often disapproved. She was an extraordinary woman searching for her voice, whose precedent is worth of remembrance. 11  The urban acupuncture, the development method based on well-located small intervention, is used since the 1980s; the first examples were realized in Barcelona in Spain or in Curitiba in Brazil. 10

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Fig. 8.6 Pollmap: the Interactive Mapping Project in 2010. Concept: Dominika Tihanyi. Realization: Dominika Tihanyi, Árpád Kovács, Dorottya Thurnay. (Photo by Árpád Kovács – Rév8)

Fig. 8.7  Dankó Street before the renewal. (Photo by Kornél Tóth – Rév8)

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8.4.2  The Magdolna Quarter Another part of Józsefváros, the Magdolna Quarter, presents different challenges for the HUL approach. The Magdolna Quarter is one of the most poverty-stricken areas in Budapest, where social segregation was constantly increasing due to the continuous influx of disadvantaged people during last decades. The quarter is home to a large number of Romas, who are estimated to constitute 30% of its population of 12,000. This area situated in the middle of the District has been plagued with prostitution, petty gang crime, and homelessness for a long time. The quarter’s main problems are high unemployment, low educational levels, low public safety, and high criminality, in addition critical substandard quality historic housing stock (Alföldi et al. 2015). The Magdolna Quarter Program (MQP) was the first truly integrated socially sensitive urban regeneration program in Hungary, introduced and managed by the Rév8 Plc., the local urban development public company. Three phases of MQP have been implemented between 2005 and 2015. The first phase of local integrated urban regeneration program was elaborated on neighborhood level funded by the District Municipality and the city of Budapest as a pilot project. Following Hungary’s EU accession in 2004, based on the first steps done, the MQP won funding within the framework of the Integrated Urban Social Rehabilitation among Urban Development Projects (Alföldi et al. 2013). As a consequence, the second phase was completed between 2008 and 2011 as well as the third realized between 2013 and 2015, supported by the European Regional Development Fund. Nevertheless, these three phases constitute only the first period of a long-term development strategy for the neighborhood (Benkő and Germán 2016). The MQP aims to strengthen local society improving housing and living conditions through the implementation of an area-based integrated approach and a set of instruments for public participation. The project addresses not only the traditional renovation of historic housing stock but also the handling of crucial social problems. This kind of complex urban regeneration program, already in practice in other European cities (Pickard 2016), was new for Budapest: crime prevention, family support, community development, occupational training, and architectural and public space renewal are all essential components to achieve the goal (Fig. 8.8). Twenty-eight residential buildings, 30% of the quarter’s municipally owned housing stock, and 20 semiprivate condominiums were involved in refurbishment activities. The proportion of substandard social rental apartments was reduced from 50% to less than 10%. The maintenance costs – including the rent and public utilities – of housing units did not increase after the renovation. The living conditions were improved through the installation of indoor toilets, green courtyards, CCTV, insulation, etc., for 750 families. One hundred families participated directly in the reconstruction process, and the renovated buildings are rented by the same residents as before. Nevertheless, new NGOs were established in order to represent the inter-

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Fig. 8.8  Residential building before and after community-based renovation. (Photo by Dániel Horváth – Rév8)

Fig. 8.9  Glove Factory, the new community center of the Magdolna Quarter. Architects: György Alföldi, József Kolossa, and Csilla Sárkány. (Photo by Tamás Bujnovszky – Rév8)

est of tenants in the process. In addition, some interventions realized by ­participatory placemaking in the public spaces helped change the livability of the neighborhood12 (Fig. 8.9). Similar to the community center in the Palace Quarter, the MQP also established a community hub for the quarter. The defunct glove factory at Mátyás Square was transformed into a complex, which hosts cultural, social, and educational programs. The Glove Factory13 Community Centre became the most important community  It is shown by data from 2015: while the population was shrinking until 2011, it started growing by 2.7 percent between 2012 and 2015. The proportion of economic activity was increased from 40.3 percent to 52.9 percent, though the unemployment rate remained 12.6 percent between 2001 and 2011. The proportion of highly educated people increased from 9.6 percent to 13.7 percent (Source: KSH) 13  The name Glove Factory reflects on the former function of the plot. The community center uses the whole plot: a new part was built on the main squares of the quarter, but it is related to the recon12

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Fig. 8.10  Exhibition of MICRO Magdolna summer school in 2014. Concept: Melinda Borsos and Tijana Dimitrijevic. (Photo by Réka Vass)

place not only in the Magdolna Quarter but also for the neighboring quarters (Haba 2008). It offers free weekly courses and programs in arts and crafts, Internet studies, mentoring, sports and health, etc., and hosts programs for women and for the local literary club, etc. (Alföldi et al. 2008) (Fig. 8.10). Several public spaces were renewed during the three phases of MQP; new functions – such as sport leisure or cultural facilities – appeared in the neighborhood (Kondor and Horváth 2008). Consequently, the inhabitants’ attitude changed radically toward their living environment. Most of the streets became humanized and safer, and the proportion of green areas increased (Benkő and Germán 2016). The public involvement process included local meetings, shared community actions (e.g., community planting, constructing public furniture, painting buildings, establishing open-air stage), and the community maintenance of new green areas. Among the public spaces, the Teleki Square possesses a primary importance from the perspective of the quarter and its residents. Historically, this square was situated on the edge of the lively nineteenth-century Budapest and the countryside and served as a significant marketplace as well as a motley center for the poor neighborhood, primarily inhabited by immigrants freshly arrived in the city. The Teleki Square is one of Budapest’s most storied squares.14 structed former industrial part. The courtyard became an important place where in the atmosphere the new and the historic mix forming a new unit. 14  It is not only a place of memory for the local Jewish community but also the place of memory for the communist period. The Hungarian film Eldorado presents perfectly the substance of the square. (https://en.wikipedia.org/wiki/Eldorado (1988 film))

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Fig. 8.11  Teleki Square after the community-based renewal. Landscape architect: Új Irány Csoport. (Photo by Tamás Bujnovszky)

Its decline began in the late 1950s, when the popular and frequented market was displaced. It became a neglected, functionless, and stigmatized urban void, one of the Budapest’s worst places in regard to feelings of security and crime rates. Here, the priority of the urban design was to realize a simple, solid, and functional public area for locals, who founded an NGO, the Association for Teleki Square, in order to participate in the participatory placemaking and also in the maintenance of the renewed square. Urban planning professionals relied on the socioeconomic background and applied practices of community-based public space renewal as guidelines to design the future of Teleki Square in accordance with the municipality and with the inhabitants, which is a fairly unique approach in Hungary. A landscape design studio moderated the intensive and well-documented process (Faurest and Alföldi 2015). As one of the designers summarized the process: “Though the applied design method was genuinely professional, it can be said that the participants became design partners, and finally they all had the chance to envisage a better future for themselves. For a landscape architect, working with a community was quite an illuminating experience, which makes authenticity and responsibility more tangible as opposed to planning for an ‘unknown public’.”15 Thus, with the help of the regeneration project, the Magdolna Quarter explored the HUL approach (Fig. 8.11).

 The citation is from the designers’ webpage: Dominika Tihanyi et  al. Community Design of Teleki Square (http://www.ujirany.com/project/teleki-square-community-park) cited 31 July 2017.

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8.5  Conclusion The major characteristics of a HUL approach proved to be appropriate in the recent rehabilitation programs of the 8th District of Budapest. From the perspective of the local population, the participative approach made the previously ill-famed Magdolna Quarter as precious as the prestigious Palace Quarter. Thus, the aesthetical and historical values of the built environment are extended by the appreciation of the inhabitants attributed to their neighborhood, which would not be necessarily the object of tangible heritage protection. In this sense, the perception of urban evolution and space as a continuity allowed planning professionals and municipality administrators to share the heritage experience of the inhabitants, who, in exchange, became more aware of their renovated quarter and assist eagerly in its maintenance. The fear of loss expressed in the professional discourses of monument and heritage preservation as well as in the popular sensation of degrading urban areas can be soothed by the interpretation of the city as a “living palimpsest of past processes” (Bandarin and van Oers 2015) that creates a continuity and a promise for a shared future, with which all the participants of urban rehabilitation can identify themselves more easily. Thus, concerned heritage communities are constructed on co-­ creation and cooperation and could replace eventually their disadvantageous situation with self-esteem stemming from the appropriation of their living environment and from the respect for their personal perceptions and practices. The most important contribution of the HUL approach was the involvement of the inhabitant’s perception on their environment and its juxtaposition with the practice of the experts of urban conservation and local municipality. The efficiency of the functioning of this triangle (i.e., the opportunities to turn a historical quarter into a resilient and appreciated urban heritage community) is proportional to the level of democratic cooperation within this micro-universe. The major threats emerge from outside through the imposition of (1) external values/expectations of identity, (2) non-negotiated monument protection, and (3) external political agenda in order to support financial, economic, or political interests alien to the heritage quarter and community.

References Alföldi, G., & Horváth, D. (2009). Hogyan tovább? Egy részvételi folyamat fenntarthatóságának kérdései – tapasztalatok Budapest Józsefvárosából. Földrajzi Közlemények, 133(4), 510–515. Alföldi, G., Kolossa, J., & Sárkány, C. (2008). Komuntni centrum Rukavickárna. ERA21, 8(6), 23–25. Alföldi, G., Gerőházi, É., Somogyi, E., & Tosics, I. (2013). Integrated approach to social and economic inclusion. http://ujrev8.epiteszforum.hu/wp-content/uploads/2013/08/2013_magdolna_paper.pdf. Cited 12. Oct 2017. Alföldi, G., ifj. Erdősi, S., & Horváth, D. (2015). Handouts for European Comission: 2nd European CITIES Forum – An Urban Agenda for Europe; Magdolna Book. http://ujrev8.epiteszforum.hu/ wp-content/uploads/2013/08/MagdolnaBook.pdf. Cited 12. Oct 2017. Ascher, F. (2001). Les nouveaux principes de l’urbanisme. Paris: L’Aube.

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Bandarin, F., & van Oers, R. (Eds.). (2015). Reconnecting the city. The historic urban landscape approach and the future of urban heritage. Oxford: Wiley–Blackwell. Benkő, M. (2010). Masséna: New campus of Paris. 4D Journal of Landscape Architecture and Garden Art, 19(3), 2–15. Benkő, M. (2011). Budapest urban blocks and their sustainability. Architektura & Urbanizmus, 45(3–4), 188–201. Benkő, M., & Germán, T. (2016). Crime prevention aspects of public space renewal in Budapest. Journal of Place Management and Development. https://doi.org/10.1108/JPMD-09-2015-0034. Besse, J.-M. (2009). Le goût du monde: Exercices de paysage. Arles: Actes Sud/ENSP. Budapest. (2013). 77/2013. (XII.3.) Fővárosi Közgyűlési rendelet. https://net.jogtar.hu/jr/gen/ hjegy_doc.cgi?docid=A1300077.FOV&dbnum=104&rendelettar=fovaros×hift=201501 01&celpara=. Cited 20 July 2017. Déry, A. (2007). Józsefváros. Budapest: Terc Kiadó. Faurest, K., & Alföldi, G. (2015). Remaking the agora: The community-based design of Teleki Square. Topos, 91, 44–49. Foucault, M. (2009). Security, territory, population. New York: Palgrave Macmillan. Haba, P. (2008). The designing powers of a community, Culture Centre in Mátyás Square. Régi-Új Magyar Építőművészet. Hegedűs, J.  (1999). Hungarian local government. In E.  J. Kirchner (Ed.), Decentralization and transition in the visegrad: Poland, Hungary, the Czech Republic and Slovakia (pp. 132–158). New York: Palgrave Macmillan. Hendriks, M. (2015). A series of art projects for urban regeneration in the Palace quarter. In Lae Foundation (Ed.), On the move #4, landscape architecture Europe (pp. 90–100). Blaudwdruk. Kondor, A. C., & Horváth, D. (2008). Challenges and experiences of a participative green space development in Budapest-Józsefváros. Urbani izziv, 19(2), 174–182. Pickard, R. (2016). Management strategies for historic towns in Europe. In Labadi & Logan (Eds.), Urban heritage, development and sustainability. International frameworks, national and local governance (pp. 151–174). London/New York: Routledge. Rácz, A., & Alföldi, G. (2012). The continuous valorisation of the palace quarter. In D. Tihanyi (Ed.), Palotanegyed (pp. 10–13). Budapest: Józsefváros Önkormányzata. Sonkoly, G. (2017). Historical Urban Landscape. New York: Palgrave Macmillan. Tihanyi, D. (Ed.). (2012). Palotanegyed. Budapest: Józsefváros Önkormányzata. UNESCO. (2005a). Convention on the protection and promotion of the diversity of cultural expressions. http://portal.unesco.org/en/ev.phpURL_ID=31038&URL_DO=DO_TOPIC&URL_ SECTION=201.html. Cited 27 July 2015. UNESCO. (2005b). Declaration on the conservation of the historic urban landscapes. whc.unesco. org/document/6812. Cited 7 January 2016.

Chapter 9

Bukhara: A Living Central Asian Silk Roads City. Application of the Historic Urban Landscape Approach Ona Vileikis, Sanjarbek Allayarov, Christian Ost, and Rand Eppich

Abstract  Bukhara, an ancient city along the Silk Roads in Uzbekistan, is undergoing dramatic change – an increase in visitation, introduction of new materials, and construction techniques – along with a growing awareness of the need for protection. It has been recognized, in Bukhara and other historic cities, that there must be a new approach to urban heritage, balancing conservation along with development and change. The HUL recommendation proposed such an approach, taking into account diversity of stakeholders, management, and planning tools. With this vision, the World Heritage property of the Historic Centre of Bukhara has been preparing its Integrated Management Plan. The preparatory process has prioritized and integrated cultural heritage into the urban planning agenda. The process is not yet complete, but, despite its own challenges, it has already achieved success by bringing together for the first time different partners to envision a heritage city as cultural living capital on the path of protecting while developing this unique Central Asian medieval city. Keywords  World Heritage · Historic Urban Landscape · Management plan · Mapping · Participatory approach · Economic assessment · Conservation · Silk Roads · Bukhara

O. Vileikis (*) University of Leuven, Leuven, Belgium e-mail: [email protected] S. Allayarov UNESCO Office in Tashkent, Tashkent, Uzbekistan e-mail: [email protected] C. Ost ICHEC Brussels Management School, Brussels, Belgium e-mail: [email protected] R. Eppich Heritage Development, Madrid, Spain e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_9

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9.1  Introduction The quality of life of the community who live in and around historic centers is directly related to its impressive monuments, landscapes, and culture. These places create a spirit of home and interlink generations to connect them to their past and reinforce a sense of belonging. This is the case of the Historic Centre of Bukhara, a historic city located in the heart of the ancient Silk Roads in Uzbekistan. However, its Outstanding Universal Value is extremely fragile and, thus, must be diligently protected (UNESCO 2012). Successful urban development aids in this protection and is a process that aims to improve the quality of life by helping people set their own priorities through effective and inclusive involvement, strengthening local capacity and social services, as well as protecting and promoting culture (NIKU 2012). However, urban development that does not address culture and the built environment risks damaging the community, its values, and sustainability. Improving the quality of life in historic city centers such as Bukhara is essential and we recognize this. The Historic Urban Landscape (HUL) approach integrates development principles into conservation planning (UNESCO 2011). This is important for living, vibrant cities such as Bukhara where economic progress has been rapid, international tourism is increasing, and the availability of modern materials and new construction techniques is more widely available. The HUL approach looks forward to find a dialogue between the needs of the community who want and need modern conveniences and authorities who wish to conserve the atmosphere of a medieval Silk Roads city. In 2013, the HUL approach was introduced for the first time in Bukhara. After that, in 2015, it was discussed in detail with stakeholders at multiple levels and government officials, specialists in conservation, and local nonprofit organizations working with heritage in order to integrate the HUL approach into the ongoing Integrated Management Plan. It was agreed that while many modern changes may seem at odds with conservation, this is not necessarily true. Modern conveniences can be adapted to the historic environment while protecting the Outstanding Universal Value of Bukhara. This chapter relates the experiences during the implementation of the UNESCO recommendation on HUL of the World Heritage property of the Historic Centre of Bukhara, Uzbekistan. The project team gathered together with workshop participants, stakeholders, decision-makers, and others assisting this urban community to safeguard their cultural heritage and landscapes while also seeking to improve socioeconomic development.

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9.2  Bukhara as World Heritage 9.2.1  Current Issues and Challenges Bukhara is changing rapidly. People are discovering the unspoiled beauty of this medieval Central Asian city including regional and international visitors. This change, for the most part, is beneficial to the residents as it brings economic opportunity and prosperity and international connections and boosts the well-deserved reputation of this beautiful city (Vileikis and Allayarov 2015). However, these changes are also not without drawbacks. They include the widespread use of modern and cheaper materials, exposed utilities, and other modern conveniences such as air conditioning units, unrestricted parking, and capitalism expressed in large banner signs and backlit store advertisements among others. Bukhara largely retains its medieval feel, and the most significant monuments, with some exceptions, are being well cared for and diligently conserved. This urban fabric is largely intact in terms of plan and scale. It is a special atmosphere when visiting the main monuments to pass through this historic urban landscape (see Figs. 9.1 and 9.2). It includes small narrow streets, buildings in the scale of one or two stories close to the exterior which are made of paksha before viewing the impressive monuments, and the lively market atmosphere including traditional handicraft workshops (Vileikis et al. 2017).

Fig. 9.1  Location of the city of Bukhara, Uzbekistan. (Source: Ona Vileikis. Background: World topographic map)

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Fig. 9.2  View from the east of the Historic Centre of Bukhara, World Heritage property in Uzbekistan. The minaret Kalon and a number of the religious complexes with turquoise cupolas define the silhouette of the urban historic landscape. (Source: Ona Vileikis)

While the main monuments will always require conservation and a dedication of resources, they will also have ample attention given their significance, beauty, and scale. Their protection is clearly reflected in the mandate of the Board of Monuments, the national heritage agency responsible for the protection of monuments and sites. The monuments of the Ismail Samanid Mausoleum, Magok-i Attari Mosque, Kosh Madrassah, and the massive Ark Citadel are only some of the precious individual monuments surrounded and connected by this urban fabric (Knobloch 2001). However, the interconnecting historic urban landscape is what is mostly at risk. This includes the urban fabric, Bukharian traditional houses, and streetscapes of a complete and unspoiled example of a medieval Central Asian town. These elements are explicitly recognized in its Outstanding Universal Value for inclusion in the UNESCO World Heritage List in 1993 (Republic of Uzbekistan 1990) (see Fig. 9.3). Some of these threats are the long-term results of a limited management system, inadequate infrastructure, lack of awareness of the importance of preserving the traditional fabric, clear lack of regular communication between local administrative bodies and the culture sector, and mainly lack of harmonization of the national legislation with the UNESCO World Heritage Convention. They require significant attention and resources along with multiagency cooperation, improvements in governance policies, and building capacities and awareness. Yet other threats are short term and could be easily addressed to make significant impacts through small investments, clear conservation and management guidelines and regulations for town planning, rehabilitation and new construction of housing, and enforcement. Some of these threats include a rising water table due to lack of a

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Fig. 9.3  Traditional houses close outside made of paksha, rammed earth built with clay and raw or burnt bricks, and open inside (left and middle). Market with handcrafts located in the domes (right). (Source: Ona Vileikis)

complete municipal sewage system, termites, inappropriate or non-contributing structures, tourism management, uncontrolled additions, and merchant signage. If these threats are unaddressed, Bukhara will likely retain their monuments, but it will be an island surrounded by a sea of inappropriate and non-contributing housing, hotels, and commercial buildings.

9.3  The Historic Urban Landscape Process 9.3.1  HUL Applied in Bukhara The HUL approach seeks a balance between conservation and development. It recognizes that cities must be evolving, dynamic, and living while also protecting what is unique in the Outstanding Universal Value. The HUL approach intends to manage change rather than only preserve the past to integrate environmental, social, cultural, and economic concerns. It also outlines involvement of stakeholders at all levels (UNESCO 2011). The current conservation approach in the Historic Centre of Bukhara is aligned with HUL in that above all it is designed to protect the Outstanding Universal Value. However, the current conservation program and management plans have to be incorporated in the city planning together with more ideas and concepts from socioeconomic development as advocated by HUL. The suggested process HUL in Bukhara incorporated, to a certain extent, all of the following steps: 1 . Mapping – understanding what you have 2. Participatory planning and consultation on values and attributes

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3 . Integration of heritage values into wider (development) context 4. Economic and vulnerability assessment of attributes but also strengths and potentials 5. Actions and priorities for conservation and development 6. Partnerships and management frameworks Steps 1–5 have been already accomplished by the current approach and the drafting of the Integrated Management Plan for Bukhara. In order to understand Bukhara as a living city and gather the right baseline information, there has been extensive mapping of the monuments and their surrounding urban context as well as economic values. Between 2008 and 2013, five field campaigns took place to map and survey the historic center with a group of national experts, international specialists, and volunteers (Vileikis and Allayarov 2014, 2015; Vileikis et al. 2017) (Box 9.1).

Box 9.1: Mapping and Survey of the Historic Centre of Bukhara The teams carried out a quick reconnaissance mapping of the Historic Centre of Bukhara and a door-to-door residents and owner’s survey. The mapping included all historic monuments, water channels, khaouzes (pools) and open spaces, as well as survey of all dwellings (historic and contemporary) within the Historic Centre. Also, the delineation of the World Heritage boundaries and buffer zones was reviewed. In total 4063 dwellings, including around a hundred traditional Bukharian houses, and 180 historic buildings were surveyed (Fig. 9.4).

Fig. 9.4  International and local team during summer field survey in 2013. All teams were equipped with maps, a cover letter from the Ministry of Culture introducing the project, and basic survey tools, such as tapes or laser distance measurers (disto) and digital cameras. (Source: Ona Vileikis)

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The survey helped not only to understand the current physical condition and threats affecting the dwellings through a quick mapping, but also to assess the heritage values and socioeconomic aspects and create awareness among residents. It also identified traditional houses with high heritage value that were not registered on the national heritage list and other features in a wider context. The survey collected accurate data as baseline monitoring. During the years of survey, the residents of the historic center actively participated. This also included the local children who contributed with drawings and texts about “My Bukhara,” an initiative that later developed into a leaflet describing the Historic Centre of Bukhara through the eyes of Patrimonito (Vileikis and Allayarov 2014) (see Fig. 9.5) (Box 9.2).

Box 9.2: Awareness Raising Campaign: Children’s Leaflet of Bukhara During the summer field survey of 2013, the children living in the Historic Centre of Bukhara were asked: “Bukhara is the city you live in. Let your imagination go and make a drawing or writing about Bukhara to introduce your city.” A total of 35 drawings were received from children between 7 and 13 years old. A selection of them was used to design a leaflet. In it Patrimonito tells the story of the values of the Historic Centre of Bukhara to the children. The leaflet has been distributed in primary schools in the city of Bukhara.

Fig. 9.5  Community participatory method. Children’s leaflet of the Historic Centre of Bukhara, inside panels. (Source: UNESCO Field survey project 2013)

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With  the support of a  Geospatial Information System (GIS),  the study also revealed that the UNESCO boundaries and buffer zones were not properly delineated and did not have the required legal value. The main monuments, such as the Ismail Samanid Mausoleum, were not included in the boundaries or buffer zones (Vileikis and Allayarov 2015). This confirmed the need for a minor modification of the UNESCO boundaries and buffer zones of the Historic Centre of Bukhara. This change has been already approved by the World Heritage Committee (UNESCO 2016). Its legal integration into the master plan of the city is pending, and there is a need to develop zoning and urban planning regulations. Additionally, it was acknowledged that other attributes such as the ancient water management system and fortification walls need further mapping (Box 9.3).

Box 9.3: Geospatial Information System (GIS) Database for the Historic Centre of Bukhara The information collected during the 5 years of survey was stored in a GIS database. Thematic maps, such as state of conservation, infrastructure, and land use, were retrieved from the system to support the further planning of the city and the preparation of the management plan. Further GIS training to the staff of the local authorities and the Interregional Inspection has been foreseen as part of the action plan of the management plan as well as the development of a strategy for updating and adding new information to the inventory (Fig. 9.6).

Fig. 9.6  Screenshot of the GIS database of the Historic Centre of Bukhara showing monuments and dwellings. Result of the five field surveys from 2008 to 2013. (Source: UNESCO Field Survey Project 2013)

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There has also been participatory planning and consultation on values as well as a beginning of economic and vulnerability assessment. The need for economic and social development was explicitly recognized by the government of Uzbekistan in their separate Bukhara City Development Strategy 2030 (CDS) which was codeveloped with the World Bank and participation of a large group of stakeholders (Republic of Uzbekistan & World Bank 2014). The CDS is, in fact, aligned with UNESCO’s HUL and enables developing current conservation programs within the long-term management plan. It aligns with the HUL in that it takes into account a monitoring mechanism and coordination between administrative bodies, establishment of a comprehensive management plan, promotion of traditional construction techniques, and development of a documentation strategy. Nevertheless, the CDS was drafted from a broader perspective and originated from the development point of view, incorporating only recognized cultural heritage and briefly mentioning conservation. Between 2015 and 2017, four consultation meetings with stakeholders took place. The agreement of short-term action plans in between these meetings aimed to guide the authorities and push the process forward. Following the HUL approach, from outside the cultural heritage field development, other participants or stakeholders such as from the State Committee on Development of Tourism (former Uzbektourism), Khokimiyat (municipality), and the mahallas (neighborhoods) joined the meetings. It was observed that the stakeholders did not conceive the historic center as a whole, including the urban layout and traditional houses as illustrated in the Statement of Outstanding Universal Value, but as number of single monuments within a city (see Fig. 9.8) (Box 9.4).

Box 9.4: Participatory Planning and Consultation In 2015, results of the survey were presented to the stakeholders of Bukhara together with the Senate of the Republic of Uzbekistan at the round table on the “Improvement the Implementation of the World Heritage Convention in Uzbekistan.” The outcome of this meeting was the approval of the Decree No. 200 by the Cabinet of Ministers (Republic of Uzbekistan 2014) and an action plan, including the appointment of a national focal point for UNESCO World Heritage, and the creation of new departments in restoration at the Tashkent Architectural and Construction Institute (TACI) and Samarkand State Architectural and Construction Institute (SamGASI) (Figs. 9.7 and 9.8). (continued)

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Box 9.4 (continued)

Fig. 9.7  Bukhara field survey results presented at the jointly organized meeting with UNESCO Office in Tashkent and the Senate of the Republic of Uzbekistan. (Source: Sanjarbek Allayarov)

Fig. 9.8  Multidisciplinary and interinstitutional group of stakeholders at the consultation meeting and workshop during the preparation of the Integrated Management Plan of the Historic Centre of Bukhara in 2015–2016. (Source: Ona Vileikis)

The consultation process showed Bukhara not as a sum of monuments in isolation, but as addressed by the HUL. Through a thorough wider values assessment, Bukhara was seen as the result of a historic layering of cultural and natural values and attributes within a broader context of their urban surroundings. This values context included the ancient medieval narrow streets, the urban fabric with densely packed building blocks and courtyards, fortified city surrounded by walls and gates,

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water management system with a network of khaouzes (pools) and canals, Arc citadel (the civic center of the town), archeological sites, trading domes and streets, traditional Bukharian houses with inner courtyard, caravanserais, hammon (baths), and Islamic religious ensembles that show the presence of Muslim theology, particularly Sufism (madrasa, khonako, mosque, and minaret) and mausoleums. Intangible heritage dimensions were also recognized, such as the practice of Sufism and crossroads in trade and economy of the region, as well as the development of science (Ministry of Culture of the Republic of Uzbekistan et al. 2017). Additionally, after consultation with the main group of stakeholders and interviews with managers of hotels and B&Bs as well as tourist operators and businesses that depend upon cultural tourism, the results of the economic assessment contributed to the broader understanding of the city. As far as use values are concerned, it was recognized that cultural heritage of Bukhara provides urban functions for its residents, mainly residential uses and tourism-oriented shops in the very center, and Shaybanids tourism benefits are dominant and mostly channeled through and regulated through market mechanisms such as the trade domes and the Lyab-iKhaouz. Arts and crafts activities are also well developed. Recreational values exist in several places and green areas such as the Samanid recreation park. As far as nonuse values are concerned, the international recognition of Bukhara’s heritage provides many potential economic benefits. All of these layers combined were the base to understand the challenges and opportunities of Bukhara’s urban heritage at the center of the spatial development process. To address these management issues and to provide the framework for the action plan, the strategies and objectives were grouped under these seven themes:

1 . Enable conservation and manage change. 2. Promote the Historic Centre of Bukhara and improve communication. 3. Enhance the visitors’ experience in the Historic Centre of Bukhara. 4. Improve the quality of life in the Historic Centre of Bukhara. 5. Build capacities in the Historic Centre of Bukhara. 6. Involve communities of the Historic Centre of Bukhara. 7. Boost effective management of the Historic Centre of Bukhara.

The Integrated Management Plan 2017–2022 for the Historic Centre of Bukhara was finalized at the beginning of 2017. It sets out in total 27 objectives and 107 actions. These actions take into consideration the recommendations of the World Heritage Committee and the UNESCO/ICOMOS reactive monitoring missions such as the creation of the Bukhara World Heritage Unit (BWHU) with a manager, city inspector, and a steering committee as well as the development of conservation guidelines and normative building codes for the historic center.

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Along these processes, in 2014, a draft recommendation on changes of the legislation was presented in Bukhara by UNESCO, together with the Senate of the Republic of Uzbekistan, to adapt the cultural heritage management system responding to the World Heritage requirements. As a result a new decree of the Cabinet of Ministers including the creation of a World Heritage unit with a focal point within the Board of Monuments was approved (Republic of Uzbekistan 2014). Other proposals are still under discussion.

9.3.2  Development Defined In order to understand HUL, development must be defined, and there must be an understanding of how this approach evolved. This will explain how two different fields, conservation and development, have now converged with the HUL approach. The United Nations documents emphasize “human development” measured by life expectancy, adult literacy, access to all three levels of education, as well as average income of people. The notion of human development incorporates all aspects of individuals’ well-being, from their health status to their economics and freedom (UNDP 2015). The convergence between development and conservation has finally begun to happen. UNESCO, in the late twentieth century, stated that the world is not only facing economic, social, or environmental challenges  – creativity, knowledge, diversity, and beauty are the bases for a dialogue on peace and progress, and these values are intrinsically connected to human development and freedoms (UNESCO 2015). The three pillars of development could not possibly reflect the “complexities of current society”  (United Cities and Local Governments 2013 p.  4). UNESCO along with the World Summit on Sustainable Development called for the inclusion of culture as the fourth pillar in the sustainable development model since culture ultimately shapes what is meant by development and determines how people act in the world. In Bukhara, the impact of development on architectural conservation can be addressed in several ways. First the idea of conservation has expanded from only protecting the material fabric to protecting the underlying values including social and economic. As stated earlier our built environment directly impacts our quality of life. Therefore, architectural conservation naturally intersects with the concepts of sustainable development. In addition, the conservation, reuse, adaptation, and restoration of existing buildings are much more environmentally friendly than demolition and reconstruction (National Trust for Historic Preservation, Preservation Green Lab 2011). Results of the condition survey revealed that there has been an increase in new construction and inappropriate alterations to the character defining architectural features of the dwellings. Despite the resolution approved by the Cabinet of Ministers (Republic of Uzbekistan 2007) “to prohibit any modern construction within the defined boundaries and to increase on further conservation of cultural heritage, repair and reconstruction as per decree No 269 (2002),” changes

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are taking place. Historic houses are being replaced by new constructions using incompatible building materials and techniques and do not follow the uses and height characteristic of the historic center (Vileikis and Allayarov 2015). After interviews with the residents and owners of the houses, they agree that they have improved their houses to achieve better standards of living. Finally, conservation of architectural heritage, especially in countries with rich cultural resources, such as Uzbekistan, is directly related to improving economic development through tourism, as is the case in Bukhara (Arezki et al. 2012).

9.4  Economic Assessment Culture and economics are often in opposition on the field, but economic factors are critical to the sustainability and well-being of urban communities, such as Bukhara. Cultural economics offer an enormous potential in terms of income and direct and indirect employment, as well as generating induced macroeconomic benefits from these resources  (Getty Trust 1999). However, this process is difficult and often raises concerns. Conflicts may exist between conservation and economic uses. Both sides have good reasons for their work and objectives. For specialists working in cultural heritage such as historians, conservators, and archeologists, conservation and protection are the main focus. However, heritage operators like owners and residents of historic houses or historic accommodation seek to benefit economically and therefore strive to adapt sites to the needs of their activities such as tourism, gastronomy, accommodation, and private or public access. In 2016, bridging the gap between the different needs and uses, a methodology framework for assessing economic values was proposed and applied in the Historic Centre of Bukhara. These results contributed to a draft statement of economic significance aiming to complement the existing statement of cultural significance (Box 9.5).

Box 9.5: Steps of the Economic Values Assessment 1. Identification of cultural heritage in terms of cultural capital  (Throsby 2012), by assessing the long-term economic and social potential of heritage for various urban stakeholders, including visitors (see Fig. 9.9). 2. Measurement of economic values, using methodologies that are today common to many places (use or marketable values, nonuse or nonmarketable values, externalities). 3. Strategic analysis, using a SWOT analysis, to identify internal strengths and weaknesses, external opportunities, and threats. (continued)

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Box 9.5 (continued)

Fig. 9.9  Use of historic buildings for promotion of its intangible heritage such as traditional shows and handicrafts and workshops. (Source: Ona Vileikis)

The unique cultural heritage of Uzbekistan is itself a tremendous and irreplaceable capital and a decisive differentiating factor that contributes to the national economy and remains essentially untapped. Therefore, integrated economic cultural processes need encouragement in order to develop their own power and gain acceptance from rural stakeholders who too often do not appreciate cultural heritage as an economic and sustainable value of its own –beyond tourism. Economic valorization is closely linked to the appearance of urban communities and aesthetic values. This is directly connected with the huge problem of neglected properties, typical of missed economic chances for local inhabitants. Every single neglected and vacant building means loss of cultural and economic value for its owner and loss of identification for locals. There are no common avoidance ­strategies yet, but we increasingly learn that the complexity of the background urgently needs integrated and macroeconomic approaches  – totally in line with HUL principles (Bandarin et al. 2011). The identification and promotion of economic potential of cultural heritage, taken as individual goods or as a whole, are crucial for providing short-term urban benefits and for fostering long-term creativity and innovation  (KEA European Affairs 2009). The demolition of historic buildings in favor of erecting new buildings, for example, or the allocation of historic buildings in favor of developing non-­ sustainable tourism initiatives is always the second choice as calculations show that integrated and sustainable conservation offers much more long-term direct and indirect effects in social and economic terms. The sound implementation of HUL approach would bridge the gap between the needs of conservation and the expected benefits from innovative economic uses. As stated earlier there may be conflicts

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between conservation and economic uses in the short term. These must be balanced through the early and continued involvement of both disciplines, with strong public intervention to correct market failures. In terms of financial resources, the same balance between conservation and economic development is required to create innovative financial models that may bridge short-term financial returns with long-term economic benefits from investing in heritage conservation (Pickard 2009). As far as economics is considered, Bukhara’s experience tells us that the HUL approach is an incentive to strengthen the potential of socioeconomic benefits – not just relying on tourism but also taking into consideration the potential of the historic area for creative and innovative activities, in line with the long intangible heritage of skills, knowledge, and craftsmanship. Custom-made financial models for heritage operators and property owners, coupled with strong incentives from local authorities, allow creating new uses, to reflect on reuses of historic buildings. Putting emphasis on integration between the historic area and the developing surrounding area is one of the most urgent topics in rural development, preventing rural exodus and avoiding mass tourism (Eppich 2014).

9.5  Conservation Approach In order to understand the integration of the HUL approach into the historic city of Bukhara and their current conservation planning efforts, the present situation and challenges must be described. Currently these can be divided into two general categories – those that are the responsibility of the government authority and those which stem from a general lack of awareness from the community itself including individual property and business owners. To address the challenges, working groups were held to establish a specific conservation philosophy for Bukhara that incorporates the HUL approach based on the Outstanding Universal Value and its setting. This philosophy was developed during multidisciplinary working sessions with conservation architects, planners, government, and nonprofit civil society organizations, with local, national, and international participants. They were based upon established and recognized international standards yet sought to enable and further socioeconomic development as advocated by the HUL approach (Box 9.6). In order to address the challenges and preserve the Outstanding Universal Value of the Historic Centre of Bukhara as a World Heritage property of Uzbekistan, previous General Principles of the Conservation were created to assist in guiding the future work while promoting urban regeneration and managing processes of change (Ministry of Culture of the Republic of Uzbekistan  et  al. 2017). Based on these General Principles, specific directions for the conservation of each one of the recognized attributes were also developed. These directions aim to better prioritize future actions and establish the yearly action plan of the Interregional Inspection.

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Box 9.6: Conservation Principles of the Historic Centre of Bukhara Respect for all values – The Historic Centre of Bukhara, its original fabric, scale, authenticity, and attributes should be respected and conserved. The Outstanding Universal Value together with local values gives the integrity of the urban surroundings. The urban landscape of the Historic Centre of Bukhara includes the mahallas, its houses, the main monuments, and traditional water systems and reflects its cultural diversity and traditions. Minimal intervention  – The values and attributes of the Historic Centre of Bukhara should be always maintained with minimum intervention. Only undertake repairs where absolutely necessary for short- and long-term stability, moisture protection, and visitor safety. Repair rather than replace. Any elements that require replacement must be identified. Before replacement it is necessary that the causes of deterioration must be studied, understood, and addressed. Maintain reversibility in any intervention when possible and reverse existing inappropriate interventions. Avoid drastic fragmentation of the urban fabric, such as the mahallas and public spaces. Compatibility and reflection of changes – All interventions should be physically and visually compatible with the values of the heritage object and slightly distinguishable from the original materials. All changes should be documented. Traditional or compatible materials and techniques – Only traditional or compatible materials, such as fired brick or mud brick, and building techniques, such as carcass (wooden) or brickwork, should be used. It should follow the same or similar design, color, properties, structure, and decorations. Evaluation – All original materials should be evaluated and tested to thoroughly understand their properties and attributes in order to propose alternative new materials for further use. All new materials and any proposed treatments should be assessed. International standards – All work should be in conformity with the international conservation practices and charters. Some examples are the Venice Charter (1964); Convention Concerning the Protection of the World Cultural and Natural Heritage (1972); Charter for the Conservation of Historic Towns and Urban Areas (Washington Charter) (1987); Nara Document on Authenticity (1994); Principles for the Recording of Monuments, Groups of Buildings and Sites (1996); Principles for the Analysis, Conservation and Structural Restoration of Architectural Heritage (2003); Xi’an Declaration on the Conservation of the Setting of Heritage Structures, Sites and Areas (2005); FARO Convention (2015); Valletta Principles (2011); and Burra Charter (2013). (continued)

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Box 9.6 (continued) Maintenance of use – Monuments, traditional houses, dwellings, and other heritage elements must be maintained in use in order to ensure their protection. Therefore, damaged, abandoned, unused, or underused spaces should be recovered, adapted, and made available for appropriate use without losing the originality or spirit of the place. Their maintenance and restoration should be economically feasible and sustainable. Sustainability – The protection and management of the Historic Centre of Bukhara must be guided in line with the principles of sustainable development. Prepare for longer-term conservation projects including manuals for maintenance, illustrated conservation guidelines, and visitation plans. Control the water on and around the historic center. Revitalize pools (Khaouzes), traditional irrigation, drainage, and the ancient street network. Understanding – Records and documentation of all works should be easily understood and available. This includes locating historic documents, updating monument passports, monitoring forms, and creating a bibliography. Decision-making process about changes should be consultative, consistent, well justified, and informed. Communication – All work should be planned by a multidisciplinary team, communicated, and shared. Knowledge and skills of experts and active participation of the mahallas are essential in order to communicate to the stakeholders, residents, and property owners why it is important to preserve the original fabric and when it is appropriate to replace it with compatible materials. Infrastructure  – Any improvements to the infrastructure system should respect the existing historic structures and not impact negatively the historic urban fabric. Bukhara is a living city with active communities, neighborhoods, and businesses. Therefore, the possibility of improving the quality of life through the introduction of appropriate infrastructure and service, such as water delivery systems, storm drainage, sewer drainage, energy efficiency of buildings, and electrical and gas delivery, should be ensured. The implementation of infrastructure must be inserted very carefully, ideally in the presence of staff of the inspection. Physical access: transportation and mobility – Innovations in transportation and mobility should not have any detrimental impacts on the values or the attributes of the Historic Centre of Bukhara. There should be a balance between protection and access in the historic center. Vehicles, private and public transport, and parking should have limited access. The city strategic planning must include decisions on rehabilitation of the historic city structures, such as streets and routes within the mahallas, considering the need of accessibility of people with disabilities as well as an emergency plan and vehicles.

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9.6  Conclusion This chapter described how the HUL approach was addressed and how it has been incorporated into current conservation planning and management of the World Heritage property of the Historic Centre of Bukhara in Uzbekistan. It explained how this approach has been presented and implemented through integrative and participatory planning with the group of stakeholders and the community. Acknowledgment of the need for managed development by the government, along with publication of the CDS and with the preparation of the Integrated Management Plan for Bukhara, was ideal to introduce the HUL approach. The HUL implementation in Bukhara recognized the realities of development within the historic center and the need to improve the quality of life along with conservation of historic properties. It opposed dividing the city into separate conservation areas to create static city museums and aimed to preserve and enhance quality of life and productivity of the custodians. Bukhara was recognized as a living city with several layers of significance. The Integrated Management Plan was not the end, but the beginning of the coming years of multilevel and multiagency dialogue and cooperation. As important as the result was the process. It included years of mapping and surveying, socioeconomic impact studies, review of values and legislation to understand the context, and continuous meetings with the main stakeholders. The stakeholders’ group was engaged throughout the meetings with rigorous debate to find the best solutions, methods, and approaches for protecting their historic city. This process was always promoted by the media in national TV, newspapers, and virtual networks. The experience of the implementation of the HUL in Bukhara fostered international and interagency collaboration and partnerships with universities and saw conservation of the historic city from a broader perspective, community involvement, and consensus of the stakeholders as a key in decision-making. Finally, it aims to inspire other historic cities to follow this approach. Acknowledgments  Thank you. The sense of pride of place was palatable in Bukhara. All the professionals, community leaders, and concerned individuals from across many different fields, government agencies, and professions were constantly talking about their heritage and were eager to share their experiences, enthusiasm, and concern for this important World Heritage property. The authors wish to thank them for being open to new perspectives and searching for innovative approaches to protect Bukhara. This includes representatives from the Ministry of Culture of the Republic of Uzbekistan, the Board of Monuments, the State Committee on Development of Tourism, and the local administrations, both the Interregional Inspection and the Khokimiyat, as well as architects, the mahallas leaders, and most importantly the community of Bukhara. The authors also wish to thank the professional staff of the UNESCO Office in Tashkent and the funding provided by the regular program “Implementation of the World Heritage Convention,” the International Assistance project “Development of a Management Plan for the Historic Centre of Bukhara,” and the UNESCO/Netherlands Funds-in-Trust project “Application of the UNESCO Recommendation on Historic Urban landscape at the World Heritage properties of the Historic Centre of Bukhara and Samarkand, Uzbekistan”. Special thanks go to those who developed the HUL approach, namely, Ron van Oers for sponsoring and organizing previous workshops and publications as well as providing the background research to make the HUL application in Bukhara a success.

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References Arezki, R., Cherif, R., & Piotrowski, J. (2012). UNESCO world heritage list, tourism, and economic growth. In G.  Licciardi & R.  Amirtahmasebi (Eds.), The economics of uniqueness. Investing in historic city cores and cultural heritage assests for sustainable development (pp. 183–212). Washington, DC: World Bank. Bandarin, F., Hosagrahar, J., & Sailer Albernaz, F. (2011). Why development needs culture. Journal of Cultural Heritage Management and Sustainable Development, 1(1), 15–25. https:// doi.org/10.1108/20441261111129906. Eppich, R. (2014). Quality of rural life and culture. Editor’s Note. In Cultural heritage, landscape & rural development good practice, methodology, policy recommendations & guidelines for rural communities. HISTCAPE: Historic Assets and Related Landscapes (pp. 8–9). The European Union European Regional Development Fund. Retrieved from http://www. historic-towns.org/Winter%20Newsletter%202014/HISTCAPE_Cultural%20Heritage%20 Landscape%20and%20Rural%20Development-1.pdf Getty Trust. (1999). In R. Mason (Ed.), Economics and heritage conservation. Los Angeles: The Getty Conservation Institute. KEA European Affairs. (2009). The impact of culture on creativity. A study prepared for the European Commission (Directorate-General for Eductaion and Culture). Retrieved from http://ec.europa.eu/culture/documents/study_impact_cult_creativity_ 06_09.pdf. Knobloch, E. (2001). Monuments of Central Asia: A guide to the archaeology, art and architecture of Turkestan. London/New York: I.B. Tauris. Ministry of Culture of the Republic of Uzbekistan, Interregional Inspection of Bukhara and Navoi, & UNESCO Office in Tashkent. (2017). Integrated management plan 2017–2022. Historic centre of Bukhara World Heritage Property. Bukhara: Unpublished. National Trust for Historic Preservation, Preservation Green Lab. (2011). The greenest building: Quantifying the environmental value of building reuse. Retrieved from http://www. preservationnation.org/information-center/sustainable-communities/greenlab/lca/The_ Greenest_Building_lowres.pdf NIKU  – Norwegian Institute for Cultural Heritage Research. (2012). Harnessing the hidden potential of cities. Report from the Oslo Workshop 11–12 April 2012. Can Cultural Heritage Investments Support Inclusive Urban Development? Oslo. Pickard, R. (2009). Conservation in the built environment, policy law and practice. London: Taylor & Francis. Republic of Uzbekistan. (1990). Historic Centre of Bukhara – Nomination Dossier. Republic of Uzbekistan. (2007). Decree No. 191 On the issue of the protection of cultural heritage in the historic centre of Bukhara (2007.09.11). Retrieved from http://www.lex.uz Republic of Uzbekistan. (2014). Decree No. 200 Cabinet of Ministers on Additional Measures to Enhance Protection and Utilization of Tangible Cultural and Archaeological Heritage (21.07.2014). Retrieved from http://www.lex.uz Republic of Uzbekistan, & World Bank. (2014). Bukhara city development strategy 2030 (Final report) (Unpublished). Throsby, D. (2012). Investment in urban heritage, economic impacts of cultural projects in FYR Macedonia and Georgia, urban development and local government. NW Washington, DC: The World Bank. UNDP. (2015). Human development report 2015. Work for human development. New York: United Nations Development Programme. UNESCO. (2011). Recommendation on the historic urban landscape. UNESCO. Retrieved from http://whc.unesco.org/en/activities/638 UNESCO. (2012). Decision adopted by World Heritage Committee at its 36th session (Saint-­ Petersburg, Russian Federation, 24 June  – 6 July 2012). Document WHC-12/36.COM/19. Presented at the 36th session of the Committee, Saint Petersburg. Retrieved from http://whc. unesco.org/archive/2012/whc12-36com-19e.pdf

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UNESCO. (2015). UNESCO’s work on culture and sustainable development evaluation of a policy theme. Evaluation office. Document IOS/EVS/PI/145 REV.5. p.4 Retrieved from http://unesdoc.unesco.org/images/0023/002344/234443e.pdf UNESCO. (2016). Decision adopted by World Heritage Committee at its 40th session (Istanbul, Turkey, 10–17 July 2017). Document WHC/16/40.COM/19. Presented at the 40th session of the Committee. Retrieved from http://whc.unesco.org/archive/2016/whc16-40com-19-en.pdf United Cities and Local Governments. (2013). Culture: Fourth Pillar of Sustainable Development. Barcelona: UCLG Retrieved from http://www.agenda21culture.net/index.php/documents/ culture-the-fourth-pillar-of-sustainability. Vileikis, O., & Allayarov, S. (2014). Strengthening the role of community in the protection and management of the Historic Centre of Bukhara. In The Right to [World] Heritage. Conference Proceedings (pp.  207–218). Presented at the The Right to [World] Heritage, Cottbus-­ Senftenberg: IAWHP. Vileikis, O., & Allayarov, S. (2015). Enhancement of the implementation of the World Heritage convention through strengthening the protection and management mechanism in the historic centre of Bukhara. In Revisiting Kathmandu, Safeguarding Living Urban Heritage (pp. 133–140). Presented at the Revisiting Kathmandu, Safeguarding Living Urban Heritage, Kathmandu: UNESCO Office in Kathmandu. Vileikis, O., Escalante Carrillo, E., Allayarov, S., & Feyzulayev, A. (2017). Documentation for Preservation: Methodology and a GIS Database of Three World Heritage Cities in Uzbekistan. ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, IV-2/ W2, 311–318. https://doi.org/10.5194/isprs-annals-IV-2-W2-311-2017.

Chapter 10

City as Evolving Process: Case for the Historic Urban Landscape Approach for Canberra Ken Taylor and Meetu Sharma Saxena

Abstract  Canberra was conceived and planned as a city not like any other for the first 75 years of its conception from the Griffin plan of 1912 with planning guidelines specifically modelled to maintain it as the city in the landscape. Since self-­ government in 1988, planning has been governed increasingly by the global orthodox canon of increasing urban densification, urban consolidation and high-rise buildings without regard for the significance of the context and setting of the city. Two outcomes are low priority of heritage considerations leading to loss of heritage precincts and downplaying of the historic landscape ethos leading to loss of landscape space and trees and blocking views of the surrounding hills that are quintessential to the setting and ambience of the city. This chapter critically examines how planning action and governance for Canberra need to refocus on the essential elements of the Historic Urban Landscape (HUL) approach as rapid change and transformation of the city occur. Keywords  Landscape · Civics · Town planning · Ideal city · Authorised Planning Discourse (APD) · Participatory planning · Community

K. Taylor (*) Centre for Heriatge and Museum Studies, The Australian National University, Canberra, Australia e-mail: [email protected] M. S. Saxena Research School of Humanities and the Arts, Australia National University, Canberra, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_10

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10.1  Introduction The twentieth century was notable in the field of town planning in that it saw a remarkable expansion in the practice of public planning in almost all democratic societies. It was given life by the international zeal in the first decade of the century for the new art and science of town planning (Taylor 1999; see also Birch 1980). The first garden city, Letchworth, was started in 1903; international town planning conferences took place in 1910 in London and Berlin; 1911 saw the formation of the British Town Planning Institute; the first conference on city planning in Australia was held in 1901 (‘Congress of Engineers, Architects, Surveyors, and others interested in the building of the Federal Capital of Australia); the First Australian Town Planning and Housing Conference and Exhibition was held in Adelaide in 1917; textbooks such as Barry Unwin’s (1909) Town Planning in Practice were written and journals published (Taylor 1999). As Bandarin and van Oers (2012: 11) aver, this twentieth-century planning movement may be seen to be relevant to the current concept of HUL in that early twentieth-century thinking on urban form was able to ‘show a capacity to project the modern metropolis into the future while at the same time interpreting and valuing history and continuity’. Indeed this is one of the fundamental strengths, and attractions, of the HUL paradigm. Notably and additionally in the early twentieth century was a complementary emerging interest in the building of national capitals such as Canberra, New Delhi and Washington. The art and science of planning had social as well as physical underpinnings, in particular the encouragement of a healthy citizenry educated in the role of civics. This would be manifested through a utopian approach to the layout of towns where residential areas, parks and democratic open space and shopping municipal/government buildings would be carefully zoned and sited. Controlled physical planning with monumental public buildings in a discontinuous pattern, space and greenery and distinct residential zones according to economic status would have desirable social outcomes in contrast to the overcrowded industrial cities throughout the world. Integral to this utopian approach was the concept of civics as proposed by Patrick Geddes in his 1915 book Cities in Evolution, which concerned itself with the study of physical elements as a basis for planning, ‘survey before plan’ and ‘a synoptic view’ were critical to the Geddes approach to city planning where he saw the city as process (Taylor 1999). He also saw ‘the city as an organism in evolution, where physical and social components interact in a complex web of change and tradition. Geddes looks at the city in a truly comprehensive manner: from a morphological, as well as social, point of view’. In this sense, ‘he looks at the city as history and the relationships between the city and geographic and natural context’. For him, the whole city should be considered for conservation (Bandarin and van Oers 2012: 12/13). In these innovatory ideas, he was presaging what we now see as the Historic Urban Landscape paradigm. It was against this background, as the new century dawned, that the idea took shape for a new federal (national) capital city for Australia (Taylor 2006). It was to

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be an ideal city for a new nation. From the outset, the concept of a federal capital, choice of site and initial planning of Canberra from the 1911 international design competition were seen as a public undertaking where the concept of landscape was an underlying determinant of the city’s morphology. In the little more than 100 years of its existence, Canberra has acquired a series of layers which reflect planning outcomes shaped by decisions and actions of 37 governments, 25 prime ministers, various planning bodies and, not least, clear visions for the city and its form. The resultant tangible and intangible aspects have created a Historic Urban Landscape rich in symbolism and meaning, which has, however, been increasingly ignored in the planning and management in critical parts of the city since circa 2000.

10.2  The Canberra Context Canberra, a child of twentieth-century planning visions, is a remarkable city. In the true sense of the word, it is a unique city, for there is no other city like it in the world. Walter Burley Griffin declared in 1912 that ‘I have planned a city not like any other city in the world. I have planned it not in a way that I expected any ­governmental authorities would accept. I have planned the ideal city – a city that meets my ideal of the city of the future’ (Griffin 1912). These were prophetic words, for the development of the city over the years has maintained its status of being unlike any other. Why is this? There are roads, houses, offices, schools, shops and parks – all the components we associate with urban development – as in any other city (Taylor 2006). The underlying reason lies in the way landscape defines and articulates the city plan so that the city is an example par excellence of the interface between culture and nature. Changes over the years, to the form of the city (1911–1988), and hence to the Griffin ideal, have taken place. Nevertheless, the landscape basis which binds form and content remained vividly coherent in the city plan (Taylor 2006). Griffin’s 1911, 1912 and 1918 plans were essentially in the city beautiful model with generous democratic landscape and open space provision, public and private. This was overlain by garden city planning ideals in 1921 with the advent of the Federal Capital Advisory Committee (FCAC) under John Sulman,1 followed in 1924 by the Federal Capital Commission (FCC). It was this period that saw the inner, now historic, ten garden city suburbs of Canberra developed. The garden city notion held sway in the planning of Canberra for the next 60 years. As a result, the form of the physical landscape – natural and created – is a palpable, tangible presence defining the city but equally so is its content or intangible, symbolic meaning. Fundamental to the city’s spatial structure therefore is the premise that Canberra is a city in the landscape. It was a basic premise of the National Capital Development Commission (NCDC), the national agency that planned and developed the city from  Chairman, Federal Capital Advisory Committee 1921–1924.

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1958 to 1988 and set out in its 1970 manifesto Tomorrow’s Canberra (NCDC 1970). Its spatial structure has been progressively and incrementally planned from the beginning to maintain continuity with existing design elements, in particular the hills, ridges and valleys of the National Capital Open Space System (NCOSS) that form a landscape skeleton for the city’s form and its meaning as the city in the landscape. Looking out over the magnificent prospect from Mount Ainslie (Fig. 10.1) across the city to the hills that form its embracing backdrop, the tree-lined streets, gardens and parks of the older residential areas pre-1988, the landscape itself is more than physical elements. It has a meaning and significance that communicate what Canberra is. Related to this idea was the intense period of review and scrutiny of the city and its development in the mid-1950s. A senate enquiry in 1955 and a 1957/1958 report by British planner Sir William Holford saw the promulgation of the NCDC by then Prime Minister Sir Robert Menzies. Under the NCDC the garden city concept flourished, and a linear model of growth, the Y Plan, was introduced (Fig.  10.2). Integral to this was a series of five new towns in addition to inner Canberra, separated from each other by broad-acre landscape corridors − which also acted as transport routes – and defined by the hills, ridges and valleys of the NCOSS. The NCOSS was, and remains, a major determinant of the morphology and character of the city. It is one of, if not the, the major defining elements in Canberra’s description as the city in the landscape and consists of two parts: the inner hills and ridges around inner Canberra and then a ring of outer hills and ridges.

Fig. 10.1  View from Mount Ainslie. (K. Taylor)

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Fig. 10.2  NCDC Y-shape plan for Canberra

The system had its beginnings as a critical element in the original Griffin plan. Griffin used the inner hills as end points to his axial vistas and the outer ring of hills as visual reference points looking out of the city he planned. In this way he saw the proposed city site on the Limestone Plains as a dramatic amphitheatre setting for his city (Fig. 10.1). Approaching the city from the outside, the views of eucalypt bush clad hills and ridges weaving through the city and views inside and across the city framed by the hills and ridges create a powerful sense of imagery for Canberra with its memorable, dramatic stage-like setting in an amphitheatre of hills. Freestone (1986) observed that Griffin used the setting ‘as a theatrical whole to give a design rich in symbolism’. As a result it is the internal views across Canberra, which are so critical to the city’s identity, that are being compromised by high rise developments, particularly in the inner city area. These developments and changes, take place without any analysis or attempt to map the viewsheds and their significance. This is a concern to which we return later.

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10.3  Governance In the context of the meaning and significance of the city, and in the context of this chapter, 1988 is a critical year. It was the year self-government was forced on the territory and city and the NCDC abolished. The act of capital building had been subsidised by the Commonwealth government for 75  years, but increasingly this state of affairs became difficult for the rest of the nation to accept.2 Canberra was regarded as indulged; political tensions led to closer scrutiny of the Commonwealth’s power and role and inevitably self-government (Brown 2014). A critical point to bear in mind in the following discussion is that all land in the ACT is government owned and therefore subject to 99-year leasehold agreements. There is no freehold land (Singer et al. 1988). The ACT government therefore is responsible for the sale of leasehold land releases on greenfield sites. It is also responsible for sale of leases on land where government or private enterprise redevelopment of government-­ owned properties – for example, government housing or office accommodation – is planned. The government also levies betterment tax on land proposed by a developer for alternative more lucrative use. Sale of leases is a major source of income for the government. It is a system that has been blamed for increasing house prices as claims are made that insufficient land releases take place, thereby causing a shortage, which inflates prices.3 The year 1988 saw alterations to the hitherto cohesive planning, development and land management system of the city. NCDC was replaced by the National Capital Planning Authority (NCPA), now the National Capital Authority (NCA), 2  As summarised from a series of articles titled Research Guides available online on the National Archives of Australia website. The reference to the central piece, Long journey towards self-government, on the subject of self-governance is in the further reading section. 3  The lease hold system in Canberra is a constitutional provision. Section 125 of the Commonwealth of Australian Constitution Act provided for the seat of government to be within territory belonging to the Commonwealth. Section 9 of the Seat of Government (Administration) Act 1910 provided: ‘No Crown land in the Territory shall be disposed of for any estate of freehold’. The City Leases Ordinance 1921 empowered the Minister to grant leases of land within the city area for periods not exceeding 99 years. The basic provisions were:

( a) An annual rent of 5% of the unimproved value of the land. (b) The value of the land to be reappraised after 20 years (later amended to 5 years). (c) The construction of a building, in accordance with the lease, was to be commenced within 1 year and completed within 2 years of the granting of the lease. The fact that the lease hold system is used by the government to its advantage to generate revenue is a forgone conclusion and can be inferred from the way that the government releases land and makes it available to the public. Further details on such discussions can be found at the following online sources: http://leofoley.com/PDF/Canberra-leasehold-system.pdf https://www.prosper.org.au/2008/01/16/canberra/ A detailed list of articles and documents on the same can be found at https://www.archives.act. gov.au/__data/assets/file/0010/.../Leasehold_system.rtf

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with a limited planning portfolio confined to the central national area of the city and some residual control of the critical hills, ridges and valleys of the NCOSS. The latter is shared with the ACT government, which is responsible for the day-to-day management. Indeed the ACT government now manages all land in the territory except those areas gazetted as national land, which the Commonwealth retained for its own use. The national land areas are administered by the NCA or the Department of Finance and Administration on behalf of the Commonwealth.4 Self-government and how the various departments operate in planning, administration and land management have had an adverse impact on the way Canberra’s essential character as the city in the landscape has been usurped. Resultant changes to its urban landscape setting have led community groups representing various sections of the city to question plans for redevelopment and the so-called ­ ­revitalisation.5 These actions, in particular revitalisation, are viewed as shorthand for residential densification and urban infill schemes, increasingly in the form of apartments, many devoid of, or with minimal, landscape space and tree planting. Planning has increasingly, since circa 2000, been governed by the mantra of the global orthodox canon of increasing urban densification, urban consolidation and high-rise buildings without regard for the significance of the context and setting of the city. Such an approach is what we call the authorised planning discourse (APD) akin to Smith’s authorised heritage discourse (AHD) critique (Smith 2006). It defines urban planning within strict and narrow boundaries based on a Western experts’ derived view that sees universality of policy and action as a strategy to be applied globally in the form of a set basis of ideas about planning. If you do not conform to these rules, the inference is that the planning outcome will be inferior to the superior APD.  Countless ‘experts’ have been brought to Canberra from Europe and North America, e.g. Seattle, Copenhagen and Toronto, to tell us how to plan the city in the way they do. This is done without any regard to the particular characteristics of Canberra, its setting and its history. The end result is a creeping mass of urban densification where taller buildings crammed onto sites dominate and are devoid of meaningful landscape spaces to grace the setting. This is rather reminiscent of Frank Lloyd Wright in aphorist mood with reflections that ‘The good building is not one that hurts the landscape, but one which makes the landscape more beautiful than it was before the building was built’ (Wright n.d.; see also McCarter 2006)6 or that architecture should be ‘a grace to the landscape instead of a disgrace’ (PBS Radio n.d.). The application of the APD in Canberra has led to loss of landscape space and trees and blocking views of the surrounding hills that are quintessential to the setting and ambience of the city. New developments, devoid of green landscape spaces, private, semiprivate and public, have increasingly eschewed an approach reflective  https://infrastructure.gov.au/department/statements/2018_2019/budget/nca1.aspx  ‘Revitalisation’ is commonly used by planners and developers to justify change without explaining what is meant and why is it needed. 6  Frank Loyd Wright as quoted in Ladies Home Journal which can be accessed at https://worldhistoryproject.org/1901/2/wright-published-in-ladies-home-journal 4 5

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Fig. 10.3  A city like any other. New development in Gungahlin along major transport route (Flemington Road with tram line currently under construction). (K. Taylor)

of the city’s historic character and sense of place as a city in the landscape (Fig. 10.3). The argument developed here for the need to apply HUL principles is not against increased densities but against the failure to plan for open space and landscape ­treatments between and around buildings, residential and commercial. One underlying cause of this outcome is the insistence on maximum financial return on land sales and hence the push to maximise number of dwellings. Even where lower densities are planned, with detached housing, the blocks are so small as to militate against any meaningful open space and space for large trees. The result is extensive undermining and destruction of Canberra’s historic character in new areas of development and in redevelopment areas of existing suburbs. The local architect and architectural commentator, Tony Trobe (2017), answering the question ‘How would you describe Canberra’s current approach to planning?’ in an interview for Allhomes observed: To be frank, my personal opinion is that it’s just a little directionless, turgid even. We have recently celebrated the 100th anniversary of the competition that gave Canberra its clothes. When comparing the current state of play with the boldness of those who gave birth to the idea of our capital, one is inclined to weep. Some say “you can have old planners and you can have bold planners, but that you cannot have old/bold planners”. I’m inclined to disagree: old and bold is good! I think the time is right for some, as yet unidentified, champion to step forward to tilt at windmills. Unfortunately this endeavour appears as a poisoned chalice from which politicians rarely drink.

To complicate matters further, the burgeoning and onerous Territory Plan is now 1200 pages of dense rules, maps and criteria for a territory of 400,000 people. Trobe

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(2017) further reflects that the ACT Planning Code has expanded so that now it is somewhere upward of 100 MB and 1200 pages of dense rules, maps and criteria. Exacerbating matters further has been the duality in land management for land developed by the ACT government. The responsibility of development of the land has until April 2017 resided with the ACT Land Development Agency (LDA), and the statutory planning is administered by the ACT Planning Authority. Both these authorities sit within the ACT government’s Department of Environment, Planning and Sustainable Development. To complicate matters further, planning within ACT is also bifurcated, administered through the National Capital Plan and the Territory Plan created and managed by NCA and the ACT government, respectively. The two plans divide responsibility for the development of the national capital, with the Commonwealth retaining control of the ‘national capital’ element and the ACT government given responsibility for what might be called the ‘suburban and municipal’ plan. What is missing, and noticeably so, is a comprehensive metropolitan plan for the territory. The last such plan was prepared by NCDC in 1984. Piecemeal master plans for the area managed by the territory government have been prepared over the past 15  years for the various town centres and some local suburban commercial cores, but a comprehensive master plan is yet to be developed.7 There has also been reluctance by the ACT government and its agencies to invoke meaningful participatory planning with local community groups to create precinct master plans to guide future change. Where plans have been prepared, these are promulgated by the government after which comes ‘consultation’ with the community. All too often communities, with reason, regard such presentation of government promulgated plans as a fait accompli. Private developers and development companies have seen this as an opportunity to prepare plans for extensive redevelopment (under the guise of ‘revitalisation’) and submit these as ambit plans to the government, often to the dismay and trenchant opposition of local community groups. Such is the proposal for extensive developments in the Manuka-Griffith area, an established area of the city dating back to the Griffin, the FCAC and the FCC eras. The role that the LDA assumed for itself in land management gradually but effectively morphed into that of a quasi-planning agency deciding on land-use changes, densities and future land development. In a newspaper piece, Kirsten Lawson (2017: 5) writes that the LDA got into ‘complex, perplexing land deals, in some cases without clear authority’. Lawson also points to the fact that a number of the LDA board members are people who are involved in property developments in Canberra and/or are consultants to the ACT government. Such outcomes pose the question of what is, or should be, the role of the ACT planning section of what is known as ACTPLA (ACT Planning and Land Authority) and in particular the planning section responsible for the Territory Plan. In response to the ongoing criticism of the LDA, it has been abolished (April 2017) and replaced by two agencies: an Urban Renewal Authority and Suburban Land Agency. Both have an obligation on appointed board members that they not pursue personal interests, not use board 7  As evident and inferred from the publically accessible documents available on the ACT Environment Planning and Sustainable Development Directorate website.

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membership to gain personal advantage and not undermine the agencies’ reputation. We refer further to the Urban Renewal Agency below.

10.4  Why Canberra Needs and Deserves the HUL Approach Given Canberra’s position as an internationally famous creation of twentieth-­ century town planning, the current planning path and dogmas represent an increasingly missed opportunity of applying the HUL approach to help shape the future city form (Taylor 2015a). The following five principles are suggested for application, and examples are given to illustrate these: • Special nature of the city as with its visions of a planned ideal city: a city not like any other. • Genius loci of the city inherently centred on the culture-nature interaction. • Preparation of a metropolitan plan for the whole city rather than separate piecemeal plans for separate suburbs or groups of suburbs. • Within the metropolitan plan, the need for precinct plans for suburbs that relate to specific character of the suburb(s) and where local residents are consulted; currently the model is the development of precinct codes that are then incorporated into the Territory Plan as technical amendments without local community input, planning for cones of view and protecting significant vistas. • Need to establish appropriate partnership between planning authority and residents for local area precinct planning. The following are examples of projects (Fig. 10.4) where the application of HUL principles, rather than the APD approach, would have been more appropriate.

10.4.1  Manuka Oval, Griffith (Fig. 10.4 site A) The street layout of the suburb of Griffith has its origin in Griffin’s plans, in particular the 1918 plan continued in the 1927 FCC plan for the city with the FCC approach to garden city planning inherited from the FCAC.8 By 1927, a park had been located at the site of the now Griffith Oval; the park was turned into a sports oval circa in 1929 (Selth 2007). The area has maintained its garden city and leafy, historic character. In February 2016, an unsolicited proposal by Grocon and GWS Giants9 was presented to the ACT government for the redevelopment of a historic sporting hub and its surrounding areas at the Manuka Oval site. The stadium was to be upgraded including 8  Plan of Canberra The Federal Capital of the Commonwealth of Australia, May 1927, complied and published by the FCC from the first premiated design by Walter Burley Griffin. 9  Grocon is a national level property developer, and GWS Giants is an Australian Rules football club that plays in the Australian Football League (AFL).

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Fig. 10.4  Examples of projects both proposed and in progress where application of HUL would have been appropriate

existing seating, additional covered stands and new amenities. This upgrade of the stadium was to be offset by a $700 million commercial and residential development on surrounding land which included a boutique hotel, 800–1000 residential multi-­ storey apartment style dwellings and commercial and retail space. The obvious query

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Fig. 10.5  Manuka Oval redevelopment proposal. (World Construction Network: www.worldconstructionnetwork.com/news/plans_unveiled-for-569m-manuka-oval-redevelopment-project/)

was where apartments and shops would be built as there was limited vacant open space (Fig.  10.5). The proposal was welcomed by the ACT government ­notwithstanding that it overturned the planning principles, which had governed the precinct for decades (The Canberra Times Editorial 7/8/2016). Community members outright rejected the proposal, when 300 of them turned up at the consultation session. Their reasons were serious concerns about the impact on heritage, especially the Manuka Pool, traffic congestion in the area, the scale of the ­development and the unsolicited bid process. The proposal was expressly dropped by the ACT government just 2 months out from 2016 territory election, and an olive branch was extended where a long-term master plan for the precinct was proposed with community involvement. Given the historic nature of the precinct and its proximity to heritage-listed areas, a cautious and HUL-based approach would be fitting.

10.4.2  City to the Lake (Fig. 10.4 site B) This project (Fig. 10.6) is the latest iteration of ideas that have been in the making since the late 1980s. It is another example of public open space appropriation in the name of development by the ACT government in the heart of the capital invoking its rights to ownership of territory land. The proposal is for a dense development of hotels, apartments, convention centre, a stadium (in the city centre?); ‘aquatic centre, pleasure beach and a Brighton Pier-style arrangement’ (Waterford 2013); and

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Fig. 10.6  West Basin Development showing proposed infilling of the lake foreshore and positioning of private apartments blocking views to the lake. (Sydney Morning Herald 28 July, 2018, www. smh.com.au//comment/is-lake-burley-griffin-sold-down-the-river)

concrete ‘boardwalks’ to replace the grassy foreshore along the lake. It is being touted as a part of the ‘Griffin Legacy’ based on the final plan by Walter Burley Griffin (1918) in spite of the fact that it is nothing like the Griffin ideas for the critical lake frontage. His 1918 plan indicates spacious lakeside parkland along the north shore studded with national and other institutions and isolated building blocks of unspecified nature set in generous parkland where open space predominates over built form, the whole visually relating to the Parliamentary Zone across the lake. Griffin’s proposals were in keeping with the democratic ideals of his design. These have been maintained until recently and are being threatened by the proposal. Contrary to Griffin’s vision, dense development will blight the lake’s parkland, the city’s urban form, its city in the landscape ethos, Commonwealth Avenue and vistas from City Hill to the mountains beyond. It will block public access and public use as well as views across the lake to the NCOSS, which is the backbone of the plan of the city and its democratic origins. Thus, the open space which could be accessed and enjoyed by all will be replaced by the views being the private domain of the people who live in the apartments. A compromise could be accommodated as at West Lake, Hangzhou, China, where scattered low-rise built development is incorporated into extensive lakeside parkland where views across the lake are not compromised (Taylor 2016).

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10.4.3  Northbourne Avenue Corridor (Fig. 10.4 site C) Northbourne Avenue is one of Canberra’s major entries dating from the Griffin plan. The ACT government with private enterprise is currently developing a tram route from the city centre out to the town of Gungahlin to the north (called Mulligan’s Flat in the Y Plan shown in Fig. 10.2). It is part of a major urban renewal initiative along Northbourne to develop a special precinct along the tram line capturing increased land values. The idea of special precincts arose in 2014, but even before this, the Northbourne Avenue precinct had been instigated involving public housing and two major blocks along the avenue being sold off by the government. The aim is to increase densities through apartment building and to try to fund the tram through land sales. The longer-term effect is uncertain in that the precinct plan does not limit the boundary of densification to the strip front Northbourne but extends each side of the road into low-density residential development. Of note is the fact that the precinct is edged by some of the older suburbs of the city, some of which are heritage listed because of their historic planning in association with the garden city and city beautiful ideologies. A representative of these was the Northbourne Avenue housing precinct developed post-1958. It was the first medium-density public housing scheme undertaken by the NCDC, consisting of 169 dwelling units varying from 2-storey paired courtyard housing to 5-storey blocks, planned as a gateway development entry to the national capital. The design by Sydney Ancher was in the Post-War International Modernist movement reflective of the Bauhaus period and was the only such example in Canberra. A significant aspect of the housing was its private/semiprivate open space and tree planting. In spite of recommendations from the ACT Heritage Council, the Institute of Architects and the National Trust, the government decided on demolition and selling the land for private development. In the lead up to this decision, a conservation study was undertaken that recommended two options for future development. Each showed original dwellings maintained with suggestions for increased densities. This was not acceptable to the ACT government in its intent to capture redevelopment values at any cost to the city’s heritage. Demolition was pushed through by Chief Minister Andrew Barr (Lawson 2017). Seventeen units are retained as some form of token. One may conclude that heritage conservation in the ACT is not exactly favoured by the government.

10.5  National Heritage Listing In 2009, two separate nominations for National Heritage Listing for Canberra were submitted to the Commonwealth Australian Heritage Council (AHC) which oversees the National Heritage List. They are summarised in Celebrating Canberra: A nation’s cultural and democratic landscape. Exploring Canberra’s national heritage (AHC 2012). The Canberra – Central National Area and Inner Hills nomination

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submitted by Ken Taylor  (Fig.  10.8) was the preferred option of the AHC with minor inclusions from the other nomination. The Commonwealth reported on its deliberations in 2012  in the context of the following key factors for Canberra (AHC 2012: 6): • As an outstanding example of twentieth-century town planning. • For its significance as the nation’s planned capital city conceived at federation and the city’s development over 100 years of town planning theory and thought • As a landscape and expression of Australia’s democratic ideals. The boundary of the AHC-proposed listing includes inner hills, ridges and valleys, the central national area and the early garden suburbs described by Freestone (2010: 274) as ‘an outstanding national outdoor museum of the world’s best practice in planning from the 1910s’. It is important to note that under ‘Exclusion of private land and structures’ (page 16), it is made quite clear that the proposed boundary of the national heritage place  – Canberra the Planned National Capital  – does not include private or commercial property outside the Central National Area and the designated areas already under the planning control of the National Capital Authority (NCA) and that: • Current controls and development approval processes will remain in place. • National Heritage Listing does not change land ownership or land use. It is further stated (p. 17) that in the early garden suburbs, only the layout of the streets, the avenues of street trees and the location of local parks would be protected by a National Heritage Listing, not the private properties. Heritage protection of the architectural and landscape aspects of early garden suburbs, including individual street trees, would continue to be managed by the ACT government or by the NCA. There is likely to be minimal impact on business and residences in Canberra as illustrated in the similar 2008 National Heritage Listing of Adelaide Park Land and City Layout (an outstanding example of early nineteenth-century town planning). In this case, the national heritage values relate to the planning and layout of the street grid and squares within central Adelaide and the broadband of parkland that surrounds the city centre. The AHC report further clearly states that the National Heritage Listing does not affect the form of the buildings and has not restricted or affected the development within Adelaide’s CBD. Opposition from various local Canberra-based development interests, ACT government agencies and most recently trenchant criticism from the current Chief Minister of the ACT have combined to delay the Commonwealth in making a determination. The latest date given by the Commonwealth Minister is June 2019, a date which could be extended further. In the meantime, the Chief Minister has announced the ACT government’s preferred boundary listing (Fig.  10.7) which excludes the early garden city suburbs. The ACT government proposal purportedly draws from the Adelaide listing as a model. If that is so, how does the ACT government explain that in Adelaide the layout and plan of the streets of its heritage suburbs are included but refuses to acknowledge these in Canberra. The proposal in Fig. 10.7 where the ACT government fails to include the layout of the streets, the avenues of street trees

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Fig. 10.7  ACT government-proposed National Heritage Listing boundary. (The Canberra Times Editorial)

and the location of local parks of Canberra’s early heritage suburbs, as indicated in the 2012 AHC report and as in Adelaide, is nonsense.

10.6  The HUL Approach The above discussion and examples present a strong case for the application of the HUL principles to the planning of Canberra as a cogent alternative to its rigid APD approach. The ACT government’s tendency to entertain and present sporadic development schemes without a credible framework suggests that the six critical steps for implementing the HUL approach (UNESCO 2016: 13) taking into account the particular context of the city need to be recognised. Coincidental to this is the recognition that different cities will have specific management approaches best suited to their context but all guided by the HUL framework. The critical steps are: 1. To undertake comprehensive surveys and mapping of the city’s natural, cultural and human resources.

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Fig. 10.8  Inner Canberra area proposed for National Heritage Listing by Australia Heritage Council June 2012 (K. Taylor). Base map Designated Areas National Capital Authority

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2. To reach consensus using participatory planning and stakeholder consultations on what values to protect for transmission to future generations and to determine the attributes that carry these values. 3. To assess vulnerability of these attributes to socio-economic stresses and impacts of climate change. 4. To integrate urban heritage values and their vulnerability status into a wider framework of city development, which shall provide indications of areas of heritage sensitivity that require careful attention to planning, design and implementation of development projects. 5. To prioritise actions for conservation and development. 6. To establish the appropriate partnerships and local management frameworks for each of the identified projects for conservation and development, as well as to develop mechanisms for the coordination of the various activities between different actors, both public and private (UNESCO 2011).

10.7  Conclusion The crux of this paper is the clash between the APD practice and the HUL paradigm as a basis for urban planning with specific reference to Canberra: a city that has been recognised hitherto as the city in the landscape where landscape has, until the last 30 years since self-government, been the major influence driving planning visions. ‘Behind Canberra’s inception, at the beginning of the twentieth century lay two basic visions. The first was that a vigorous Australian national identity existed, that this was related to the ideal of the Australian landscape itself and that it could be symbolised in the layout of a capital city’ (Taylor 2006: 21). Critical, therefore, has been the central vision of landscape as the articulator of city form maintaining the image of a city not like any other. In this sense, it is not merely the physical nature of landscape. It is also ‘the intellectual notion of landscape as a cultural construct with meanings and associated social values. This is the notion of landscape as not just what we see, but a way of seeing based on experience embodying our desire for a sense of continuity linking past, present, and future’ (ibid: 9). It is a vison for the city commensurate with the HUL paradigm. Embedded in HUL is the recognition of the layering of significances and human values in cities, deposited over time by different communities under different contexts (Bandarin and van Oers 2012). Cities may, therefore, be categorised as a type of cultural landscape (Taylor 2015b) representing human layers through time and replete with social meanings. Greffe (2008: 1) neatly encapsulates this way of understanding cities not as architectural wonders or physically spatially defined but as looking at the city as a postmodern social and political phenomenon ‘where we are looking for feelings and emotions. The landscape then becomes an experience’. Parallel with Greffe’s view of the city and coincidental with the HUL approach to cities and their future planning is the concept of the landscape urbanism discourse that has been taking place since the late 1990s. In 2006 Charles Waldheim in The

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Landscape Urbanism Reader posited that ‘landscape has emerged as a model for contemporary urbanism … As such, landscape urbanism offers an implicit critique of architecture and urban design’s inability to offer coherent, competent, and convincing explanations of contemporary urban conditions. In this context, the discourse surrounding landscape urbanism can be read as a disciplinary realignment in which landscape supplants architecture’s historical role as the basic block of urban design. Across a range of disciplines, many authors have articulated this newfound relevance of landscape in describing the temporal mutability and horizontal extensity of the contemporary city’ (Waldheim 2006: 37). In contradiction sits the APD approach, which focuses on the city as physical entity where rational physical spatial planning with predominant economic goals triumphs over any value approach inherent in HUL and landscape urbanism. In the case of Canberra, it is an approach that is distinguished by the following: • The disregard of layers and complexities of Canberra’s history and related visions for the city. The result has been discontinuity in the city’s trajectory and form. In contrast, this omission could be mitigated through the HUL approach. • Piecemeal planning where strategies are focused on separate parts of the city without understanding the need for connections between parts as inherent in the HUL paradigm. • The disregard of any understanding that Canberra is unlike the cities that the external experts inhabit. We may look at lessons learnt but we need localised solutions. This is provided by the HUL approach where contextual analysis is critical to the solution (steps 1–3). • There has been no real commitment hitherto to community participation in the APD approach; rather it has been a piecemeal consultation on separate projects where the public is invited to respond to plans when they are at the stage virtually of implementation. Conclusively, the HUL approach seems to be the most appropriate and intuitive response for Canberra’s future planning.

References Australian Heritage Council (2012). Celebrating Canberra: A nation’s cultural and democratic landscape. exploring Canberra’s national heritage. exploring Canberra’s national heritage; Canberra, Department of Sustainability, Environment, Water, Population and Communities. http://155.187.2.69/heritage/ahc/national-assessments/canberra/pubs/canberra-info-paper.pdf Bandarin, F., & van Oers, R. (2012). The historic urban landscape. Managing heritage in an urban century. Oxford/Ames: Wiley-Blackwell. Birch, E.  L. (1980). Advancing the art and science of planning. Journal of American Planning Association, 46(1), 22–49. Brown, N. (2014). History of Canberra. Melbourne: Cambridge University Press. Freestone, R. (1986). Canberra as Garden City 1901-1930. Journal of Australian Studies, 19(1986), 3–20.

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Freestone, R. (2010). Urban nation: Australia’s planning heritage. CSIRO Publishing in association with the Department of the Environment, Water, Heritage and the Arts and the Australian Heritage Council, Collingwood, Victoria. Greffe, X. (2008). Urban cultural landscapes. Xavier Greffe, Griffith University, Faculty of Arts, Griffith University, Brisbane 2008. http://www.griffith.edu.au/__data/assets/pdf_ file/0018/100638/Greffe-Seminar1-Text.pdf Griffin, W.B. (1912). New York Times, 2 June 1912. See also Donald Leslie Johnson, (1977), The architecture of Walter Burley Griffin, (p. 20), Melbourne: Macmillan. Lawson, K. (2017). Putting the LDA in the spotlight. The Canberra Times. Forum, 8/04/2017. McCarter, R. (2006). Frank Lloyd Wright (Critical Lives). Reaktion Publication. National Capital Development Commission. (1970). Tomorrow’s Canberra: Planning for growth and change. Canberra: The Australian National University Press. PBS Radio, USA. (n.d.). http://www.pbs.org/flw/buildings/wallace.html Selth, D. (2007). A brief history of Manuka Oval. of%20Manuka%20Oval.ashx Singer, J., et al. (1988). Land for the capital, Canberra a people’s capital (pp. 15–20). Canberra: Australian Institute of Urban Studies. Smith, L. (2006). Uses of heritage. Abingdon: Routledge. Taylor, K. (1999). Picturesque visions of a national capital: Capital city in the garden. The New Federalist. The Journal of Australian Federal History Number 3 June 1999, 74–80. Taylor, K. (2006). Canberra: City in the landscape. Sydney: Halstead Press. Taylor, K. (2009). Canberra as a candidate for national heritage listing. Canberra Historic Journal, 63, 38–46. Taylor, K. (2015a). The HUL concept and cities as cultural landscapes: Canberra a missed opportunity? Australia ICOMOS Historic Environment, 27(1), 58–67. Taylor, K. (2015b). ‘Cities as cultural landscapes’ 179–202 In F. Bandarin & R. Van Oers, Eds. (2015). Taylor, K. (2016). Is Lake burley griffin being sold down the river? The Canberra Times, Canberra, July 28, 2016. http://www.canberratimes.com.au/comment/ islakeburleygriffinbeingsolddowntheriver20160727gqekdn Trobe, T. (2017). Time we had a roadmap for change. Allhomes, 17 May 2017. UNESCO (2011). Recommendation on Historic Urban Landscape [HUL]. http://whc.unesco.org/ en/activities/638. UNESCO (2016). THE HUL GUIDEBOOK managing heritage in dynamic and constantly changing urban environments, a practical guide to UNESCO’s recommendation on the historic urban landscape. Paris: UNESCO. http://www.hulballarat.org.au/resources/HUL%20 Guidebook_2016_FINALWEB.pdf. Waldheim, C. (2006). Landscape as Urbanism. In The Landscape Urbanism l Reader (pp. 35–53). Princeton: Princeton Architectural Press. Waterford, J. (2013). Blather joins city to the lake. Sunday Canberra Times, March 31 2010, p. 21. Wright, F. L. (n.d.). http://freshome.com/2012/09/03/10-great-architectural-lessons-from-frank-llo yd-wright/#ixzz4ekN8n8BA

Chapter 11

The HUL Approach to Create Heritage Management Tools in the Latin American City of Cuenca-Ecuador Julia Rey-Pérez, Sebastián Astudillo Cordero, and María Eugenia Siguencia Ávila

Abstract The implementation of the Recommendation on the Historic Urban Landscape for the city of Cuenca (Ecuador) pursues an understanding of the complexity of the city’s heritage. Cuenca was inscribed on the World Heritage List (1999), and there is currently an attempt to condition the urban development of the city for the future. For 2  years, natural, cultural and human resources in Cuenca have been studied, mapped by the universities, and a consensus, through participatory planning and stakeholder consultations, has been built. This process accomplishes the goal of protecting the attributes in which the city values are embedded and at the same time can be related to steps 1, 2, 3, 4 and 5 from the six-step action plan for the HUL implementation, provided by the 2011 UNESCO Recommendation (UNESCO 2011; Veldpaus and Pereira Roders 2013). These steps have led to a vulnerability assessment of the city related to socioeconomic stresses as well as the drafting of different recommendations for action for the ongoing city development in Cuenca. Finally, after the university-driven initiative, the last steps are expected to be implemented and led by the Municipality of Cuenca. The project itself serves as a good practices manual on how to apply the six steps of the recommendation approach. This paper outlines the processes involved in implementing the steps while also reflecting on the wider significance of the case of Cuenca in the Historic Urban Landscape Discourse. Keywords  Citizen participation · Cultural mapping · Urban development · Management · Urban heritage · Environment · Urban governance

J. Rey-Pérez (*) Higher Technical School of Architecture, University of Seville, Sevilla, Spain e-mail: [email protected] S. Astudillo Cordero · M. E. Siguencia Ávila Faculty of Architecture and Urbanism, University of Cuenca, Cuenca, Ecuador e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_11

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11.1  Introduction The academy-driven project departed from two key situations. On one hand, the research line “Historic Urban Landscape” (HUL), launched in 2012 by the vlirCPM1 research project at the Faculty of Architecture and Urbanism of Universidad de Cuenca in Ecuador, was conducting studies based on the ongoing discussion about HUL around the world. On the other hand, a complementary research project was formulated and awarded funding in November 2014 by the Research Department of Universidad de Cuenca (DIUC). The entitled Reassessment of the Cultural and Natural Heritage of the city of Cuenca based on strategies for sustainable development supported by the Recommendation on Historic Urban Landscape will henceforth be called PUH_C (by its initials in Spanish) (DIUC 2016; Rey-Pérez et al. 2017). The aim of the project was to implement the HUL recommendation based on the six-step action plan proposed by UNESCO in its guidance document (UNESCO 2011; Veldpaus and Pereira Roders 2013). The HUL recommendation document defines the concept of HUL within articles 8 and 9. This notion was crucial at the beginning of the project so as to have a common understanding of HUL recommendation at the global level and its potential development in Cuenca. The backbone of the project is defined by three characteristics: (1) the concern for heritage in an integral and holistic way, where the study area consists of the whole city, (2) the commitment to work in a multidisciplinary environment with professionals eager to contribute and (3) the citizen as the main protagonist of the research project. In this light, the objectives defined were the following: (1) evaluate the state of conservation of the city; (2) outline cultural heritage values beyond those identified in the nomination file of Cuenca as World Heritage Site (WHS); (3) identify the urban, architectural, touristic, landscape, economic, social and spatial impacts on the cultural heritage values; (4) involve stakeholders, academics and experts but especially citizens, for a collective value assessment; and (5) draft a series of recommendations for the urban development of the city. This final goal intends to – based on heritage values – provide tools for decision-makers to define policies at the level of the Municipality of Cuenca. Among the different tools developed throughout the methodology, these recommendations collect detailed information from different homogeneous areas in the city to be further used in urban growth planning strategies, guidelines for contemporary interventions, or to prioritize budget investment assignment considering an ample range of assets and disciplines involved. According to the concept of HUL, the involvement of disciplines avoids previous approaches of heritage management in Cuenca that exclusively focused on buildings and moves towards a holistic approach, even beyond the ensemble. For this reason, as part of the methodology, the data collected by plots were grouped in 1  The vlirCPM research project “World Heritage City Preservation Management” is part of an Inter-University Cooperation Program between the University of Cuenca in Ecuador and the VLIR-IUC Flemish Universities (Vlaamse Interuniversitaire Raad) in Belgium. The specific counterpart is the RLICC (Raymond Lemaire International Center for Conservation) of the KU Leuven in Belgium.

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images of density spots and converted into raster images showing the areas of lowand high-density concentrations. Thus, through ArcMap, over 20 information maps were overlaid and analysed to define, according to a series of characteristics, 14 units or study areas more or less homogeneous (Siguencia Ávila and Rey-Pérez 2016; Rey-Perez and Siguencia Ávila 2017). This study is, therefore, an innovative way of thinking, protecting, intervening and managing the WHS of Cuenca, harmonizing cultural values preservation with future urban growth. It consists of an involvement strategy of stakeholders from public bodies and institutions such as the Municipality of Cuenca and the INPC (National Institute of Cultural Heritage), driven and reinforced by academics (universities). This strategy allows trans-disciplinarity and trans-institutionality integration as well as an active participation of social actors, including those who inhabit the Historic City Centre. Undoubtedly, the adoption of the proposed HUL approach in the case of an intermediate city such as Cuenca can become a crucial step, since it would imply value-based future development of management planning guidelines for the whole city. The highlights of the research process are presented below, and its results aim to contribute to the commonly shared knowledge experiences for cities implementing the HUL recommendation. Firstly, we will refer to the methodology adopted and how the different stages of this process correspond to the steps established by UNESCO for the implementation of the Recommendation. Then, we will go through the reflections and lessons learned, the social and academic implications, to finally display the current state and future directions of the project.

11.2  The HUL Approach in Practice The relatively recent discussion around the concept of HUL, from its origins at the 2005 Vienna Memorandum and the HUL recommendation in 2011, implies that there are relatively few case studies. These experiences are the result of initiatives to understand the Historic City Centre in its wider context and to involve different disciplines and stakeholders during the process. The reviewed bibliography shows several approaches for analysis which are taken as reference to adopt a methodology characterized by an important interdisciplinary component and by an active citizen participation (Anderson 2010; Direction de L’Architecture et du Patrimoine 2002; IAPH 2016; Martini 2013; Miglioni and Pini 2012). The Historic City Centre of Cuenca was inscribed on the World Heritage List in 1999 based on criteria (ii), (iv) and (v). These criteria are closely linked to the Spanish urban planning outstanding implantation, the successful cultural fusion and the territorial landscape harmony of the city and its geographic location (UNESCO 1999). The importance of these elements, already considered in the nomination file, supports the recognition that the main attributes and values of Cuenca extend from its Historic City Centre and can work in a wider territory for the studies developed during the diagnosis phase for the application of the HUL recommendation.

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Phase I Diagnosis

• Territorial

Geomorphology, environment, normative, historic – cartography, mobility, occupation density and land use

• Heritage

Anthropology, archaeology, economic activities and architectural typologies

• Perception

Historical – critical review of images and 16 citizen workshops

Phase II

• Sociopraxis

Identification of cultural values and attributes

• Visionary Conference

Phase III Identification of landscape units and elaboration of landscape files assessment

active listening, feedback, reflection and joint action 5 tables: design and built heritage, culture, environment, socioeconomic and regulations

• 14 Landscape units, 2 selected

– San Francisco – Las Herrerías

Fig. 11.1  Methodology used for the implementation of the Recommendation on HUL in Cuenca – Ecuador

The methodology adopted for Cuenca (see Fig. 11.1) has a first phase of diagnosis and state of the art, analysing the HUL in Cuenca from three scales of study, territorial, heritage and perception. Within the territorial, the following seven topics are involved: geomorphology, environment, normative, historic cartography, mobility, occupation density and land use. The heritage study covers four disciplines for analysis, anthropology, archaeology, economic activities and architectural typologies. Lastly, the perception studies developed the two activities referred to a historical-­critical review of images and 16 citizen workshops in different areas of the city (Rey-Pérez and Astudillo 2016). The first phase demonstrated the possibility to match the results of the diagnosis with the first steps from the action plan proposed by UNESCO for the implementation of the Recommendation. The information obtained from the three scales of study mentioned in previous paragraphs enables identifying, through mapping, values and attributes of the HUL in Cuenca, corresponding to action plan step 1, mapping natural, cultural and human resources. Likewise, this information allowed the obtaining of relevant data for step 3, assessing vulnerability to change and development. Once all this information was ordered and synthesized, the process moved on to Phase II titled Identification of cultural values and attributes. The results obtained from the diagnosis were validated through a method used in sociology named “Sociopraxis”, which is a participatory methodology based on the basic principles of active listening, feedback2, reflection and joint action, framed in an integral, ­participatory, synergistic and continuous process. This process, which consisted of 2  The feedback is known as “Return of information” and consists of, once collected the information provided by citizens, this information is crossed with information from other areas or disciplines, to re-discuss this new information generated from all the actors and validate it with them (Tenze 2015).

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a participatory planning diagnostic workshop, took place during the “Visionary Conference” event where all stakeholders involved in the first phase gathered to discuss and reach a consensual agreement on five thematic tables (design and built heritage, culture, environment, socioeconomic and regulations table). Experts in different disciplines, public heritage entities members, researchers, students and citizens from the previous 16 workshops were engaged on a 2-day workshop which started with lectures from international experiences and was followed by group work and a general plenary supported by thematic maps and multilemas3 combined. This academy-driven process resembles step 2 from the action plan where reaching consensus on what to protect: values and attributes is the main goal. At the same time, through the construction of strong ideas in every thematic table, lines of action for future interventions in the city were delineated. These actions strongly contributed to achieving step 4 of the action plan which involves integrating the steps above in an urban development framework. The process of the Visionary Conference confronted the citizens, who are not always aware of the heritage character of the city, with technical information from specialists. After the plenary, the event concluded with a vote from all stakeholders on proposals that the Municipality should execute for a correct implementation of the Recommendation, following step 5 which proposes prioritizing actions for conservation and development. The following are among the most voted proposals: • Promoting the pedestrianization of the Historic City Centre • Improving the quality of public transport • Establishing comprehensive, inclusive, interdisciplinary, continually evaluated, updated and massively disseminated regulation • Encouraging housing in the Historic City Centre • Creation of policies for heritage education • Revitalization of public spaces • Construction of integrated environmental planning Despite the fact that the objective of this phase is to identify what to protect between all the stakeholders, citizen participation was more extensive. In fact, it was possible to define actions for the development in Cuenca and even establish a prioritization of actions through voting. Through this process, it was possible to verify how the information obtained by the three groups of actors, in relation to the values and cultural attributes of the city, reinforced the criteria that inscribed Cuenca on the WHL, Spanish urban planning, fusion cultures and landscape. And these ideas have been the ones that have marked the development guidelines of steps 4 and 5. Finally, Phase 3 of the project – identification of landscape units and elaboration of landscape files assessment  – is intended to facilitate the management of ­information obtained in the previous phases. The information obtained from studies 3  It is a way of grouping the phrases to prepare the return, in this case, according to the positions that were collected on each theme of the workshops, placing them along the axes and highlighting those phrases that best represent each positioning (Tenze 2015).

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of phase 1 was adopted to identify and characterize homogeneous areas/units within the city (landscape units) and then to select two of them for specific analyses. The collection of all information by unit in a model data file designed as a monitoring tool will allow quick access to the data of each unit, which greatly facilitates the use of the information generated in the project. This file is not conceived as an end but as an instrument to systematize cultural values and enhance heritage management in Cuenca. Applying in-depth studies to the whole city was not possible due to the project execution time and the human resources available, hence the idea of continuing with the implementation of the Recommendation but in a specific area. For this reason, based on the level of citizen participation during the 16 workshops and the Visionary Conference, the two units selected were San Francisco Square neighbourhood and Las Herrerías Street district (see Fig. 11.2). The management of urban heritage is a complex issue and demands tools, practices and instruments that, in addition to being constantly evolving, must adapt to local circumstances (WHITRAP and Ballarat 2016). Throughout the methodology, special importance was given to one of four tools suggested in the Recommendation, Knowledge and planning. Meanwhile, the mapping during the diagnosis fulfilled the action plan steps 1 and 3. Community engagement tools were employed during the workshops and the Visionary Conference. These tools enabled the development of 2, 4 and 5 action plan steps for the implementation of the Recommendation.

Fig. 11.2  Orthophoto of the location of the areas of study in Cuenca – Ecuador. (Source: DIUC 2016)

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Despite the effort displayed during the execution of the project, the lack of continuity from the Municipality, as well as the scarce follow-up actions, constitutes the main risks. The Municipality, as the institution in charge of heritage management in Cuenca, should guarantee the application of the Recommendation and, in specific, the implementation of the required actions identified during the Visionary Conference as the result of the participatory process. Likewise, it would be more than appropriate to create a management document that combines the information regarding these actions together with the monitoring and regulation actions issued by UNESCO, since Cuenca is a site inscribed on the WHL. Therefore, regulatory systems tools are fundamental to empower and encourage local management bodies for suitable decision-making methods. Likewise, it is the Municipality’s responsibility to use the fourth tool proposed by UNESCO – Financial – in order to implement step 6 of the action plan, establishing local partnerships and management frameworks. It is also up to the Municipality to define a working team within the internal structure so that the application of the Recommendation is not considered as a specific issue but as a process to be adopted in the developing of the city of Cuenca itself. The PUH-C Project itself constitutes good practices manual on how to implement the approach of the Recommendation on HUL, as it shows the process of applying the six steps suggested by UNESCO. The intention is that this document can serve as a guide to any institution or organization that wants to implement the Recommendation in its city, neighbourhood or area.

11.3  Learning and Reflections The development of the PUH_C research project together with previous experiences has been illustrated in the previous section. In this section, a subsequent phase where insights and lessons are extracted from the experience of each step is expanded on. The methodology established for the project was based on preceding practices and has taken the most relevant steps in order to achieve the critical six-­ step approach suggested in the preparatory documents of the Recommendation. However, during the study phases, series of problems arose in the course of decisions being gradually made in agreement with the different participators. These conditions might be reflected in cities around the world, where similar issues are being faced; therefore, the way in which they have been solved in Cuenca can contribute to common knowledge. Within step 1 – throughout the three scale studies carried out – it was possible to map data and consolidate a GIS database. This process required substantial time and human resources, which involved both desk and on-site work. For the interest of the methodology implemented, it was necessary to contrast and analyse different types of information. Most difficulties lie in the collection of data since there is a lack of integration between information from the local government, national institutions and the work established at the academy through research projects.

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The cause of this lies in the lack of interest and the insufficient background information in order to facilitate data analysis that, due to administrative procedures, delayed the planned schedule. Despite the relevance of data obtained from the Municipality, a failure to update also weakened the analysis since recent data could not be accurately compared. Therefore, there is a need to establish systematic checks on data accuracy as well as promoting initiatives to share information among institutions. By means of desk and on-site work, experts in several disciplines were required to submit a report after a training workshop session regarding the notion and application of HUL. The insights of this process are clearly visible in the reports of each expert since there is a clear link made between their own knowledge and the concepts discussed in the workshop. However, the results obtained among disciplines differ and they influence the time needed for the subsequent analysis. Due to the diversity in each field, in some cases, it was easy to analyse the results; geography, for example, allowed an in-depth analysis and simplification of data, through a GIS file, as well as its combination with the existing architectural heritage databases. This is not the case for anthropology where a much more subjective reflection was completed, but the possibilities for mapping these resources were scarce. Dissimilar circumstances should be considered at the beginning of the project, presented at the training sessions, and clear objectives should be established as to optimize further data analysis in terms of time and available resources. The extension of the territory and areas of study stalled the on-site data mapping (see Figs. 11.3, 11.4, and 11.5). Out of the 14 landscape units, 10 contain all the

Fig. 11.3  San Francisco neighbourhood, an aerial view. This neighbourhood is located in the City Centre of Cuenca within the orthogonal urban pattern. (Authors: Fausto Cardoso 2014)

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Fig. 11.4  San Francisco neighbourhood, the square. One of the most historically relevant public spaces in the city. (Authors: Sebastián Astudillo 2015)

Fig. 11.5  Las Herrerías Street district, a view from El Herrero square. There is a clear relation between the public space and the houses fostering traditional gastronomy. (Authors: María Eugenia Siguencia 2014)

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information projected in the planning, while the remaining ones have not been explored in terms of economy, architectural typology and heritage value assessment. Besides, the on-site surveys were only based on visual checks from the ground; this implies that relevant information may be missing. For example, identification of parking lots could have been complemented by the use of aerial resources to locate them at the centre of block buildings. Following steps 2 and 3, in the Visionary Conference, consensus was sought, and the vulnerability was assessed in a participatory environment. For the development of this initiative, a key and at the same time difficult point was the prior announcement and the acceptance among people convened, especially community members. Although integration is perceived among stakeholders when assembled in workshops, trust is only verified when people show interest in active participation and continuous practices. From the three groups called, institutions, experts (universities) and population, the lowest percentage was that of the institutions, limited to the Municipality. Innovative means for identifying social implications can guarantee a sustainable conservation and development in the city. These means should consider, as essential, education regarding civil commitment in schools, the appointment of representatives in the decision-making of the city and the recovery of citizen confidence in the role of politicians. After a significant amount of data was obtained both from the three-scaled studies and the consensus reached at the Visionary Conference, the next step involved the analysis and incorporation of the wide-ranging set of information into a file for every landscape unit in the city. This practice matches step 4 in regard to integration of the three previous steps into an urban development framework. The main goal consisted of providing tools to governmental institutions to integrate and implement the results expected by the community in current management systems. Nevertheless, the research project results have not been provided to community or governmental entities. The major problematic detected is, therefore, the lack of follow-up on participatory processes, which requires improved effort from authorities when establishing management frameworks. The final point relates to the last two steps, steps 5 and 6, the prioritization of actions for conservation and development as well as the establishment of local partnerships and management frameworks. Clearly, future opportunities seem to depict plenty of possibility to integrate the compiled data and update the existing information. The challenge lies in promoting a real collaborative commitment among implicated parts of the process. The main constraint faced at the end of the project has been the failure to execute any of the proposals suggested at the Visionary Conference as a protocol established during this event. This fact depicts the need for compliance of the parties as well as the importance of follow-up ­measures to promote the execution of the remaining signed resolutions. Following international experiences, a HUL observatory (GOHUL 2016) should be connected to existing local government in charge of heritage management to receive and promote the accomplishment of proposed resolutions and a prioritized investment of financial resources.

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11.4  P  roject Impact: Social, Governmental and Research Impact In contrast to traditional notions of conservation, the notion of Historic Urban Landscape, as a way to approach heritage management, in the case of Cuenca, depicts the evolution from narrow management processes towards integrated practices. It has incorporated and confronted diverse visions to reach consensus. A key component in the methodological process has been the input received from not only experts but also the locals. This implies a potential for further collaboration between the groups of stakeholders identified in the three following categories, the social, governmental and the academic group. The social implication entails the search for a sustainable accomplishment of development goals with a dynamic participation and a continuous growth of confidence. During the experience driven by the research group, different social groups were not only identified but in certain cases adapted from the workshops carried out in the preparation stage of the Visionary Conference. The case of the main square Parque Calderon is a clear example of the effort made to involve citizens in participatory processes. The strong presence of commercial land use in the vicinity of this square does not provide the space for living activities, and therefore no community association exists in the area. However, the singular, traditional activity of reading the newspaper persists among retirees, who actively contributed in the workshop conducted by students in this particular zone. In general, during the partial workshops, several actors have been encouraged to understand heritage matters as part of their own identity, through activities challenging the identification of collective valued assets, threats perceived in their territory as well as notions to delimitate their area of influence (Rey-Pérez and Astudillo 2016). During the process of the workshops, participants were asked about those elements of their city that could not disappear, because, if these elements were not present, they would stop identifying with their city. The attributes mentioned were gastronomy, city squares, the sound of the rivers and the perspective of the mountains, as well as the valuation of assets outside of the declared heritage area (streets, parks, houses, etc.) (J. Rey Pérez and González Martínez 2018, 109). They were also asked about those elements that should disappear so that their city remains a place to live with a high quality of life, and they identified threats such as public safety, pollution and hygiene, which could endanger the construction of identity and the authenticity of the city (J. Rey Pérez and González Martínez 2018, 109). Then, during the Visionary Conference, awareness about not only cultural and heritage matters but also several fields such as nature, regulation, archaeology and economy have been raised. These processes hold insights for initiatives for education through workshops developed with the community, students and experts who were embedded in the system for understanding and conducting actions for heritage conservation. The bond created through the academy and with the collaboration of experts raises an

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increasing interest from local government entities to include a broader vision for heritage conservation considering landscape management. The generation of spaces like workshops supports the understanding and the creation of a common work framework among the three groups mentioned. The government plays a substantial role since they are responsible for short- and long-term cultural and development management and should, therefore, be involved in measuring the impact that specific proposals may have on the significance of cultural heritage assets (Tarrafa Silva and Pereira Roders 2012). The understanding of the HUL approach through multiple perspectives in the context of Cuenca depicts the feasibility for the implementation of the Recommendation. Protecting and safeguarding the continuity of the most significant heritage attributes are critical. However, finding ways to address development needs and potentials in a way that is compatible with the heritage is equally important in the HUL approach (Hosagrahar 2015). The methodology presented for the research project allowed, through academic exploration, the compiling of tools and instruments adapted to the local context. Digital and non-digital technologies were used to tailor every step, and, depending on the availability of resources from different studies and the empowerment of groups of stakeholders, this combined work has consequently resulted in a strong academic impact. The main outcome lies in the diversity of the assets obtained from mapping in different fields and the relation of the information within the assorted groups of stakeholders. The creation of a GIS database with all of the information is the first step in the construction of relevant data with the possibility to make it available for the local community in the future. This is remarkable practice that should be considered so as to improve other experiences, since information that makes up the GIS database should be strengthened, via multiple expert disciplines, and consensual among stakeholders. The results of this consensual practice are published by the Research Center of the Faculty of Architecture (CINA) in the proceedings of the Visionary Conference, a document financed by the Faculty of Architecture of Universidad de Cuenca, acknowledging the joint work demonstrated during the event. Five hundred copies were distributed among the participants in the event, government participants, academics and the main representatives of community groups (Cuenca 2015). Besides the local results, the research project has been presented at national and international conferences (Rey-Pérez and Auquilla 2015; UNESCO, 2015a, b), as well as the main results structured in articles submitted to scientific journals (J. Rey Pérez and González Martínez 2018; Rey-Perez and Siguencia Ávila 2017; Siguencia Avila and Rey Pérez 2016). Last but not least, at the international level, Cuenca has been placed on the list of pilot cities implementing the HUL notion, an initiative of the World Heritage Institute of Training and Research for the Asia and the Pacific Region WHITRAP (WHITRAP n.d.). In addition, in the framework of the Global Observatory on the Historic Urban Landscape (GOHUL 2016), Cuenca is one of the practice cases presented in an international network, sharing experiences and improving methodologies in a collective way. This collaboration has had a big impact on the diffusion of the project, and funds have been assigned for a ­publication

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funded by the Ministry of Education, Culture and Science of the Netherlands (in trust with UNESCO) and the Faculty of Architecture and Urbanism at Universidad de Cuenca (FAUC) (Rey-Pérez et al. 2017).

11.5  Current State and Future Directions The application of the HUL approach suggests the inclusion of multiple aspects in the area of conservation and heritage management of historic centres and/or sites where assets and practices of high cultural significance are registered. The Recommendation on Historic Urban Landscapes issued in 2011 has been the stimulus for the application of concepts defined within the document approved in Paris. The challenge for cities immersed in extreme urban development processes is to recognize valuable elements worth preserving and integrate them harmoniously into urban and territorial planning. It is a way of planning the heritage city, considering both values and the global pressures to which it is subjected. Cities around the world, including Cuenca, try to outline their own models to implement the Recommendation, in order to suit their contexts and particularities. The study in Cuenca is an attempt to understand the complexity, on the one hand, of the historic background by which the city has been recognized as World Heritage and, on the other hand, the current circumstances outlining the future. In Cuenca, heritage management traces back to the 1970s, recognizing that conservation efforts have resulted in a number of protection, control and management tools. However, they are focused on purely object, material and aesthetic protection, recognized in care of built goods. The process developed highlights the need for strategies that exceed the existing level of protection and that integrate different disciplines and actors in the conservation and planning of the city. From this, a series of tools and strategies are suggested that allow the current diagnosis, and also suggest actions, for the proper management of the historic centre, linked to its extensive territory and under the vision of multiple actors and experts from various disciplines. This will deliver guidelines of application of the Recommendation, to both the Academy and to the management entities, which reinforce and give continuity and validity to the work undertaken in the quest to preserve the heritage of Cuenca. In the academic field, the results show a very close relationship between the criteria for which Cuenca was inscribed in the World Heritage List and the values identified through citizen participation. The applied methodology collects information not only from the field of architecture and urbanism but also from the interdisciplinary work and from the community. Integrating these diverse voices was one of the biggest challenges that had to be faced but at the same time one of the most important results of the process. Contributions from the fields of geology, biology, economics, archaeology and anthropology, added with the architectural-urban vision, have provided a significant contribution to the understanding of the link between their expertise and the conservation of the heritage of the city, putting on the table the need to develop a good

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practices manual at territorial level as a key to understand the heritage issue from a holistic perspective. Citizen participation facilitated the identification of tangible and intangible heritage, which is not necessarily part of the current heritage system, recognizing representative symbols and observation points that have been considered as characteristics – natural and intangible – that strengthen the sense of ownership and the identity of the city. Citizen workshops were able to involve experts, technicians, neighbours, students, etc., in the heritage management system, but also met the goal of disseminating knowledge and educating citizens. The formation of a heritage information system (GIS) with all the alphanumeric and geospatial information generated, which must be articulated and complemented with the existing one, is a first step in making the information accessible and diffusing it, laying the foundations for urban development in the city. Throughout the process, there were also difficulties that deserve to be mentioned and have been referred to in this chapter, in order to overcome them: the lack of integration between the information provided by various local entities and that collected by the academy; the incipient updating and validation of data, which delays its processing and analysis; the weak relationship between institutions and community, as well as the lack of interinstitutional relationship, duplicating actions and overlapping competencies; the non-consideration of the population in the process of patrimonial management and therefore the omission of the local values identified by it; etc. As society changes, values, perceptions and priorities do also. Therefore, the implementation of the HUL Recommendation must be part of a continuous and dynamic process. This application, particularly in relation to the last three steps defined by UNESCO, unquestionably requires the commitment of the institution that is in charge of heritage management, which in the case of Cuenca is the Department of Historic Areas of the Municipality. This department fulfils the tasks of planning and control of the historical and heritage areas of the city and the canton. To do this, maps should be used to integrate resources, values, attributes and vulnerabilities. Internationally, and thanks to the relationship with WHITRAP, Cuenca is part of a network of pilot cities that are in the process of implementing the HUL Recommendation (WHITRAP and Ballarat 2016). This allows a sample of the efforts that are being carried out in preserving the heritage of the city to be demonstrated, without losing sight of the current situations in which the city is affected and future opportunities. To conclude, in spite of the difficulties and weaknesses mentioned, the process of implementing the HUL in Cuenca has meant a very important change in the management of the city from the heritage and sustainability approach. It has achieved an involvement of different disciplines within the university, which before never engaged with the urban heritage, a significant citizen participation, and, most importantly, a change of mentality of citizens towards the urban heritage of Cuenca. The Municipality of Cuenca has been involved in the dissemination of knowledge of a

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new tool such as the Recommendation, and they have been involved with citizens in discussing their city. The citizens have been heard, and Cuenca has been located in the international panorama of research and management through the Recommendation. There are many challenges and difficulties, but undoubtedly, the balance of the implementation process of the HUL is absolutely positive.

References Anderson, C. (2010). Land use consultants. Character appraisal and management plans. Edinburgh.gov.uk. Edinburgh: City of Edinburgh Council. Retrieved from http://www.edinburgh.gov.uk/info/20065/conservation/430/conservations_areas/ Cuenca, U. de. (2015). Conferencia visionaria. Una mirada ciudadana de Cuenca hacia el futuro. ¡Todos tenemos algo que decir! (S. Moscoso, Ed.). Cuenca: Universidad de Cuenca. Retrieved from http://whc.unesco.org/document/137365/ Direction de L’Architecture et du Patrimoine. (2002). Zone de Protection du Patrimoine Architectural, Urbain et Paysager. París: Ministére de la Culture et de la Communication, France. DIUC, D. de I. de la U. de C. (2016). Revalorización del Patrimonio Cultural y Natural de la ciudad de Cuenca a partir de estrategias de desarrollo sostenible apoyadas en la figura del Paisaje Urbano Histórico (PUH-C). (S. Astudillo & J. Rey Pérez, Eds.) (Universida). Cuenca: unpublished work. GOHUL. (2016). Global observatory on the Historic Urban Landscape. Retrieved December 9, 2016, from https://go-hul.com/ Hosagrahar, J.  (2015). Knowledge and planning tools. In F.  Bandarín & R. van Oers (Eds.), Reconnecting the city. The Historic Urban Landscape approach and the future of urban heritage (pp. 249–260). Chichester: John Wiley and Sons, Ltd. IAPH, I. A. del P. H. (2016). Guía del Paisaje Histórico Urbano de Sevilla. Sevilla. Retrieved from http://www.iaph.es/web/canales/patrimonio-cultural/guia_paisaje_historico_urbano_sevilla/ contenidos_guia_paisaje_historico_urbano_sevilla.html Martini, V. (2013). The conservation of Historic Urban Landscapes: An approach. Universitá IUAV di Venezia. Retrieved from http://www.ung.si/~library/doktorati/konzervatorstvo/6Martini2.pdf Miglioni, F., & Pini, D. (2012). Urban regeneration Project for Historic Cairo. First report of activities. (F. Miglioli & D. Pini, Eds.). UNESCO. Retrieved from http://www.urhcproject.org/ content/pdf/book_english.pdf Rey-Pérez, J., & Astudillo, S. (2016). La construcción del paisaje desde una mirada interdisciplinar y ciudadana. El caso de Cuenca, Ecuador. In S. Moscoso (Ed.), Actas Conferencia Visionaria. El paisaje Urbano como soporte del Patrimonio Cultural y Natural de Cuenca en debate. Una mirada ciudadana de Cuenca hacia el futuro de la ciudad (pp. 57–68). Cuenca: Universidad de Cuenca. Retrieved from https://gohulsite.files.wordpress.com/2016/11/proceedings-conferencia-visionaria_com.pdf Rey-Pérez, J., & Auquilla, S. (2015). Revalorización del Patrimonio cultural y natural de la ciudad de Cuenca a partir de estrategias de desarrollo sostenible apoyadas en la figura del Paisaje Urbano Histórico. In M. A. Hermida, D. Orellana, C. Calle, P. Osorio, N. Cabrera, & L. Guerrero (Eds.), Ciudad es decir ciudad. LlactaCamp 2.0: La ciudad como proceso. Cuenca: Universidad de Cuenca. Retrieved from http://dspace.ucuenca.edu.ec/bitstream/123456789/23454/1/Libro_ Final_4.pdf Rey Pérez, J., & González Martínez, P. (2018). Lights and shadows over the recommendation on the historic urban landscape: “Managing change” in Ballarat and Cuenca through a radical approach focused on values and authenticity. International Journal of Heritage Studies, 24(1), 101–116. https://doi.org/10.1080/13527258.2017.1362572.

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Rey-Perez, J., & Siguencia Ávila, M. E. (2017). Historic urban landscape: An approach for sustainable management in Cuenca (Ecuador). Journal of Cultural Heritage Management and Sustainable Development, 7(3), 308–327. https://doi.org/10.1108/JCHMSD-12-2016-0064. Rey-Pérez, J., Astudillo, S., Siguencia, M.  E., Forero, J., & Auquilla, S. (2017). La aplicación de la Recomendación sobre el Paisaje Urbano Histórico (PUH) en Cuenca – Ecuador. Una nueva aproximación al patrimonio cultural y natural/The application of the Recommendation on Historic Urban Landscape (HUL) in Cuenca – ecuador. A new app. (J. Rey Pérez, Ed.). Cuenca: Universidad de Cuenca. Retrieved from http://historicurbanlandscape.com/index. php?classid=5356 Siguencia Avila, M. E., & Rey Pérez, J. (2016). Heritage values protection, from the monument to the urban dimension. Case study: The historic centre of Santa Ana de los Ríos de Cuenca, Ecuador. Historic Environment: Policy and Practice, 7(2), 164–176. https://doi.org/10.1080/1 7567505.2016.1172785. Tarrafa Silva, A., & Pereira Roders, A. (2012). Cultural heritage management and heritage (impact) assessments. In Proceedings of the Joint CIB W070, W092 & TG International Conference: Delivering Value to the Community (pp. 23–25). Tenze, A. (2015). Perception of the Historic Urban Landscape in Cuenca from the citizenship participation workshops. Universidad de Cuenca. UNESCO. (1999). Advisory Body Evaluation. Historic Centre of Santa Ana de los Ríos de Cuenca (Ecuador) no 863. Retrieved from http://whc.unesco.org/en/list/863 UNESCO. (2011). Recommendation on the Historic Urban Landscape, including a glossary of definitions. Retrieved from http://portal.unesco.org/en/ev.php-URL_ID=48857&URL_ DO=DO_TOPIC&URL_SECTION=201.html UNESCO. (2015a). Hangzhou Outcomes. International Conference ‘Culture for Sustainable Cities’. Retrieved from http://www.unesco.org/new/en/culture/themes/culture-and-development/ culture-for-sustainable-cities/ UNESCO. (2015b). International Conference on urban conservation: Role of the Recommendation on the Historic Urban Landscape in safeguarding modern heritage in the Arab States, Kuwait City. Retrieved from http://whc.unesco.org/en/events/1248/ Veldpaus, L., & Pereira Roders, A. (2013). Historic Urban Landscapes: An assessment framework part II.  In PLEA2013  – 29th Conference, Sustainable Architecture for a Renewable Future. Munich, Germany. Retrieved from https://pure.tue.nl/ws/files/3693559/376129496053604.pdf WHITRAP, & Ballarat, C. of. (2016). The HUL Guidebook. Managing heritage in dynamic and constantly changing urban environments. Retrieved from http://www.historicurbanlandscape. com/index.php?classid=5355&id=170&t=show WHITRAP, T.  W. H.  I. of T. and R. for the A. and the P.  R. (n.d.) The Historic Urban Landscape. Retrieved August 4, 2016, from http://www.historicurbanlandscape.com/index. php?classid=6043

Chapter 12

The Historic Urban Landscape Approach in Edinburgh’s Old and New Towns: Implementation of Projects on the Ground in a Living Capital City Adam Wilkinson

Abstract  The Historic Urban Landscape Approach represents a holistic, value-­ based approach to the management of complex urban areas. Since 1970, efforts to conserve Edinburgh’s historic centre have relied upon similar approaches and methodologies that are now being adapted to the new paradigm. The main actor in this is a third party, Edinburgh World Heritage, which uses its position between the community and government to build consensus around projects that serve to enhance the World Heritage Site to the benefit of residents, businesses and visitors. A number of key tools are deployed in this work – community engagement, partnership working, expertise and financial tools. While individual projects act as a microcosm of the HUL approach, ensuring the implementation of the HUL approach at municipal level in a UK context requires a change of mindset: many of the individual steps of the HUL approach are already in place. Keywords  Edinburgh · Urbanism · Community engagement · Stakeholder · World heritage · Tenement · Conservation · Interpretation · Urban landscape

12.1  Introduction The Edinburgh Old and New Town World Heritage Site covers the mediaeval Old Town and the eighteenth- and nineteenth-century classical New Town. These two strongly juxtaposed urban forms, which sit across the Waverley Valley from one another, are both the product of completely different approaches to city planning. Within the area, which covers 3288 hectares, there are approximately 4000 buildings (World Heritage Centre, brief synthesis), the majority of which are protected

A. Wilkinson (*) Edinburgh World Heritage, Edinburgh, Scotland, UK e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_12

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by either statutory listing or conservation area status (an idiosyncrasy of the UK system is that World Heritage is protected through existing legislative and policy tools, based in the planning system) (Scottish Government 2014). Edinburgh World Heritage is an independent charity that endeavours to safeguard the heritage of Edinburgh through providing informed counsel regarding conservation activity in the World Heritage Site, along with conservation, engagement and capacity building programmes that involve the community who still call Edinburgh’s Old and New Towns their home. The charity operates a community centred approach that incorporates aspects of the Historic Urban Landscape Approach. This paper will briefly outline the evolution of this approach to heritage and planning in Edinburgh, before discussing EWH’s role in the contemporary city. There is further reflection on operating and implementing programmes, both traditional and innovative, as a charitable, third-party non-governmental organisation. Throughout, the approach of EWH is placed in the context of the Historic Urban Landscape Approach.

12.2  The Evolution of the Approach in Edinburgh In 1970, a major conference on Edinburgh’s New Town (the construction of which started around 1780) was held, with the intention of highlighting the architectural and historical importance of these remarkable urban phenomena – perhaps the largest, most rigorously consistent area of high-quality classical architecture in the world. Led by Modernist architect, Sir Robert Matthew, the conference set an agenda for the long-term regeneration of this half of the city centre, standing across a valley from the mediaeval Old Town (Glendinning 2013). From the outset, this regeneration initiative recognised that private owners and community groups were essential actors, alongside national and municipal authorities. The starting point for the initiative was a thorough survey of the area (covering some 300  ha), carried out by volunteers from the Edinburgh Architectural Association, setting a clear baseline and identifying priorities within the vulnerable area. It immediately directed the focus to the “tattered fringes” of the New Town area, and led to the setting up of the New Town Conservation Committee, which acted as a conduit for government repair funds, and a source of advice and community support from its premises in a former shop. In the 1980s, government and municipal attention turned to the mediaeval Old Town, stretching a mile from the castle at the peak of a volcanic outcrop to the Palace at Holyrood. Significant attempts had been made to revive the Old Town from the late nineteenth century (Cooper 2014), from the “conservative surgery” of Patrick Geddes to the modernist interventions of Basil Spence, with limited success. In terms of tourism, despite the Old Town being the cradle of the Scottish Enlightenment, and home to many of the country’s most important monuments, the New Town was the principal visitor destination. Local and national government set up the Old Town Renewal Trust to help address the social, economic and ­environmental challenges the area faced, working closely with the local community as part of a concerted effort to rebuild the social structures around the physical fabric.

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These two linked but separate approaches continued through the inscription of the Old and New Towns of Edinburgh on the World Heritage List in 1995. In 1999, New Town Conservation and the Old Town Renewal Trust were merged to create Edinburgh World Heritage (EWH), an organisation independent of local and national government, but designed to work in partnership with both the municipality and Scottish Government’s heritage agency in the management of the World Heritage Site (Douglas Hamilton et al. 1996). EWH took a number of years to find its feet and to consolidate its approach, aspects of which are outlined in following sections.

12.3  Edinburgh World Heritage’s Approach Following on from its predecessors, EWH recognised the importance of engaging the community in the long-term regeneration of the city centre. At the point of this author’s arrival as Director of EWH in 2008, its principle tools were participatory and financial, with a strong focus on building conservation and spatial planning (Edinburgh World Heritage 2008). Recognising that there are other competent actors in the realm of legislative and policy tools, EWH backed away from handling the minutiae of planning in a World Heritage Site of over 4000 individual buildings, most of which are in private ownership. The organisation instead focused only on proposed changes with the potential to negatively impact outstanding universal value and advising its other partners on the implications of this (City of Edinburgh Council et al. 2018). EWH also looked to ensure that the correct policy framework was in place at a local level, introducing local policy to ensure that no new development would harm the attributes for which the site was included on the World Heritage List and addressing the lack of a buffer zone (City of Edinburgh Council 2010). While the lack of a formal buffer zone is an accident of history, it gave EWH the opportunity to consider alternative approaches. Given the site’s dramatic topography, a full study of its skyline was carried out in order to understand how this contributed to the outstanding universal value, where vulnerabilities lie and how this might be protected. The result was the identification of a large number of key views into, out of and across the World Heritage Site. These were then aligned with viewing cones, rather than the usual tool of corridors, allowing for development and change within the topography (City of Edinburgh Council 2007). More generally, the system of planning in place across the UK (with its variants in the constituent parts of the UK) ensures that the first two steps of HUL are at least partly in place: the system of structural and local plans ensures the mapping of and understanding of an area and, through consultation and examination at public inquiry, allows for participation (Scottish Government 2009a, b). Having set a firmer policy basis, EWH was able to concentrate on taking a more holistic approach to the management of the World Heritage Site, developing first its learning and interpretation programmes. As these were getting going, EWH developed another financial tool through a monument repair programme, enabling it to

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anchor in charitable and public donations (in effect a public/private partnership) and then to start to build up experience and expertise in energy efficiency and community-­ based action to help lower carbon emissions in the World Heritage Site. In all these programmes, which are explored in the next part of this paper, the key to EWH’s approach has been an understanding that the heritage outcomes of the resulting projects, while critical to EWH and managing our WH status, are often secondary to the other actors and partners. As such, the professional team at EWH acknowledges that it is more frequently the translator of community thinking, needs and values, which requires a good deal of humility. As will be demonstrated in the highlighted programmes, EWH has been largely successful in implementing the sixth step of the Historic Urban Landscape Approach, which is establishing local partnerships, though the maintenance of these partnerships over time can vary depending on available resources and interests.

12.4  The Conservation Funding Programme While programmes of grant assistance for the conservation and repair of historic buildings are far from rare, the pattern of land ownership in Edinburgh means that the buildings that are often most in need are also the hardest to ensure a good state of conservation in – across the city around 65% of pre-1919 buildings require some sort of repair, and 48% have critical elements (Scottish Government 2017). The majority of residential buildings in the city centre World Heritage Site and its nineteenth-­century suburbs are under multiple ownerships, normally with up to ten owners and in exceptional cases over 50 (National Records for Scotland 2011). For a conservation and repair scheme to succeed, every owner has to be in agreement. This represents a major vulnerability in the care of the World Heritage Site (and more generally Scotland’s built heritage), which is acknowledged and prioritised through successive World Heritage Site Management Plans, which seek to ensure the historic centre supports a strong residential population (HUL steps 3 and 5). EWH uses buildings at risk methodology to understand trends in decay and areas where problems are concentrated in order to understand how best to target its efforts. Creating agreement to repair requires a period of careful negotiation by EWH staff to bring about an agreed scheme which meets the needs of the owners and the conservation objectives (HUL step 6). The first £50,000 of any grant is, as an incentive, given as straight funding. However, further funding is repayable on the sale or transfer of property. Funding shares are generally decided by floor area (EWH 2012a, b). A recent example of a repair is 181–189 Canongate, a nineteenth-century tenement (apartment block) on the Canongate section of the Royal Mile. One of the eight owners approached EWH, concerned about the damage being caused by an overflowing gutter. Working with that owner, EWH staff set up owners’ meetings to help bring the other owners, some of which were absentee landlords, on board with the principle of repair. The owners then formed a committee, which appointed an appropriately qualified professional (in this case a conservation architect) to lead

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the development of the scheme and its eventual execution. Investigation of the building led to a careful scoping of the works needed. EWH staff also worked with the owners to see where additional conservation benefit might be gained, in particular through the restoration of the lime harling (render), removed in the nineteenth century. Ultimately the owners did not feel able to proceed with this element, but were in agreement with all other elements of the scheme, and it proceeded to site, some 12 months after first approaching. This inspired the owners in two neighbouring blocks to come together for EWH supported repair schemes (Wilkinson 2015). While the conservation funding programme undoubtedly works (with over 1500 building projects supported since 1970) and produces both sustainable conservation and community outcomes, bringing people together, it requires a great deal of manpower. In particular, the system requires a great deal of effort and negotiation in creating the community partnerships and encouraging the owners as they work through what can often be complex conservation projects. The timing of projects is also hard to predict, as owner groups can only move at the speed of the slowest member. This makes it hard to achieve high impact over focused areas in short (or political) time frames. Consequently, as a programme, it does not satisfy those focused on numbers as it has a poor cost to spend ratio, and it does not always satisfy politicians, as the overall impact of projects over a 5-year period can be hard to judge. It requires a consistent, long-term approach but achieves long-term, sustainable results.

12.5  World Heritage Projects Programme One aspect of the conservation funding programme evolved into a programme in its own right around 2006, by focusing 15% of EWH’s capital budget on the repair of monuments and public realm around the city. Recognising that these structures are vulnerable, with no economic value in their own right, other than forming the backdrop to the daily lives of the citizens of the city, EWH asked the municipal authorities to form a funding partnership for 12 of the most important of these monuments. EWH offered to put forward 30% of the funding if the City of Edinburgh Council would put forward 30%. EWH would then fundraise the rest from charitable sources (Edinburgh World Heritage 2009). This approach was tested on a relatively small but important military monument, with a repair valued around £20,000, and was proven to work. Initially, a 3-year period was set for the other eleven monuments, ranging in scale from £50,000 to £450,000 (the remarkable Burns Monument, by Thomas Hamilton from 1831). In these projects, EWH took on the role of project coordinator, client and fundraiser. The programme took 6 years in total, due to the fundraising effort required. However, the leverage achieved through this approach was significant: in total, the 12 monument programme, through the partnership of public, private and charitable, raised £1.2 m, split roughly 47% EWH grant, 25% charitable funds raised by EWH and

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28% from the City of Edinburgh Council, and, moreover, the clearly defined programme was politically popular, showing clear outcomes for the city. This approach also allows flexibility and a vehicle for building relationships amongst often sceptical local authority officers. One of the aims of the World Heritage Projects programme is to change perceptions of some of the World Heritage Site’s urban spaces. Working with artist Callum Innes and the Ingleby Gallery, EWH was able to encourage the City of Edinburgh Council to allow the installation of an artwork under a handsome viaduct, dating from the early nineteenth century. The artwork covers the stonework of the vault in a wash of gently changing coloured light (Ingleby Gallery 2012). As well as highlighting a fine piece of architecture, the project also resulted in a drop in reported crime around the underside of the bridge, by a back entrance to the city’s main railway station, to zero. Having seen the benefits of this temporary project, the partners were able to convince the City of Edinburgh Council to take ownership of the work of art and maintain it. The weakness of this approach is the lack of certainty  – had the partners not been able to convince the city to take on the work of art, the time and money invested would have been lost.

12.6  Learning Programmes Article 27 of the World Heritage Convention reminds us of the importance of ensuring knowledge of the cultural importance of our heritage is passed on from generation to generation (UNESCO 1972). However, it is sufficiently broad to allow for a great deal of flexibility. EWH’s conservation and repair programmes provide an excellent and relevant source of material and means for engaging residents with their heritage learning and interpretation, allowing for the continued valorisation of heritage. This is usually in the form of a temporary information board at the site of any repair. More recently, social media has become a powerful way to take this to a wider audience. With the right photographs, it is possible to inform ever increasing numbers about the importance of their heritage and create a two-way discussion around values. The flexibility in Article 27 has allowed EWH to continue its theme of using heritage to achieve a wide range of outcomes: our historic environment does not only have to be used to teach heritage. EWH ran a trial programme called “Heritage Detectives” which aimed to create a deeper engagement with the city centre’s heritage amongst an audience that was completely disconnected from it (Edinburgh World Heritage 2012a, b). EWH joined forces with consultants Daisychain Associates and charity Circle Scotland to manage a project aimed at introducing young people to the World Heritage Site. Circle Scotland provides c­ ommunity-­based support for marginalised children and families, working to improve opportunity for disadvantaged families, and those with children at risk of school exclusion, experiencing neglect or affected by parental drug or alcohol abuse.

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Over 8  weeks, a group of 17 young people gathered at the EWH office in Charlotte Square on Friday afternoons. Divided into small teams and led by a Circle Scotland expert, they were tasked to go out and about around the city, to find out the truth behind topics such as Edinburgh’s underground city, crimes, famous Scots and traditional myths, visiting a number of buildings and sites across the World Heritage Site. The project culminated with several performances of a short piece of drama, inspired by and starring the participants. Titled “Bondi Brenda and the Heritage Detectives”, the piece imagines the young people challenging Edinburgh’s worst tour guide and exposing her somewhat exaggerated stories. How do you measure the success of an outreach and engagement project? Firstly, no one dropped out of the project. Considering that the project happened in their free time, and some of the group did not have good attendance records at school, this is by itself a real achievement. Secondly, the group went to places they had never been before, and this widened their horizons and perceptions of the city. In the case of a project such as this, anecdotal evidence is important. One member of the group had spent 6 months at home after being excluded from a catering course for poor attendance. He commented: “It’s built my self-confidence learning about Scotland’s important role in history and realising this is where I’m from; before I wouldn’t have known where to look”. While it seems that this approach to heritage learning – embedding it in other subjects and meeting other needs – has real strengths, the challenge has been in scaling it up: it requires funding, and in the case of EWH, as a charity, such funding is given by trusts and foundations rather than by an institutions paying for a service. As a result, it is not possible to predict whether funding will be a one-off or on a more sustainable basis. This indicates that the charity model is fragile when innovating, as opposed to when it is handling established methodologies, such as with the conservation and repair programmes. In terms of the Historic Urban Landscape Approach, this project represents the sowing of the seeds for a participatory approach amongst different audiences: the danger of public engagement is that it can become a tick box exercise that results in narrow engagement, leading to plans and projects that are only bought into by a narrow section of society. It takes effort and care to engage with different audiences and to demonstrate how heritage can help meet their objectives.

12.7  Energy Efficiency If conservation was the watchword of the 1970s, climate change and energy efficiency have been those of the last 10 years, with significant changes in government policy reflecting the challenges. These are particularly relevant in urban areas, as areas of intense consumption and fragility in relation to climate change. Recognising the Scottish Government’s highly ambitious targets in relation to climate change (Scottish Government 2009a, b), EWH positioned itself to ensure that proposals to adapt the historic building stock were appropriate and would not damage the

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historic or architectural importance. This meant setting up a programme to explore the sorts of changes that might work and executing them with a willing partner. At the start of the programme, the willing partner was a housing association, which allowed us to trial a range of practical solutions for its tenants in one early nineteenth-­ century tenement, from reinstating internal window shutters to installing solar thermal panels in the valley of the roof. The outcomes of this helped inform national policy, as well as understand what was and was not acceptable in relation to outstanding universal value (Changeworks 2008, 2009). The implementation of this programme reflects the “Assess Vulnerability” step in the Historic Urban Landscape Approach. This programme of work developed further, taking advantage of funding from Scottish Government intended to help communities reduce their CO2E. EWH set up a series of projects for residents helping address fuel poverty (a relative measure of heating costs to income) by giving them the skills to adapt their properties sensitively themselves and through working with communities to reinvigorate lost urban gardens as food growing spaces in which gardening skills could be taught. The garden at Acheson House was designed by children from the local school, with food varieties selected with the assistance of experts from the Royal Botanical Gardens Edinburgh to ensure they were authentic to the seventeenth-century date of the garden (Edinburgh World Heritage 2011). The current development of the work is to set up a new vehicle, capable of accessing funds that EWH as a charity- and heritage-focused organisation is not able to access. These funds will be used to support the sensitive retrofit of statutorily listed buildings, improving living conditions for residents and so helping sustain the residential population of the World Heritage Site. The next project lined up for action is a post-war listed building in the Old Town, which represents a vulnerable typology, with a series of different challenges to the usual building stock (Simpson and Brown 2013). Again the challenge for EWH as a third party is in scaling up this work to make a substantial difference at a city level: to date, it has been engaging with communities at the grass roots, using climate change and energy efficiency as a means of engaging people with their historic built environment. Operating at a different scale requires direct access to the levers of power, which are not readily available to a small third party organisation. Another challenge, for the conservation purists, is the question of whether this represents mission creep or a natural evolution of the conservation movement: as a city of highly educated people, criticism is never far away.

12.8  Future Directions Innovation is exhausting and failure is an essential part of innovation. Therefore, it is often seen as a waste of precious resources by public and private bodies, especially at a time in the UK when financial resources for heritage are hard to find. It

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can be disorientating for staff, and the temptation to chase the objectives of external funders rather than focusing on core objects can be strong. EWH needs to consolidate around its successes in deep engagement with communities in conservation, learning and energy efficiency, confining its experimentation and innovation to a limited number of new areas, and, in doing so, build on its core skills rather than working in areas where others have greater expertise or are more effective. Areas that currently look promising include building capacity, such as the provision of professional training, as a way of ensuring the demand for the traditional skills needed to conserve Edinburgh’s stone built heritage is strong (Historic Scotland 2011). The temptation provided by the general direction of external funding would be to attempt to teach the craft skills themselves, but there is already good provision in this area. Focusing on professional training means that the core skills of the professional team are further utilised. The same temptation affects EWH in relation to international programmes – in spite of the UK’s decision to leave the European Union, there remain a number of international networks and programmes where EWH’s experience and knowledge are valued (often more so than in Edinburgh), and careful choices are needed over where to expend effort to ensure that the core mission of the organisation is supported. Other areas that will require attention in the coming years include understanding how to handle the pressures of mass tourism, in particular the impact this has on the life of established communities in the city centre (WTTC 2017). At the heart of how we increase our understanding of this – and other areas – must be a strengthened relationship with the city’s universities. At present, their research agendas are not aligned with the needs of the city or the planning of its future.

12.9  Further Strengths and Weaknesses A key strength of the EWH approach is the depth of community engagement that is fundamental to the programmes. However, this demands a long-term approach, often beyond the funding horizons of public bodies, and so there is a general understanding with the community groups that the promises of a programme can only be delivered when the funding is available and that EWH will use its position as a third-party organisation to raise funds. This ensures EWH is one step removed from criticisms of political decisions around funding, but it is also understood by the City of Edinburgh Council, which sees value in a third party leveraging in additional funding. The weakness of being a third party is the need to ensure political buy-in at local and national level to EWH’s mission and activities. This buy-in needs to be across the political and administrative spectrum and requires constant attention. The narrative used to help address this is that heritage is being used as a tool to meet other needs and outcomes – in other words, it is a means to an end rather than, as the

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traditional approach to heritage would suggest, an end in itself. However, UNESCO status links to a counter-narrative present in Scottish politics relating to interference in Scottish affairs from outside. This usually relates to the UK government in London but is occasionally directed at other external organisations. Linked to the challenge of political support is the question of political leadership. The leadership structure of Edinburgh divides power between a civic leader, a political leader and an administrative chief executive. The electoral system and current political landscape tend towards coalition, which further complicates the leadership picture. The general structure and culture of the City of Edinburgh Council over the last decade has been one of “silo” working, precisely the opposite of the integrated approach supported and promulgated by EWH, although steps are in underway to address this: the current chief executive is restructuring the council and leading a city vision exercise that asks basic, HUL-like question – what do you like about Edinburgh, what would you change about Edinburgh and where should Edinburgh be in 2050? Deep integration is still a long way off. The picture at a Scottish government level in relation to promoting an integrated approach is somewhat complicated by the way in which World Heritage is still “apart” from mainstream government thinking. Despite a strong focus on nation-­ building and community empowerment, heritage is not yet widely seen as a tool for either (yet Scotland’s six World Heritage Sites beautifully encapsulate the nation’s story). Until heritage is seen as essential to the future of the city, the question of scaling up successful activities will continue to be a major challenge: scaling up requires long-term funding. This problem is far from unique to Edinburgh. More generally, the structure of the planning system in the UK makes the full implementation of the Historic Urban Landscape initiative a challenge: it means pushing the mapping of assets at the local plan stage beyond those related to land use, it means working hard to ensure consultation and community engagement is deep and genuine and it means ensuring coordination across policies and governance structures. The greatest strength of EWH’s integrated approach must be the range of outcomes that result from its projects. These should provide evidence that can act as the political leverage needed to embed its programmes and support a wider integrated approach, but the body politic has not yet made the leap. The greatest challenge in relation to the Historic Urban Landscape is also a reflection on EWH’s key weakness; although it can be influential, it remains a third party non-governmental organisation. Its recommendation to local and national authorities – that an integrated, Historic Urban Landscape-type approach to its historic centre be adopted – remains just that, a recommendation. This is especially true in relation to the fourth step of HUL – ensuring the coordination of heritage values within the wider framework. The means of mitigating this is the creation of an active advocacy programme, but even so, success is not guaranteed. You can take a horse to water, but you can’t make it drink.

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References Changeworks. (2008). Energy heritage. CHangeworks. (2009). Renewable heritage. City of Edinburgh Council. (2007). Skyline report: The protection of key views. City of Edinburgh Council. (2010). Edinburgh City Local Plan. City of Edinburgh Council, Edinburgh World Heritage, Historic Environment Scotland. (2018) Old and new towns of Edinburgh management 2017–22. Cooper, M. (2014). Transactions of the ancient monuments society. Historic Environment, 4(2). Douglas Hamilton, J., et al. (1996). Statement of intent: Old and new towns of Edinburgh World Heritage Site. Edinburgh World Heritage. (2008). Annual review 2007/2008. Edinburgh World Heritage. (2009). Journal one. Edinburgh World Heritage. (2011). Acheson house garden teacher’s guide. Edinburgh World Heritage. (2012a). Conservation funding programme guidance notes. Edinburgh World Heritage. (2012b). Journal four. Glendinning, M. (2013). The conservation movement: A history of architectural preservation: Antiquity to modernity. London: Routledge. Historic Scotland. (2011). Traditional building skills: A strategy for sustaining and developing traditional skills in Scotland. Edinburgh: Historic Scotland. Ingleby Gallery. (2012). Callum Innes: Regent bridge. http://www.inglebygallery.com/events/ the-regent-bridge/ National Records of Scotland. (2011). Scotland census. Scottish Government. (2009a). A guide to the planning system in Scotland. Edinburgh: Scottish Government. Scottish Government. (2009b). The climate change (Scotland) act. Scottish Government. (2014). Scottish planning policy. http://www.gov.scot/ Publications/2014/06/5823/0 Scottish Government. (2017). Scottish household survey. Simpson and Brown. (2013). Sir Basil Spence’s Canongate housing conservation statement. UNESCO. (1972). World heritage convention. Wilkinson, A. (2015). November 2015 director’s notes. World Heritage Centre. Brief synthesis. http://whc.unesco.org/en/list/728/ World Tourism and Travel Council. (2017). Coping with success: Managing overcrowding in tourism destinations.

Chapter 13

Havana: From the Walled City to a Historic Urban Landscape Pablo Fornet

Abstract  Thirty-five years after its inscription on the World Heritage list, Old Havana is at a crossroads once again. The heritage management process that begun in 1993 reinforced the role of the Office of the City Historian as a leading public institution through a comprehensive plan and financing mechanisms that would ensure overall sustainability. Since then, the Historic Centre has benefitted from a boost in the local economy, and hundreds of buildings have been restored with an eye to retaining the resident population, one of the project’s key premises. During the past 5 years, however, some facts and tendencies both at national and local levels are generating an entirely new dynamic. The current scenario poses a challenge and an opportunity for a city that is recognized for its outstanding heritage values along with accumulated urban problems and also for its longtime practices of heritage preservation. At present, there is a pressing need to define a buffer zone for the WHS that allows a new point of view regarding historic urban landscape of Havana Bay and its environs. Keywords  Old Havana · World Heritage · Heritage preservation · Tourism · Sustainable development · Management plan · Historic urban landscape · Historic Centre · Gentrification · Buffer zone

13.1  The City and Its History In 2019, the city of Havana will turn 500 years old. For more than two centuries, this so-called Key to the New World was the West Indies Fleet port of call through which Spain traded with its overseas possessions. Since the 1720s, the development of shipyards and construction of vessels increased its strategic importance (Fig. 13.1). Coveted as it was by several empires, the city was surrounded by the most impressive defensive system built in the Americas. In 1837, Havana became the site for Latin America’s first railroad. By the end of the nineteenth century, Havana was P. Fornet (*) Office of the City Historian, Havana, Cuba © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_13

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Fig. 13.1  The Port and City of Havana in 1855. Lithography by Eduardo Laplante

Latin America’s seventh largest city with about 250,000 inhabitants and boasted one of the most active ports (Wilson 2014). The city grew within the walled precinct until the middle of the eighteenth century. A century later, however, the wall became obsolete and demolition works started in 1863. The valuable contiguous lands entered into a process of accelerated development. Major public spaces took shape (Prado Promenade, Central Park) as well as splendid buildings dedicated to official uses (Presidential Palace, Capitol), theatres, hotels and commercial centres. During the twentieth century, the city developed swiftly to the west, with flourishing middle- and upper-class neighbourhoods, while popular settlements grew to the south. By 1950, the city had become a metropolitan area with one million inhabitants. Old Havana gained in density after the construction of some high-rise buildings and the related proliferation of ciudadelas.1 The port generated thousands of jobs; the financial district, as well as commercial areas, was consolidated. In 1959, the triumph of the Cuban Revolution triggered radical changes in the country’s economy, its society and its regional development. The new government stressed the improvement of rural areas and small poor settlements that had been neglected for centuries. The Cuban economy was highly dependent on the United States, so at a juncture when the new government was implementing radical reforms, tensions between the two countries increased. These circumstances caused

1  In Cuba, a house that was originally built as a single-family residence and later sold to be rented by poor people that crowded around the centre of the city. Towards 1980, almost one third of Historic Centre buildings belonged to this category.

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disruptions in the supply of goods and resulted in a decrease in commercial activities. Many wealthy people emigrated. In the 1970s, Cuba’s demographic growth rate was higher than its own capital city and exhibited a significant improvement of countryside quality of life, a singular behaviour in the Latin American context. Havana remained “frozen in time” which implied, on the one hand, the preservation of its rich urban heritage but, on the other hand, a deterioration of the housing stock and infrastructure.2

13.2  The Beginning of the Project, 1981–1993 As in other countries of Latin America, the second half of the 1970s brought a change in the valuation of cultural heritage. Several regional meetings and international charters, including The Convention Concerning the Protection of the World Cultural and Natural Heritage, placed heritage preservation at the centre of the public agenda. In Cuba, the Heritage Act turned out to be the first law passed after the promulgation of the 1976 Constitution. And in 1978, the Historic Centre was declared a national monument; 4 years later, in 1982, Old Havana and its fortification system were inscribed on the World Heritage list (in Latin America the fourth Historic Centre just after Quito, Antigua Guatemala and Ouro Preto), by virtue of their Outstanding Universal Value. The urban area (Historic Centre) comprises the ancient walled city and the former ring beyond the walls, 214 ha altogether. The inclusion on World Heritage list coincided with the beginning of the first 5-year restoration plan (1981–1985), which sought national government financing for some 30 buildings. An action plan was drawn up, articulating the efforts of various stakeholders, mainly the city government, the Ministry of Culture and the Office of the City Historian (OCH). The works carried out in the Plaza de Armas and the conversion of Obispo Street (Fig. 13.2) into a pedestrian walkway as well as a campaign to increase awareness greatly contributed to drawing the attention to the recovery of heritage. In 1986, a second 5-year plan was endorsed. By the end of the decade, some 60 buildings had been restored – mainly for cultural, commercial and housing purposes. This was an important step in a run-down territory where more than half of the buildings were in bad condition. In 1990, the collapse of the Soviet Union provoked the loss of a third of Cuba’s GDP. The country plummeted into a severe economic crisis that paralysed the urban rehabilitation project. Cuba opened its doors to foreign investment and tourism. In this new context, Old Havana was to play a key role given its accessibility and tourist potential. The relaunch of the project was highly symbolic and allowed for a reformulation of a strategy that showed discrete yet sustained achievements regarding urban matters. The need to generate financial resources without losing sight of the heritage preservation goals yielded a new approach and creativity.

 With its 720 km2 and 2 million inhabitants, Havana was 1 of the 14 provinces of the country, with 15 municipalities, 1 of which was Old Havana.

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Fig. 13.2  A block in the nearby of Plaza de Armas. An early action that combined the in-depth restoration of ancient buildings and the rehabilitation of a traditional shopping street

13.3  The New Management Model In 1993, the OCH was accorded status as the entity in charge of the urban restoration project3 and was no longer subordinate to the government of the city. It began to report directly to the State Council, the highest national government authority. Permission was granted to the OCH for comprehensive planning well beyond traditional heritage approaches. Among these new possibilities were property acquisitions, building permissions, investment promotion and the establishment of financial mechanisms for sustainability purposes. Old Havana became a Zona Priorizada para la Conservación. Heritage was now not only a matter of national pride but also an economic resource that would guarantee the continuity of the project (Hill 2007).

3  The OCH was founded in 1938 as a City Council agency. Under Eusebio Leal’s leadership, the OCH carried out the restoration of the former Palacio de los Capitanes Generales from 1967 to 1978, converting it into the City Museum.

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13.3.1  1 994–1999: Heritage: A Cultural Asset Turned into an Economic Resource The OCH had been comprised of a museum department, an architecture and archaeology group and a small construction enterprise. The new model demanded important organizational changes. Two new companies were created  – one oriented towards real estate (Fenix) and the other dedicated to tourist management (Habaguanex); they were to generate the financial resources required to sustain the restoration process. With a loan from the Cuban banking system, abandoned properties were rehabilitated and transformed into hotels, restaurants and shops. Earnings obtained from these installations would provide the bulk of the funds, with additional support from the contribución a la restauración4 as well as from international partners. The building enterprise was reinforced with equipment and a trained workforce. The newly created technical (traditional crafts) school became integrated more fully into the project, and new units emerged that focused on social matters and communication (publishing house, radio station). With support from the Spanish Cooperation Agency, specialists from various entities worked on a “master plan” intended to define the urban policy. Out of a process that was to have generated a guiding document (it would take 5 years to be published the integral development plan) emerged a space for discussion and coordination; this eventually led to the creation of the Master Plan Office, an institution responsible for planning and managing the process.5 From 1995 onward, the Master Plan Office conducted research in two important areas: a population census and a building inventory. The study of the population was a necessity identified from the very beginning. And it was the subject of debate: should the ancient buildings be restored with people continuing to inhabit them, or was it inevitable to reduce the number of residents? Was it possible to measure the local residents’ respective feelings of belonging and, based on that, define those who eventually would stay and those who would be relocated? The census reported just over 70,000 inhabitants, a population density of 330 inhabitants per hectare, which was unusually high in the Latin American context (Table 13.1). A building inventory was undertaken along with the census. Given that Old Havana’s last survey had taken place 20 years before,6 it was crucial to update it. A digital mapping was ordered down to parcel level. However, organizational factors impeded the completion of the task within the designated period. In 1999, a new

4  This sort of tax is a value-captured tool that establishes a gross income proportion (up to 5%) as a contribution of the businesses located in the area of the restoration project. 5  For Master Plan Office references: http://www.planmaestro.ohc.cu 6  Comprising only the ancient part of the city within the walls, the survey was accomplished before Old Havana was included in the WHS list (Capablanca et al. 1977).

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Table 13.1  Evolution of population: former walled city and Historic Centre (in thousand) Area/year Former walled city Historic Centre

1953 59,5

1970 61,8

1981 61,3

1995 58,4 70,6

2001 57,9 66,7

Source: population census, 1953–2001

Table 13.2  Number of buildings according to grade of protection, 1999a Grade of protection 1 2 3 4

Total 3 370 120 431 2527 292

% 100 3,5 12,8 75,0 8,7

The “grade of protection” is a criterion defined by the Cuban heritage legislation that determines the scope of allowable actions on a particular building. Grades 1 and 2 imply higher restrictions. Grade 3 buildings focus mainly on preservation of the urban contextual value. Those classified as grade 4 are considered less valuable and admit more flexible adaptation. Source: a singular experience (2006)

a

inventory was undertaken with fewer variables (location, building typology, grade of protection, technical condition and use), as well as a basic photographic survey, thereby providing enough information about the territory in order to manage the urban rehabilitation project (Table 13.2). The rehabilitation process regained the momentum it had achieved during the years preceding the crisis. Investments privileged the profitable sector, that which should generate financial resources, and was concentrated around the main squares. After the Plaza de Armas, attention turned to the Plaza de San Francisco, including the rehabilitation of the Convent of San Francisco and the Lonja del Comercio. The process moved along the Calle de los Oficios, the most ancient street of the city, thereby connecting both squares. As building restoration was accomplished, public spaces were improved. Sites like the Castillo de la Punta, the Parque de la Maestranza and the Hotel Santa Isabel were also rehabilitated. A polygonal sector of 40 blocks was taking shape, which guaranteed the maximization of the investment process and ensured a balance among tourist facilities, social installations and housing (Fig.  13.3). The rehabilitation of an important site like Convento de Belén was to provide guidelines for the social dimensions of the project.7

7  The Convento de Belén is currently the OCH Department for Humanitarian Affairs seat. Hundreds of elderly people receive daily health care here and also take part in social and cultural programs.

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Fig. 13.3  The Historic Centre. Area under rehabilitation and prioritized sectors according to the development plan

13.3.2  2000–2004: Focusing on Social Affairs At the beginning of the decade, the project was consolidated. The average number of recovered buildings had increased from 5 per year in the mid-1990s to more than 20. The tourist arm, Habaguanex, consisted of a network of 15 hotels and more than 100 shops, cafes and restaurants, which generated revenue in excess of 100 million USD. The OCH cultural arena was comprised of more than 30 institutions (museums, concert halls, art galleries). Despite these achievements, some problems remained unsolved: 40% of the housing stock was still in bad condition. A shortage of green spaces and recreational areas for young people was evident. Waste collection and water supply presented serious problems. The revenues that should have been consistently reinvested in new profitable facilities had to be directed towards social works (housing, educational and health institutions).

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Beginning in 2000, Old Havana became a site for implementing projects promoted by international cooperation. The management ability of the OCH coupled with the “high visibility” stimulated the participation of partners and strengthened the commitment of Cuban authorities. In 2001, after an agreement between the OCH and the municipal government, a strategic plan was outlined, with priorities given to heritage, housing, infrastructure and environment (Plan Maestro 2002). Many activities were undertaken to create awareness and sensitize the population.8 During this period, important buildings like Palacio Lombillo, San Felipe Neri Church and Hotel Telégrafo were restored. A project was launched for the rehabilitation of an entire block at the very heart of the Historic Centre that stressed housing development (including a residence for elderly people that had been identified as a priority in the area) as well as other social facilities. In 2004, 10  years after implementing the new management model, UNESCO promoted the project as “a singular experience” regarding the rehabilitation of urban heritage areas. The OCH collected, processed and brought to light a great deal of data concerning the territory, its rehabilitation and financial management (OCH 2006).

13.3.3  2005–2009: Reflecting on the Practice In 2005, a joint initiative between the University of Havana and Master Plan Office resulted in the implementation of a geographic information system that provides detailed information about more than 3000 buildings. For the first time in Cuba, such an advanced tool was accessible for institutions and citizens.9 In 2007, the Colegio San Geronimo was inaugurated at the same place where the University of Havana was founded in 1728 (the old convent was demolished in the past, to build an office building). The inharmonious façade was reformed so that it would blend into the existing cityscape. A program leading to a degree in “Heritage Management” was created, thereby taking 30  years of practical experience to an academic level. El Colegio became a permanent space for research and innovation on heritage matters. During this period, the “La Reunión” drugstore was restored, one building was renovated into a modern planetarium and another into a hotel (San Felipe), and work was done on the archaeological sites next to the seawall. Building and restoration continued on housing and public spaces. But without a doubt, the crowning achievement was the completion of the Plaza Vieja project, 25 years after it had begun.

8  Since 2001, every summer a program (Rutas y Andares) promotes direct exchange among citizens and experts (architects, archaeologists and cultural promoters), disseminating information about ongoing and future projects. 9  GIS is accessible at http://www.sit.ohc.cu

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Plaza Vieja: A Symbolic Space and Urban Example10 When Old Havana was inscribed as a World Heritage site, the Director-­ General of UNESCO, Amadou-Mahtar M’Bow, visited the Plaza Vieja and launched a campaign for the square’s preservation. Outlined since the sixteenth century, it is considered the first planned organizational attempt of the city. Over the course of time, houses of prominent families and renowned business establishments surrounded the square. Throughout its history, the square was transformed several times. In the mid-twentieth century, an underground parking lot was built right in the centre of the public space, while 200 families lived around the square in overcrowded conditions. Of the four main squares in the Old City, only the Plaza Vieja served a residential function. In the mid-1980s, a project to recover its “colonial times” image and to rehabilitate the square’s dilapidated buildings and its diversified functions was conceived. However, the project had to be interrupted after the economic crisis of the early 1990s. Later on, it had to deal with different stakeholders and restoration criteria as well as with financial restrictions. Finally, the project had to find mechanisms to move the families out during the execution of the works. Relaunched at the end of the 1990s, the existing primary school was improved, the public space was restored, and the dwellings were rebuilt, one by one, thus, accommodating nearly a hundred families in adequate houses. The Plaza Vieja project was an example of what had been proposed and developed for the Historic Centre, and it became a reference for future works.

13.3.4  2010–2014: New Instruments and Stakeholders In 2011, the Master Plan Office called for a public consultation process with the participation of institutions and residents in the area. The Comprehensive Development Plan (2011–2015) (Plan Maestro 2011) defined a new plan of spatial organization and identified priority actions and management tools with a methodology integrating “emerging issues” (governance, culture, economy, society and environment) with sustainability indicators (Rodríguez Alomá 2009). In addition, a project focused on “climatic change adaptation” permitted the updating of the land-use plan and building code for the waterfront sector  (Plan Maestro 2014), as well as to assess mitigating alternatives for marine impact at the seafront (including the protection of underwater heritage). A building model was designed for the eventual occurrence of coastal flooding. This project encouraged rehabilitation processes in this important area, although the complexity of the planned works far exceeds the financial capability.  A balance of this project can be reviewed at Fornet (2011) and Oficina del Historiador/Junta de Andalucía (2012).

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Finally, various institutions are working together to elaborate an environmental strategy by 2020, including actions aimed at healthy housing, water and solid waste handling, transportation, green spaces and energy  (Plan Maestro  2013). Environmental subjects have been playing a major role in the urban agenda with a great social impact like the improvement of infrastructure, the recycling of solid waste and the recovery of Quinta de los Molinos, the ancient botanical garden. The evaluation of these participatory processes generated a proposed methodology, developed by the OCH, which complements the formal mechanisms established in the country through the Poder Popular. A procedure was formulated for ongoing public consultations with institutions and citizens. A pilot participatory budget exercise was carried out in one neighbourhood. Spaces enabling the interaction of private and public stakeholders were promoted.11 Participatory experiences that generated synergy with the urban project were disseminated. The systematization and transfer of best practices was adopted as a goal for Cuban Heritage Cities’ Network (Plan Maestro 2012), establishing mechanisms of exchange and joint projects concerning cultural tourism, capacity building among young people and data management.12 Among the main works executed in the Historic Centre during this period are the restorations of the imposing capitol building (home of the legislature) and the emblematic Theater Martí and the revitalization of the Plaza del Cristo and the Avenida del Puerto (Old Havana seafront promenade). During the last 20 years, the OCH recovered some 400 structures and built 1200 housing units – including new and rehabilitated ones.13 Thanks to the coordinated work between the OCH and the public companies in charge of managing the infrastructure networks, the underground water, sewage, drainage, gas, electricity, telephone and fibre-optic networks were completely renovated throughout the Historic Centre. At the beginning of the 2010s, new stakeholders appeared on the national stage. In 2011, within the context of the Cuban Social and Economic Model Updating process, regulations concerning housing acquisition became more flexible. In spite of restrictions – the law permits the purchase of a single house and only by residents of Cuba – the new regulations have caused an immediate impact on the Historic Centre. During the short span from 2010 to 2013, requests for permission tripled

 These processes were developed after a collaboration project between the OCH and the Swiss Agency for Development and Cooperation (SDC). 12  The network was created in 2008 comprising five cities (Havana, Santiago de Cuba, Camagüey, Trinidad and Cienfuegos, all included on the World Heritage list). Later, another five cities were added: Baracoa, Bayamo, Sancti Spiritus, Remedios and Matanzas. A balance of the work of the first ones appeared in Oficina del Historiador 2012. 13  The OCH housing program was finalist of the 2010 World Habitat Awards (https://www.bshf. org/world-habitat-awards). The experience was taken as a case study for the Cuba Housing Profile promoted by UN-Habitat and identified as Best Practice in the Cuba’s report to the Habitat III summit (IPF 2016). Other recognition has been granted for the OCH and for Eusebio Leal, the historian of the city. 11

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and hundreds of new business emerged, mostly lodging, restaurants and souvenir shops. For some, this sounds alarms, signalling the beginning of a gentrification process, a phenomenon previously unfamiliar to Cubans. Further data seems to confirm the trend: for the first time in decades, the population decreased dramatically, from 67,000 inhabitants in 2001 to 55,000  in 2012. This is not unique to Old Havana – in fact, nearly 100 of the 168 Cuban municipalities show a population decline – but here the decrease has to do not only with low birthrates and an ageing population but also with a change in housing use and the related displacement of families.14 Meanwhile, the number of tourists arriving in the country has gone over the three million mark, with Old Havana as one of the main destinations. Habaguanex’s gross income has increased to some 150 million USD per year. On December 17, 2014, headlines around the world shared the breaking news: the presidents of Cuba and the United States announced the reestablishment of diplomatic relations, putting an end to the half-century-long conflict. That very same day, the National Commission of Monuments declared Havana Bay and its surroundings a protected zone.

13.4  The New Scene Since 2015, Cuba has captured a great deal of world attention. Old cars and ancient buildings shape an image of a country that has been inaccessible to many people for more than half a century. The Old Havana project has been consolidated, and the area is the object of a new public consultation process with an eye towards creating a development plan outlining a long-term strategy (towards 2030, in accordance with the citywide strategy). This new instrument ratifies the policies and premises of integral development and territorial organization (Rodríguez Alomá 2016) and emphasizes the strengthening of institutional regulation and management of property while underscoring the emergence of small private investments. In barrios like Santo Ángel, public-­ private partnership has accelerated the pace of rehabilitation. The need for increased capacity to accommodate tourists will likely result in the insertion of contemporary architecture – mainly alongside Paseo del Prado, the former ring beyond the wall – a site that has been untouched for decades. With nearly 13,000 employees, the OCH is undertaking global readjustment of its structure including technical, administrative and corporative areas. However, the locus of attention is now shifting in another direction, following the national government’s decision to move commercial activity from the port of Havana towards Mariel, 45 km to the west, with conditions for becoming the country’s main future logistic hub (Alemany 2016). The Havana Bay area, the raison d’être for the

 The OCH develops a joint project with the United Nations Fund for Population Activities (UNFPA) to study demographic dynamics in the Historic Centre.

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birth and development of the city, remains a valuable heritage treasure. The cultural landscape includes the Historic Centre, the fortifications and archaeological sites, the seaside communities of Regla and Casablanca, old industrial and transport facilities and the omnipresent body of water.

13.4.1  A New Vision for the Heritage Site Coinciding with the 30th anniversary of Havana’s inclusion in the World Heritage list, in 2012 the OCH (as the public authority responsible for the property management) and the National Heritage Council convened workshops to analyse the site and its boundaries. From the time of its designation, this serial property appeared poorly defined both in terms of the Historic Centre and fortifications (Fig. 13.4). The decision to relocate most of the port activities highlighted the need for analysis and the formulation of a proposal specifying precise limits for each of the declared elements, as well as for an adequate buffer zone on the land side and, for the first time, also one on the waterfront (Fig. 13.5). Once the proposal was completed, work began in two directions: with the World Heritage Centre, to update the property definition in accordance with Operational Guidelines,15and at the national level, in the study, demarcation and protection of

Fig. 13.4  Map of Old Havana and the fortifications as was submitted to UNESCO in 1981

 In 2013, the World Heritage Centre adopted the retrospective statements of outstanding universal values (37COM 8E) and changes to names of properties inscribed on the World Heritage list: Old Havana and its fortification system (37COM 8B.1) and, in 2016, the clarifications of property boundaries and areas (40COM 8D). http://whc.unesco.org/en/list/204. Consulted on Dec. 22, 2016.

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Fig. 13.5  A recent proposal of boundary modification for the Heritage Site and the buffer zone

the area. The designation of the bay and its surroundings as a protected zone16 was an explicit recognition of its historic urban landscape condition – beyond the notion of “historic centre” or “ensemble” (UNESCO 2011). Such designation also recognized the need to undertake an integral study of this area. For several years, the OCH had been restoring relevant buildings, rehabilitating ancient storehouses, renewing infrastructures and gradually transforming the landscape of the western bayfront, Old Havana’s borderline. However, new challenges are emerging. The reestablishment of diplomatic relations with the United States lifted some of the existing restrictions, and the silhouette of cruise ships had an immediate impact on the urban landscape, while waves of tourists wash into a city that lacks adequate facilities for receiving them. Like in other ports of the world, “as the cruise ship industry has expanded and diversified, so has its impact upon the economies, environments and cultures of the communities with whom it has come into impact” (Cheong 2013). How to confront the challenges of a city that possesses such extraordinary heritage and, at the same time, such urgent problems that need solving within its communities? How to manage a site that is not strictly urban – as has been the case of Old Havana – but rather a cultural landscape including urban and natural areas, a rich intangible heritage, archaeological sites, former industrial facilities and an extraordinary array of ancient fortifications from various centuries? How to integrate different stakeholders, both local and foreign, institutions and citizens? How  The protected zone comprises Old Havana, fortifications at the surroundings of the bay and a great buffer zone around. Been more distant, fortifications like Castillo de El Principe and forts of La Chorrera and Cojimar, which are also part of the World Heritage site, are not included.

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to think about a territory that seems called to play a key role in the future development of the city?

13.4.2  New Territory, New Urban Approach Since 2015, the OCH has been participating in a project – sponsored by the EU – that has among its objectives the study and proposal of a heritage management plan for Havana Bay and its surroundings. The project started with a survey of existing heritage (mapping and digital images acquisition, inventory of structures, delimitation of landscape units). The information compiled allows extending the GIS already functioning for Old Havana to this zone. Natural areas, semiurbanized zones and structures related to port activities – all vastly different from the calm regularity of the urban grid – must be included in the new project. A second step consisted of document analysis, consultations with experts and workshops, all of which permitted the envisioning of this territory from the perspectives of different stakeholders in order to identify and assess the problems of the site (housing, pollution, mobility, public space, port-city relationship). Diverse studies regarding the impact of climatic change enabled an assessment of flooding risks in the area that surrounds the bay. As was the case in the beginnings of the Historic Centre project, the current process makes visible the diverse agendas of those focused on heritage preservation, those engaged in tourism and other revenue-generating activities, as well as the residents of the area. The stakeholders’ map shows a greater level of complexity given the convergence of different levels of government (national, provincial and municipal), multiple ministries (transport and tourism) and the presence of large industrial facilities, like Cuba’s most important oil refinery. Although a large area (with some 2000 hectares, counting the property and buffer zones), it constitutes barely 5% of the total area of the city. And despite its high historic, cultural and even economic value, the area is far from articulating a city development or conservation strategy.17 Different stakeholders face the challenge of moving the analysis and implementation from the scale of the Historic Centre – where rehabilitation has been a source of pride and identity for a long time – towards the less studied and understood landscape of the bay, where policies, actions, priorities and the people responsible for its transformation are still to be determined. The plan, published as an advance (Plan Maestro 2017), opens a new dialogue between the different stakeholders as well and a more active community involvement, a key step in the renovation process of the most valuable urban landscape of Havana.

 In the early 1990s, a study identified 47 “urban zones with historic and cultural values” in the city of Havana (Chateloin 2008), adding up to 2700 ha and one fifth of the population of the city.

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13.5  Conclusion The Old Havana project has maintained its continuity for 40 years. Heritage preservation proved to be an important tool for urban transformation in a moment of crisis and established a mode of operation that has put to test the ability of the OCH to adapt to changes and relaunch the project. The project implemented in Havana demonstrates that beyond specific political features, “there are certain premises that should guide any urban initiative of this sort: the recognition, by institutions and citizens, of the value of the city; the existence of a legal framework reflecting the desire to preserve and utilize the heritage for the bennefit of the city and its inhabitants; the creation of a forum where all actors can engage in dialogue at both the local and national level. Some others premises are the establishment of an organizational structure that ensures a comprehensive planning and management under the guidance of a lead agency, ­development of mechanisms that guarantee the financial viability of the project and, last but not least, civic education and people’s participation as key components of social sustainability” (Fornet 2011). Today’s scenario is decidedly more complex from the point of view of management (it’s necessary to accelerate the intervention in the Historic Centre and generate new urban tools and forms of participation), social (to incorporate new stakeholders and effect social cohesiveness) and territorial (the Bay as a historic urban landscape with its potential and vulnerability). The site is, at the same time, a heritage zone to be preserved and an attractive space for the future development of the city. The adoption of the historic urban landscape approach might provide a leap from a model that has responded to needs up to this point to one that keeps in mind the six critical steps, from comprehensive mapping to a management framework (Van Oers 2015), and that appropriates innovative tools that need to be developed, like civic engagement, knowledge and planning, regulatory systems as well as financial tool (UNESCO 2011). The change of scale will inevitably generate a new group of stakeholders and forge a new consensus that will foster efforts to identify the problems and adopt a strategy in favour of the city and its inhabitants.

References Alemany, J.  Avances en la revitalización del puerto de La Habana, PORTUS, n. 32, December 2016. RETE Publisher. http://portusonline.org/es/avances-en-la-revitalizaciondel-puerto-de-la-habana Capablanca, E., Dunn, C., & Melero, N. (1977). Anteproyecto de Plan Director de La Habana Vieja. La Habana: ISPJAE. Chateloin, F. (2008). El patrimonio cultural urbano y el criterio de centro histórico. Caso de estudio: Ciudad de La Habana. La Habana: ISPJAE. Cheong, C. (2013). Impacts and Trends: A Literary Review. In Harboring Tourism. Cruise Ships in Historic Communities. Report of an International Symposium held in Charleston, South Carolina, USA, February 6–8, 2013 (pp. 8–39), World Monuments Fund.

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Fornet, P. (2011). Twenty-five years of transformations in the historic center of Havana. A case study of the Plaza Vieja. Facilities, 29(7/8), 303–312. Hill, M. (2007). Re-imagining Old Havana: World Heritage and the production of scale in late socialist Cuba. In S.  Sassen (Ed.), Deciphering the global. Its scales, spaces and subjects (pp. 59–76). New York: Routledge. Instituto de Planificación Física [IPF]. (2016). Cuba: Informe Nacional hacia Hábitat III. Oficina del Historiador/UNESCO. (2006). A singular experience. Appraisals of integral management model of Old Havana. World Heritage Site, Editorial Boloña. Oficina del Historiador/Junta de Andalucía. (2012). La Plaza Vieja de La Habana. Proceso de recuperación. Sevilla. Plan Maestro. (2002). Desafío de una Utopía: Estrategia integral para la gestión de salvaguarda de La Habana Vieja. La Habana: Ediciones Boloña. Plan Maestro. (2011). Plan Especial de Desarrollo Integral. La Habana: Ediciones Boloña. Plan Maestro. (2012). Luces y Simientes. Territorio y gestión en cinco centros históricos cubanos. La Habana: Ediciones Boloña. Plan Maestro. (2013). Estrategia Ambiental 2013–2020. La Habana: Ediciones Boloña. Plan Maestro. (2014). Malecón Tradicional. Plan Especial de Rehabilitación Integral y Regulaciones urbanísticas. La Habana: Ediciones Boloña. Plan Maestro. (2017). Plan de Manejo. Paisaje Cultural Bahía de La Habana (Avance). La Habana: Ediciones Boloña. Rodríguez Alomá, P. (2009). Gestión del Desarrollo Integral de los Centros Históricos. La Metodología ‘Tesis’. La Habana: ISPJAE. Rodríguez Alomá, P. (2016). “Nada humano me es ajeno”. El caso de La Habana Vieja. Patrimonio Mundial No. 81, Centro del Patrimonio Mundial-UNESCO, September 2016, pp. 42–47. UNESCO. (2011). Recommendation on the historic urban landscape, including a glossary of definitions. http://portal.unesco.org/en. Consulted Jan 23th, 2017. Van Oers, R. (2015). The way forward: An agenda for reconnecting the city. In F.  Bandarin & R.  Van Oers (Eds.), Reconnecting the city. The historic urban landscape approach and the future of urban heritage (pp. 317–332). Oxford: Wiley Blackwell. Wilson. (2014). The population of every urban centre in the world with more than 100,000 inhabitants in the year 1900. http://www.thebillywilson.com/2014/04/every-city-in-world-with-morethan.html. Consulted Feb 13th, 2018.

Chapter 14

The Implementation of the Historic Urban Landscape of the Island of Mozambique Solange L. Macamo, Jens Hougaard, and Albino Jopela

Abstract  In 2011, a 5-day multi-stakeholder workshop was organized by the UNESCO World Heritage Centre on the application of the Historic Urban Landscape (HUL) approach on the Island of Mozambique. This was followed by a detailed study of the changes in the architectural fabric that had taken place since 1983 (Island of Mozambique Historic Urban Landscape in Perspective: Part 1 – Stone Town), published in 2012. Besides the introduction of a holistic integrated urban approach, one of the key contributions of the HUL approach for conservation of the Island was the emphasis on the need for effective civic engagement tools that allow the involvement of a diverse cross section of stakeholders. Whereas the government conservation and development efforts have been traditionally supported by multiple local stakeholders, public-private partnership has not yet been fully assessed and recognized as part of an integrated framework for conservation and management of the Island of Mozambique. Taking stock of local development programs and conservation initiatives, this paper emphasizes the importance and the challenges of building public-private partnerships for sustainable conservation of the Island. This reflection will take into account the cultural, political, economic, and administrative elements and dynamics that influence not only the implementation of the Historic Urban Landscape approach but also the way heritage is used, preserved, and managed on the Island of Mozambique.

S. L. Macamo (*) Department of Archaeology and Anthropology, Eduardo Mondlane University, Maputo, Mozambique Ministry of Culture and Tourism, Maputo, Mozambique J. Hougaard GACIM, Island of Mozambique, Mozambique Faculty of Architecture and Physical Planning, Lúrio University, Nampula, Mozambique A. Jopela Department of Archaeology and Anthropology, Eduardo Mondlane University, Maputo, Mozambique © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_14

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Keywords  Historic Urban Landscapes · Integrated urban development · Public-­ private partnerships · Management frameworks · Uses of heritage · Island of Mozambique

14.1  Introduction For decades the Island of Mozambique has had considerable attention from the government and international partners, in particular the UNESCO World Heritage Centre, with focus on the reversal of the increasing degradation of the Island’s built heritage and improvement of the living conditions of its inhabitants (Jopela and Macamo 2011; Macamo 2014). The Island is the only heritage site in Mozambique with a management institution, special status, and conservation plan. The Island of Mozambique Conservation Office (GACIM) has been operational since 2006, and the multi-stakeholder (public-­ private)-driven Management and Conservation Plan was initiated in 2010. This plan expired in 2014 and is in the process of revision. In this chapter it is argued that the HUL approach can help to identify conservation problems and that valuable lessons can be learned from its application. Following a UNESCO decision (paragraph 6, Decision 40 COM 7B.15), a Regulation for the Classification and Management of the Island of Mozambique Built Heritage  and Landscape (Decreto n.°54/2016, de 28 de Novembro) was approved by the government. This tool aims to assist the management institution in a flexible way in the decisions to be taken for interventions in historical buildings and their compatible uses. This considers the local, provincial, and national levels of decisions and the role of UNESCO, in respect to the inscription of the Island of Mozambique in the World Heritage List. The national regulation for the management of immovable cultural heritage (Decreto n.°55/2016, de 28 de Novembro) that was approved at the same time establishes the mechanism for coordination among different stakeholders and the way public and private sectors can be involved in heritage management. The Historic Urban Landscape approach is a tool that reinforces the existing legislation, and it is used in this chapter to discuss the challenges for the public and private participation in the World Heritage of the Island of Mozambique. For example, the two collaborating universities in the Island of Mozambique help to reinforce capacity building, while the private sector is instrumental for the development of sustainable tourism.

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14.2  Geographical, Historical, and Urban Setting 14.2.1  Geographical Setting The Island of Mozambique is a raised coral reef situated 4  km from the African coast of the Indian Ocean at the entrance to the Mossuril Bay in Nampula Province, northern Mozambique. It forms an archipelago with the two smaller uninhabited islands of Goa and Sena (Fig. 14.1). The island, from which the name of the country is derived, is 3 km long and 200 to 500 meter wide, with a fully urbanized area of approximately 1 km2. It is now connected to the mainland by a bridge that was built in the 1960s (Jopela and Rakotomamonjy 2010:28).

Fig. 14.1  Map showing the location of the Island of Mozambique (Source: Map from 1933 at the Capitania – Photo Jens Hougaard)

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14.2.2  Archaeological and Historical Background By the tenth century AD, the Swahili was responsible for urban origins along the East African region. In addition, it is suggested that the  distribution of the Swahili societies along this region was part of one of the dispersal movements of the early farming communities who are the Bantu-speaking people (for discussion, see Duarte 1993: 38). The island was dominated by Arabian trading between the eighth and the sixteenth centuries followed by the Portuguese settlement in the sixteenth and seventeenth centuries and the Indian economic dominance in the following two centuries (Secretaria de Estado da Cultura, Arkitektskolen Aarhus 1985). Although no early urban structures are found at the Island of Mozambique prior to the Portuguese arrival in the late fifteenth century, a Swahili community was already established there (Duarte 1993: 59). Swahili architectural influences can still be perceived on the Island, especially in the Macuti town, the former native quarters (Nguirazi 2008). However, it is in the area of intangible heritage that Swahili influences have mostly developed. The early slave trade within the Indian Ocean created a mixture of cultures, and the later Atlantic slave trade brought the economic base for the construction of the impressive eighteenth-century commercial houses (feitorias) on the Island (Secretaria de Estado da Cultura, Arkitektskolen Aarhus 1985). In a book by Moira Forjaz and Amélia Muge, the historian Luís Filipe Pereira, who grew up on the Island, reflects on his childhood’s wonder at these impressive buildings and on how he only later understood the background of their construction (Box 14.1; Forjaz and Muge 1983).

Box 14.1 Extract of Luís Filipe Pereira Memories About the Buildings of Island of Mozambique …”Como tinha sido possível construir monumentos com aquela estrutura e todo aquele casario de pedra e cal sem cimento? Donde vinha a pedra? Quem Construíu? Mais tarde foi fácil descobrir os buracos donde saía a pedra, imaginar os recursos engenhosos dos homens, entender o esforço do trabalho escravo” (Forjaz and Muge 1983). ”How had it been possible to build monuments of such structure and number without cement, just using stone and lime? Where did the stone come from? Who was the builder? Later it was easy to discover the holes from where the stones had been extracted, to imagine the ingenuity of man, to understand the strength of slave labor” (Translation by the authors).

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Fig. 14.2  Map showing the division of the Island into the Stone Town and the Macuti Town (Source: Arch. Alexandre Mimoso, Portuguese Cooperation)

The dramatic history and interchange of human values are expressed in the Historic Urban Landscape of the Island, divided into two different types of d­ wellings and urban systems: the colonial city and the native quarters, now known as the Stone Town and the Macuti Town (Fig. 14.2). The Stone Town or Bairro do Museu (Fig. 14.3), with a strong Portuguese and Goes influence, comprises numerous administrative, commercial, religious, and military buildings testifying the presence of the Portuguese colonial government

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Fig. 14.3  Sections of the Stone Town (Photo Jens Hougaard)

Fig. 14.4  Section of the Macuti Town (Photo Jens Hougaard)

between 1507 and 1898 (Secretaria de Estado da Cultura, Arkitektskolen Aarhus 1985). It occupies approximately two thirds of the Island and is organized in 33 city blocks with a total of 379 original buildings (excluding the new constructions). It holds a relatively small part of the island population (Jopela and Rakotomamonjy 2010; Forjaz 2010). The Macuti Town (Fig. 14.4), named after the original coconut palm leaf roofing (macuti),1 is of Swahili origin. It hosts different variations of the vernacular type of architecture under the macuti category, ranging from precarious stick huts, without plaster and windows, to solid houses built of mangrove poles sewn together to form 1  Macuti refers to the palm fronds tied to a stick, forming a “roofing tile.” This tile is then tied to a skeleton of mangrove wood and bamboo creating a cover which, if good quality and having matured properly, may stay watertight for up to 6 to 8 years (Sollien 2013:49).

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an internal wall, around which stones and lime mortar are placed (Nguirazi 2008; Sollien 2013: 50). This area of the Island is organized into seven neighborhoods (Bairros),2 with a total of 1330 original buildings (excluding buildings erected after 1997). The Macuti Town is now in a process of change. Cement blocks and metal or fibrocement industrial roof sheets are now the building material of choice (Forjaz 2010: 25, 42; GACIM 2010:33). The two urban systems have an interdependent relationship of historic character. The Stone Town was mainly built of coral stone extracted from the southern part of the Island (Ponta da Ilha) leaving big basins. By the end of nineteenth century, a bylaw ruled that macuti houses could only be built at the southern part of the Island, defined by a line drawn across the Island immediately south of the large new hospital (Secretaria de Estado da Cultura, Arkitektskolen Aarhus 1985: 19). While the Stone Town faced an exodus of inhabitants after independence, the Macuti Town is still holding a population that maintains the memory and consciousness of the historic significance of the urban environment that they inhabit. This part of the city, however, suffers from an acute water shortage, a lack of sanitation, and a serious flooding danger at certain times of year (Jopela and Rakotomamonjy 2010:34; Macamo 2012:130). During an interview, Flora Magalhães, native of the Island, pinpointed one of the major challenges of the Island: the overpopulation (see Box 14.2). Her focus is on sanitation and urban infrastructure. Box 14.2 Extract from the Interview to Flora Magalhães, Native of the Island Regressando aos problemas do Bairro de Macuti, conclui Dona Flora: “E com a saída das pessoas da cidade podemos reordenar. Podemos fazer um novo alinhamento, podemos fazer canais de drenagem. Agora não há espaço porque tudo está ocupado. Assim vamos poder fazer latrina em cada casa. Levar água. Vai ficar bonito lá. Agora mais de 80 por cento da população lá chegou depois da independência. Antes viviam lá cerca de 7.000 pessoas. Cerca de metade das que agora lá vivem devem sair.” (Leite 2009: 466) … Coming back to the problems of the Macuti town-ship, Dona Flora concluded: “And with people leaving the town we can reorganize. We can make a new line-up (of buildings). We can make drainage canals. Now there is no space because all is ocupied. We can make latrines in each house. Get water. It will be beautiful there. More than 80 per cent of the population there came after independence. Before ca. 7.000 people lived there. Half of those who live there now must leave.” (Translation by the authors)

2  The “bairros” are Litine, Esteu, Marrangonha, Makaribe (spelling in ref. is Macaripe), Areal, Quirahi, and Santo Antonio or Unidade. The order of the bairros seems strange. Mentioned from north to south on either side of the Island, it should logically be Esteu, Litine, and Macaripe facing the bay and Marrangonha, Areal, Quirahi, and St. Antonio facing the open sea.

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14.2.3  Urban Expansion The Island of Mozambique gained status as a city (Cidade) in 1818. The capital of the territory was transferred to Lourenço Marques (now Maputo) in 1898. The change did not immediately affect the island city much, as a simultaneous opening of the interior of the country was taking place. In 1913 the building of a railroad from the Lumbo peninsula in front of the island started, in order to connect to the newly occupied territories. A small town around the railroad terminus became the administrative center of the new continental urban extension with a ferry connection to the island. With the construction of a bridge to the Island in the 1960s, however, the railroad terminus lost its importance and the small town falls into decay. Over the last 20 years, the municipality has expanded onto the adjacent coast around the landing of the bridge. This new suburb now holds the major part of the urban population. The present urban panorama of the Island of Mozambique municipality is thus composed of three major stage sets: • The Stone Town (the former colonial city in the northern part of the island) • The Macuti Town (the former native quarters in the southern part of the island) • The continental suburbs around the landing of the bridge on the continental side (inhabited by a mixture of people of rural origin and lodgers from the island seeking a place of their own)

14.3  Island of Mozambique: World Heritage 14.3.1  The UNESCO Listing After independence in 1975, a new approach to the historic patrimony of the Island of Mozambique within a national context had to be developed. Conservation and development became a national government issue, rather than a negotiation between local stakeholders. The National Service for Museums and Antiquities was created in 1977 under the Ministry of Education and Culture, which assured the maintenance of the classified monuments on the Island of Mozambique by a maintenance brigade. In 1980, the brigade was complemented by a conservation office that initiated historic, urban, and architectural studies. Acknowledging that the task of conservation on the Island could not be carried out by the government alone, the Secretary of State for Culture at that time, Luís Bernardo Honwana, approached UNESCO and the Gulbenkian Foundation in Portugal for support, which resulted in two consultant visits to the Island in 1981. The first UNESCO visit report by Krzysztof Pawlowski proposed measures and methods to help protect the Island and suggested that listing as a UNESCO World Heritage Site could be one way to achieve these (Pawlowski 1981). The government

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enthusiastically embraced the idea of World Heritage nomination as a strategy for getting external support from international donors for the conservation of the Island and ultimately to use the Island as a resource for tourism. The initiative was supported by the publication, in 1985, of an urban and architectural study (Ilha de Mocambique Relatório – Report,1982–1985) also known as the “Blue Book,” which was the result of a collaboration between the former Conservation and Restauration Office and the School of Architecture of Aarhus, Denmark, whose main coordinator was Architect Jens Hougaard. In fact it was the main reference document for the nomination dossier, apart from the heritage law that was later published in Mozambique (Lei 10/88, de 22 de Dezembro). In 1990, the Government of Mozambique submitted a “tentative list” of natural and cultural patrimony to the World Heritage Centre (UNESCO-WHC) as one of the requirements for the nomination to take place. The Island was inscribed on the UNESCO World Heritage List in 1991, under criteria (iv) and (vi): Criterion (iv) The town and the fortifications on the Island of Mozambique are an outstanding example of an architecture in which local traditions, Portuguese influences and, to a somewhat lesser extent, Indian and Arab influences are all interwoven. Criterion (vi) The Island of Mozambique bears important witness to the establishment and development of the Portuguese maritime routes between Western Europe and the Indian sub-continent and thence all of Asia. (ICOMOS 1991; Retrospective Statement of Outstanding Universal Value for Island of Mozambique 2011)

Although the government recognized the responsibilities of the country, resulting from the nomination of the Island in the World Heritage List, over the years the conservation strategy was depending on foreign donor support.

14.3.2  Measures Following the Listing In 1997, the Director General of UNESCO, Federico Mayor, launched an international campaign to “safeguard the Island of Mozambique.” Under this initiative, the World Heritage Centre spearheaded a “Programme for Sustainable Human Development and Integral Conservation” funded by the United Nations Development Programme, UNESCO, the European Union, and the Finnish Government. This program resulted in the design of 50 micro-projects in areas such as water and sanitation, tourism development, and heritage restoration that were presented to potential donors during the International Donor’s Conference in 1999. The rehabilitation of the architectural, urban, and cultural heritage component of the program was estimated in the region of USD 11,737,000 (Mutal 1998). As well as presenting a forward-looking approach to heritage conservation, it provided important

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recommendations (e.g., the need for a special status for the Island in the form of a law, which was only adopted in 2006). For multiple reasons this program was not implemented in its integrated format. In this chapter it is argued that while the Ministry of Culture was given the responsibility to be the direct interlocutor for the implementation of the program, the tools for action were in the hands of other ministries (i.e., the Ministries for State Administration, Finance, Public Works, and Tourism). It was obviously difficult for the Ministry of Culture to impose cultural concerns as crosscutting issues in any development strategy (Hougaard 2013). Secondly, and more importantly, the program was based on the assumption of the availability of donor, government and private funding. It was assumed that it would be possible to bring different foreign and national private donors together to implement different projects under the program. This did not happen despite the fact that in the years that followed, different donors continued to independently or bilaterally invest in specific projects on the Island. The national private sector also started to develop small activities in the tourism sector with direct impact on local economy (e.g., job opportunities to local people and rehabilitation of ruins).

14.3.3  The 2007 Action Plan During the following years of national postwar reconstruction, little happened on the site until 2006, when the government and UNESCO finally agreed on an action plan for management of the Island of Mozambique World Heritage. In the same year, it was decided, under the Ministry of Culture, to establish a special status that was approved by the government in 2006 (Decreto nr 27/2006, de 13 de Agosto). At the same time, a conservation office was established (GACIM) (Decreto nr. 28/2006, de 13 de Agosto) based on the former postindependence Gabinete de Conservação e Restauro dos Monumentos da Ilha de Moçambique. The action plan was presented at an international seminar on the Island in 2007 (Documento número 0.7/ SCI/2007)3. Following the action plan, the first phase of the rehabilitation project of the Fort San Sebastian started in 2007 (Eloundou and Weydt 2009), funded by Union of Portuguese Speaking Capital Cities and the governments of Japan, Flanders, the Netherlands, Portugal, and UNESCO. The project focused on urgent structural consolidation and restoration works in order to prevent further deterioration and to provide basic services and facilities (electricity, public water facilities, and public toilets). It was jointly coordinated by the Ministry of Culture and UNESCO.  A Management and Conservation Plan for the Island of Mozambique was also made possible, in 2010 (Jopela and Rakotomamonjy 2010), as a result of the action plan.

 Plano de Acção para a Gestão do Património Mundial da Ilha de Moçambique, 2007–2011.

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14.4  Historic Urban Landscape Approach 14.4.1  Application of HUL to the Island of Mozambique As part of the framework of the World Heritage Cities Program, UNESCO World Heritage Centre organized a 5-day workshop in July 2011 for the Application of the Historic Urban Landscape (HUL) on the Island of Mozambique. The workshop debated issues of effective conservation and tested the validity and robustness of the HUL approach on the Island of Mozambique (Van Oers and Pereira Roders 2012). The workshop provided a unique platform to introduce and discuss the HUL approach and to identify and understand the needs and wishes of the Island of Mozambique stakeholders. As a result, there has been an enhanced understanding of the challenges of urban conservation and management of the World Heritage city of the Island of Mozambique. Following the workshop, field research was conducted from November 2011 to January 2012  in partnership between the Lúrio University (Mozambique), the Eindhoven University of Technology (the Netherlands), and the University of Minnesota (USA). The result of the work was presented to stakeholders on the Island and published in a report in 2012: Island of Mozambique Historic Urban Landscape in Perspective: Part 1 – Stone Town (Pereira Roders et al. 2012; also known as the Orange Book). The report presents the results of the field research on the “Ownership of buildings on the Island of Mozambique” as well as a survey of changes in the building mass during the 30-year period since the previous fieldwork undertaken in 1982–1985 (Secretaria de Estado da Cultura, Arkitektskolen Aarhus 1985). The annual progress reporting exercise, by state party, can also be used as a tool for the HUL implementation (see, e.g., Eloundou 2013). To this end he provides a reporting trend to address general threats such as natural disasters and lack or insufficient infrastructure particularly in the Macuti Town (ibid: 79). In the following sections, some steps forward are discussed, including the management plan, regulatory measures, and the development of partnership.

14.4.2  A New Heritage Management Plan In December 2016, the Ministry of Culture and Tourism through its National Directorate for Cultural Heritage of Mozambique in collaboration with UNESCO organized a National Seminar on the Conservation of Heritage on the Island of Mozambique, with the participation of local and international stakeholders involved in the conservation of the World Heritage of the Island. The meeting aimed at evaluating the degree of implementation of the outdated Conservation and Management Plan (2010–2014) as well as the lessons learnt from the 5 years’ application of the HUL approach on the Island of Mozambique.

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The seminar also focused on the need to articulate and complement the HUL approach with other directives presented in the UNESCO Global Report on Culture for Sustainable Urban Development, “the New Urban Agenda,” and the “Sustainable Development Agenda 2030.” One of the outcomes of the seminar was the elaboration of an action plan for the revision of the Conservation and Management Plan for the Island of Mozambique (2018–2023) to be finalized in December 2017. During the seminar, the participants also considered the importance of the 2001 UNESCO Convention for the protection of underwater archaeology. The government followed this up during the third African Regional Meeting in Maputo on the Protection of Underwater Archaeology that came immediately after.

14.4.3  Learning from the Application of the HUL The HUL approach proved to be of critical importance for the Island of Mozambique, not only by broadening the concept of heritage conservation and including various aspects of conservation into an integrated framework (cf. Bandarin and Van Oers 2012) but also by facilitating, through the six-step action plan, a deeper assessment of the various needs regarding the conservation, management, and development of the Island of Mozambique. The implementation of HUL recommendation on the Island, however, still requires the development of some practical guidelines and tools on how to deal with change (for discussion, see Pereira Roders 2013), how to accommodate contemporary interventions, and how to regulate the “uncontrolled development” in the Macuti Town. These guidelines must promote the maintenance of the heritage values of the Island without obstructing the improvement of the population’s living conditions (Macamo 2012; cf. van Oers 2013: 12). Another major challenge for the implementation of the HUL recommendation, as noted by many stakeholders, is that GACIM staffing remains insufficient. It has not been possible to find specialized national staff. GACIM has had to rely on time-limited contracted staff, as was the case of one specialized architect. Only in 2016 permanent GACIM staff has been undergoing specialized training in conservation. 14.4.3.1  Lesson 1 Many of the approaches for conservation and management of the Island of Mozambique adopted over the years already integrated several principles and ideas that came to be formulated as key elements/stages of the HUL approach. This can be seen in a number of ways, including: • Participatory planning and stakeholders’ consultations on what values to protect and the attributes that carry these values (step 2 of HUL approach) • Development of a conservation strategy for urban centers (step 4 of HUL approach) • Prioritization of development and conservation activities (step 5 of HUL approach)

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Fig. 14.5  Rehabilitation of “Casa Girassol”, originally a commercial house and later administrative building, that had fallen into ruin. A network project between the Municipality of Ilha de Moçambique and the Heritage Management Office of the City of Bergen, financed by the Norwegian Agency of Development Cooperation (NORAD) (Photo Jens Hougaard)

The revision of the buffer zone (Fig. 14.5) and inclusion of underwater archaeological heritage is a good illustration of the point made above. The World Heritage nomination file defined the Island as the “core area” of the site and the surrounding coastal areas and minor islands as “buffer zone,” leaving out the inner part of Mossuril Bay including the Lumbo peninsula. Yet, over the years it was felt that there was a need to expand the buffer zone to include the Lumbo peninsula with the former railroad terminus and small town, where there is also significant heritage to be protected (Fig. 14.6). The revision of the buffer zone finally took place during the HUL field research in 2012. This revision was supervised by Dr. Ana Pereira Roders under the request of the National Directorate for Cultural Heritage. It now includes the urban expansion area on the Lumbo peninsula and the whole of the Mossuril Bay, as underwater archaeological heritage should be entitled to the same protection. The discussion about the inclusion of underwater archaeological heritage in the buffer zone was held, in Island of Mozambique, during a consultation meeting about the UNESCO Convention (2001) of Underwater Cultural Heritage, organized by UNESCO-Maputo, in collaboration with the Ministry of Culture, in 2016 for protection. The local and provincial stakeholders participated in this consultation

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Fig. 14.6  Buffer zone. (Source: Nomination Document 1991)

­ eeting and also the representatives from the Department of Archaeology and m Anthropology of Eduardo Mondlane University. In Mozambique, underwater archaeological heritage is protected under a general regulation (Decreto nr. 27/94, de 20 de Julho), for the Protection of Archaeological Heritage. The adoption of the UNESCO Convention for the Protection of Underwater Cultural Heritage (UNESCO Convention 2001) became necessary, for the country, to reinforce the national regulation. As a result of the university efforts in collaboration with the Ministry of Culture and Tourism and UNESCO support, the Convention was accepted by the Council of Ministers in 2017 (Fig. 14.7). 14.4.3.2  Lesson 2 Another lesson learnt is that the HUL approach proved to be of critical importance to the Island of Mozambique by broadening the concept of heritage conservation, including various aspects of conservation in an integrated framework (cf. Bandarin and Van Oers 2012). The six-step action plan contributed to a more holistic approach and a much-needed deeper assessment of the various needs regarding the conservation, management, and development of the Island of Mozambique (Jopela and

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Fig. 14.7  Revised buffer zone 2012. (Source: Island of Mozambique Historic Urban Landscape in Perspective)

Rakotomamonjy 2010; Macamo 2012). In this, the following steps were of particular relevance: • Mapping of cultural, natural, and human resources in urban centers (step 1 of HUL approach) • Assessment of the vulnerability of these values and attributes in relation to the most urgent threats (step 3 of HUL approach) • Establishment of partnership and frameworks for local management (step 6 of HUL approach) 14.4.3.3  Lesson 3 Although community engagement was already an established practice with regard to conservation of the Island’s heritage, the application of the HUL approach clearly highlighted the importance and benefits of establishing partnerships with local and national stakeholders. The application of the HUL approach created the platform for cooperation on the Island between some of the participating universities and the local institutions for follow-up activities. Thus, the HUL approach has contributed to changing the nature of previous dominant partnerships for conservation

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(including technical assistance) mostly involving the government, UNESCO World Heritage Centre, the advisory body ICOMOS, and donors. The HUL approach was also important to highlight the need to bring other stakeholders under the umbrella of the public-private partnerships for conservation of the Island. The HUL instrument is also being used to update the Management and Conservation Plan of Island of Mozambique, aiming to incorporate the observation that the quality of the urban environments is based on culture (Djaffar, pers. comm. 2016). The following section will discuss the importance of building partnership in the Island of Mozambique as a way to support conservation activities, in a sustainable way.

14.5  Partnerships on Conservation 14.5.1  Public-Private Partnership Public-private partnerships are more and more perceived as arrangements that can further drive heritage conservation and sustainable development (Glasbergen 2007: 3). There is a myriad of models of public-private partnerships for conservation of heritage across the world implying different levels of responsibilities between the public, private, and the community sectors. In Mozambique one of the objectives of the country’s monuments policy (Resolução nr. 12/2010, de 2 de Junho) is to “encourage the participation of the community and the private sector in the management of monuments and sites, with a view to ensuring their sustainable conservation” (ibid: 134). This is also reinforced by the newly approved regulation for the management of cultural properties (Decreto no 55/2016, de 28 de Novembro), by establishing the mechanisms of coordination between the public and the private sectors. Despite the fact that the conservation and development efforts in the country have been traditionally supported by multiple local stakeholders, particularly from the private sector, public-private partnership has not yet been fully assessed and recognized as part of an integrated framework for conservation and management of the Island of Mozambique. One of the aims of this chapter is to contribute ideas to fill a gap in discussing public and private partnership.

14.5.2  C  oordination Between Local Stakeholders and UNESCO The experience of the Island has shown a complex reality whereby UNESCO has been directly involved in the management of a World Heritage property. Between 2006 and 2011, a UNESCO office functioned on the Island in order to coordinate

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the rehabilitation process of the San Sebastian Fortress. During this time, the resident UNESCO officer was a key player in the discussions regarding the conservation of the Island and its close collaboration with GACIM (a very fragile institution at the time). This somehow created the wrong perception among some stakeholders that cultural heritage on the Island, especially the Stone Town, indeed, belonged to UNESCO and not the local Ilhéus.4 It can be seen now that the hierarchical system for decisions to be taken, from local, provincial, and central levels, while it is participatory by principle, can also be challenging from the point of view that UNESCO-WHC must be consulted prior to any decision taken in relation to the interventions in the property. The “Regulation for Classification and Management of the Built and Natural Heritage of the Island of Mozambique” (Decreto n.° 54/2016, de 28 de Novembro), however, attempts to solve this problem by indicating clearly that for any intervention in the property, UNESCO-WHC must be consulted. The challenge is how to efficiently implement this procedure. It was also noted that the hierarchical system is problematic since decisions take a long time, as illustrated in the case of the sports complex (complexo desportivo) that will be discussed below. There is a need for the different stakeholders to be aware of the UNESCO operational guidelines, and these guidelines need to be integrated into local mechanisms of decision-making. The Management and Conservation Plan should incorporate these guidelines so that they are publicized both among the public and private sectors.

14.5.3  P  artnerships Between National and Foreign Institutions for Technical Assistance Collaboration between the Ministry of Culture and the Eduardo Mondlane University in Maputo has taken place over the years in order to establish the overall legal framework and tools for the conservation of the Island (Carrilho and Lage 2018; Lage 2018; Macamo 2018) . The National Council of Cultural Heritage (Conselho Nacional do Património Cultural) as an advisory body to the Ministry of Culture has benefitted from this collaboration (Decreto n° 27/1994, de 20 de Julho). There has been a line of partnership projects between GACIM and foreign educational institutions. Scholars and students from abroad have spent time as researchers or interns stationed in the office. This has resulted in exchanges of experience and know-how, but this type of collaboration has limited long-lasting effect. The Island and its institutions have often played the role as subject for investigation but received little feedback and, thus, profited little from the results of the investigation. However, there is another perception that this is changing and that there are positive improvements in the process of building partnership relations on the Island of Mozambique,  Island inhabitants.

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as indicated by some examples that follow. The above-indicated field research conducted in partnership between the Lúrio University (Mozambique), Eindhoven University of Technology (the Netherlands), and the University of Minnesota (USA) actually helped to strengthen local management tools. A new study and documentation center (Centro de Estudos e Documentação da Ilha de Moçambique (CEDIM), under the Faculty of Architecture and Physical Planning (FAPF) of Lúrio University in Nampula, has been created on the Island and might result in a more lasting and mutual beneficial partnership. In 2013, FAPF (Faculty of Architecture and Physical Planning) and the Municipal Councils Urban Department carried out an urban diagnosis of the insular part of Island of Mozambique municipality. The diagnosis still needs to be followed up by a detailed urban plan. In 2016, the linking areas between the historical island and the continental suburbs, comprising the areas around the landings of the bridge on either side, were subject for the final thesis in architecture and urban planning at the faculty. It is the plan to present the students’ projects on a workshop on the Island. A new faculty of social sciences, including two courses covering “Patrimony and Tourism Management” and “International Relations and Local Development,” was established on the Island in 2017. Current initiatives by the Ministry of Culture and Tourism, in partnership with Eduardo Mondlane University, toward the protection of underwater archaeology, are encouraging the implementation of a Slave Wreck Project on the Island. This project coordinated by US George Washington University aims to train students and local people in diving skills and museum work. It is now recognized that the existing national capacity can help to protect underwater archaeology in the Island of Mozambique, by means of research and conservation. In addition the grade system to regulate interventions in buildings was an initiative undertaken with the assistance of the Faculty of Architecture and Physical Planning of Eduardo Mondlane University. This tool has been incorporated into the newly approved regulations (Decreto 54/2016, de 28 de Novembro de 2016; Decreto 55/2016, de 28 de Novembro). Finally, contacts between GACIM and Lúrio University on one side and researchers from the Pontificate Catholic University of Rio de Janeiro (Pontificia Universidade Católica do Rio de Janeiro (PUC-Rio) have resulted in postgraduate level scholarships for Mozambican colleagues in the fields of heritage management in Brazil. The courses are conducted by the Interdisciplinary Nucleus of Reflection and Afro-descendent Memory (Núcleo Interdisciplinar de Reflexão e Memória Afrodescendente) at PUC-Rio and the National Institute of Historic and Artistic Patrimony (Instituto do Patrimônio Histórico e Artístico Nacional). The HUL was instrumental in reinforcing the understanding of the growing need to mobilize national and international actors such as universities to conserve the Island of Mozambique. As well, the implementation of the HUL approach contributes to the change in partnership trends of technical assistance for the conservation of the Island. However, these efforts have been hindered by the lack of mechanisms of coordination between the government and UNESCO that could easily facilitate decisions to be taken for interventions in buildings, within a clearly defined man-

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agement system, as illustrated by the case of the proposed new developments at Complexo Desportivo (see Sect. 14.5.4; Macamo  2018). However, the approved Heritage Regulation for the Island of Mozambique seems to be a solution to this, since it defines clearly the mutual responsibilities for the uses of the built heritage from local to central levels. It also refers to the need for a consideration of UNESCO recommendations prior to any decision taken regarding interventions in buildings (Decreto 54/2016, de 28 de Novembro de 2016).

14.5.4  The Role of the Private Sector After the privatization of national property in 1992, the Island was confronted by a wave of investors. Some have played a significant role in the development of the Island as a tourist destination by opening restaurants and guesthouses and training local personnel. In 2017, the sports complex project, by MozIlha, an example of the proposed interventions in ruins, was finally approved by UNESCO, with some recommendations to be followed up, as will be shown below. It was discussed at local and provincial levels. The architectural intervention was evaluated by Eduardo Mondlane University, Faculty of Architecture and Physical Planning, as the representative of the National Advisory Council, in collaboration with the Ministry of Culture and Tourism through the National Directorate for Cultural Heritage. The “Complexo Desportivo” project, by MozIlha private company, is here presented as an example of sustainable tourism. The ruin, known as “Complexo Desportivo,” is located in the Stone Town and will be rehabilitated in order to be transformed into a hotel. As compensation, the existing sport field in Macuti area will be improved with adequate facilities such as changing rooms and toilets for the local female soccer championship. After assessing the project, considering “impacts on attributes that convey Outstanding Universal Value (on the conditions of integrity and/or authenticity or impacts on wider setting)” (ICOMOS 2017), ICOMOS indicated that “Besides the issues related to the planned new construction, no other issues were identified as having an impact on other attributes.” ICOMOS also presented a number of advantages related to the proposed development, which are detailed described in point 7 (ICOMOS 2017). Some of them relate to (i) the integrity, “the new hotel respects the visual skyline integrity of the hotel,” and (ii) tourism facilities – “The construction of a new hotel will contribute toward the improvement of lodging capacity for tourists and tourist competitiveness on the island” (ibid). Finally, ICOMOS recommended the following to the state party: To respect the Outstanding Universal Value, and in particular the integrity and authenticity of local architecture, ICOMOS suggests that the State Party be recommended to build the hotel by mainly using local materials, such as stone and lime, and not modern materials. The construction of the hotel using local building techniques and materials would also raise awareness for best practices among the island population, especially considering the fact that the project is located in the Stone Town. (ICOMOS 2017)

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Another example relates to the “Homestays” initiative, under experimental phase, for the rehabilitation of Macuti houses, in partnership between Island of Mozambique Association and TechnoServe. This has been valued as a positive response to the community needs in the Macuti Town (Macamo 2014: 14). This example helps to understand the contribution by private sector to the management efforts of the Island of Mozambique Heritage and the challenges in this process (see discussion below). In addition, the UNESCO Historic Urban Landscape initiative as an instrument in the field of urban conservation helped to understand the role of the private sector. According to Ron van Oers (2011): This new instrument aims to address the need to better frame heritage conservation strategies within the larger goals of urban sustainable development, in order to support public and private actions aimed at preserving and enhancing the quality of the human environment. (van Oers 2011:1)

However, the limited capacity of GACIM to control the execution of works and the reluctance of the municipal council to interfere in investors initiatives have resulted in a number of unfortunate renovations and new constructions. Some recent examples are as follows: • A new private house built on public ground at the coast near the sea • The recent demolishment of the old quarantine station to give place for a new private mansion • The change of the skyline of the old warehouses, which have been turned into hotels (Figs. 14.8 and 14.9)

Fig. 14.8  New hotels in old warehouses facing the bay (Photo Jens Hougaard)

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Fig. 14.9  New private construction occupying the beach towards the open sea (Photo Jens Hougaard)

Traditional public spaces and greens, representing a significant quality in the historic urban landscape, have been occupied by informal privatization through extension of existing buildings, fenced private gardens, or even new construction. Some examples are as follows: • The public green between the old customhouse and the port, traditionally used for repairs of boats but now divided into private gardens • The proliferation of small commercial stalls in the city squares • The occupation of the seaside coast by precariously constructed restaurants (barracas) This mentioned, it must still be recognized that without private investors, very little conservation of the built heritage would have taken place. Private investors are obviously pursuing business, taking the opportunity of Island of Mozambique being UNESCO World Heritage Site, and this is not bad at all. Some of them are even aware about the significance of Island of Mozambique as World Heritage Site. However, there is a need to provide them more information about the rules and regulations for the safeguarding of the authenticity and integrity of the historic urban landscape. The articulation between the public and private sector is in some cases formalized by signing a “Memorandum of Understanding” to help to clearly define the existing mutual responsibilities and respect the national and UNESCO procedures regulated by the corresponding regulation. There are responsibilities for the public sector in relation to the implementation of the monument and museum policies of

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the country, aiming to value the site for education and cultural tourism. At the same time, there are responsibilities for the private sector to manage the facilities attached to the property, in most cases hotels and restaurants that can provide income. Indeed the growth of tourism depends also on good facilities, capable of stimulating further initiatives for the benefit of the private sector as well as for the economic and social development.

14.6  Concluding Remarks The development since independence has changed the situation of the Island completely. In 1975, the challenge was how to interpret and preserve the historical heritage of the Island within a national cultural policy; the situation is now more complex. The main challenge now is how to save the authenticity and integrity of the historic urban fabric and landscape within a greater urban development context. How can conservation be merged into the urban planning and management complex, not only of the Island but also of the protected buffer zone at the continental side? This chapter demonstrated the importance of the existence of the management structures, in both public and private sectors, for a sustainable conservation of the site, guided by national and UNESCO legislation. This also takes into account local development programs centered on human needs, as it is shown in the Management and Conservation Plan under revision. This was discussed also taking into consideration the role of the public sector represented by GACIM, the museum institutions and other national partners, such as universities, and the private sector. However, building public and private partnership in the Island of Mozambique is still at initial stage and needs to be further developed in the context of HUL approach. It is hoped that the Regulation for the Classification and Management of Island of Mozambique Built Heritage and Landscape will improve the coordination between different institutions and the decisions to be taken for interventions and compatible uses of the built heritage. Taken together, public and private sectors cover a significant spectrum of the current challenges facing the Island of Mozambique, as a national and World Heritage site (cf. Van Oers 2011). No doubt the intervention in heritage and in particular the rehabilitation of buildings in the Island of Mozambique is a growing activity, and it is intimately related to tourism and town management. This also demands the existence of an efficient legislation. The recently adopted National Regulation for Heritage Management attempts to address this issue and has been used for the discussion in this chapter. Although a lot has been achieved, the situation of the Island is still critical. The authenticity and integrity of the island have been damaged, but much can still be saved. The line of UNESCO interventions and the introduction of the HUL strategy have had positive influence on the legislative level, but there is an urgent need for the following:

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• Integration of legal instruments for conservation and urban planning and management • Coordination of urban management procedures between GACIM and the municipal council • Establishment of basic urban management tools, such as municipal cadaster and property register • Capacity building of technical staff authorities engaged in conservation and urban development • Awareness raising of the values of the historic urban landscape between authorities, investors, and the public in general It could be said that the most important is to create professional capacity within the responsible institutions and a broader public understanding of the importance of conservation as an integrated part of urban development. In order to achieve this, young Mozambicans are now doing masters and Ph.D. in conservation (Cláudio Zunguene and Aiuba Ali at IPHAN and NIREMA PUC-­ Rio, in Brazil), and a partnership has been established between the Faculty of Architecture and Physical Planning at Lurio University, Nampula, and the Department of Architecture at Coimbra University, focusing on capacity building in conservation and urban planning and publication. UniLúrio, with the collaboration of Eduardo Mondlane University and the University of Coimbra, will also soon offer a master’s course in Heritage and Development, in the Island of Mozambique. Eduardo Mondlane University in collaboration with George Washington University, within the scope of the Slave Wreck Project sponsored by the USA, is in the process of establishing an archaeological center in the Saint Sebastian Fortress that will operate in the areas of research, training, and dissemination (Madiquida 2018).  The  new institution will be designated Archaeological,  Investigation and Resource Centre of Island of Mozambique (C.A.I.R.I.M). This is a good example related to compatible uses of monuments to implement the UNESCO recommendations reinforced by  the new  heritage regulations (Decreto no 54/2016, de 28 de Novembro; Decreto no 55/2016, de 28 de Novembro) that help to implement ICOMOS/UNESCO recommendations. The given example is a positive indication of the importance of the collaborative role of universities, for sustainable ­conservation, aiming to develop partnership, in line with the purposes of the HUL approach discussed in this chapter.

References Bandarin, F., & van Oers, R. (2012). The historic urban landscape  – Managing heritage in an urban century. Oxford: Wiley-Blackwell. Carrilho, J., & Lage, L. (2018). Sobre a preservação do património cultural edificado em Moçambique. In W. Rossa & N. Lopes (Eds.), Oficinas de Muhipiti: Planeamento estratégico, património e desenvolvimento (pp. 25–48). Coimbra: Imprensa da Universidade de Coimbra. Convenção da UNESCO para a Protecção do Património Mundial, Cultural e Natural. 1972. Paris: Centro do Património Mundial da UNESCO

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International Conference on “Living with World Heritage in Africa”. 40 years World Heritage Convention (pp. 125–134). Pretoria: African World Heritage Fund (AWHF) and the Department of Arts and Culture. Macamo, S. (Coord.). (2014). Ilha de Moçambique, Património Mundial. Maputo: Ministério da Cultura Macamo, S. (2018). O Sistema de Gestão da Ilha de Moçambique: Implementação da legislação na área do património edificado. In W. Rossa, N. Lopese, N. Gonçalves (orgs) Oficinas de Muhipiti: planeamento estratégico, património e desenvolvimento (pp. 89-136). Coimbra: Imprensa da Universidade de Coimbra. Madiquida, H. (2018). Informação sobre o Centro de Arqueologia da Ilha de Moçambique. (Unpublished document in the possession of the author). Maputo: Eduardo Mondlane University, Department of Archaeology and Anthropology. Mutal, S. (1998). Island of Mozambique  – World heritage site: A programme for sustainable human development and integral conservation. Maputo: UNESCO/UNDP. Nguirazi, T. (2008). Conservation of Traditional Buildings on the Island of Mozambique: A Case Study of Macuti City. Unpublished MA Dissertation. Harare: University of Zimbabwe. Pawlowski, K. (1981). Rapport technique, les problèmes de sauvegarde de l’The island de Mozambique. Paris: UNESCO. Pereira Roders, A. (2013). Lessons from the Island of Mozambique on Limits of Acceptable Change. In Ron van Oers and Sachiko Haraguchi (eds.), Swahili Historic Urban Landscapes – Report on the Historic Urban Landscape Workshops and Field Activities on the Swahili Coast in East Africa 2011–2012 (pp. 20–40.: 40–49). Paris: UNESCO World Heritage Centre. Pereira Roders, A., Aguacheiro, J. A., & Hougaard, J. (Coord.). (2012). Island of Mozambique historic urban landscape in perspective part 1: Stone town – 2011/2012. Eindhoven: Eindhoven University of Technology. Resolução n° 12/2010, de 2 de Junho, que aprova a Política de Monumentos. Boletim da República n° 22 (I Série). Maputo (Moçambique) Retrospective Statement of Outstanding Universal Value for Island of Mozambique. (2011). Paris: UNESCO World Heritage Center. Secretaria de Estado da Cultura, Arkitektskolen Aarhus. (1985). Ilha de Moçambique: Relatório 1982–85. Aarhus: Phønix A/S. Sollien, S. E. (2013). Approaching the Macuti House – Identity and Heritage Conservation in Ilha de Moçambique. In A. Seifert (Ed.), Global City-Local Identity? (pp. 48–58). Dar es Salaam: Mkuki na Nyota Publishers Ltd. Van Oers, R. (2011). Terms of reference for the HUL Workshop in Mozambique Island. Unpublished email document sent by the author. Van Oers, R. (2013). Swahili historic urban landscapes. applying HUL in East Africa. Swahili historic urban landscapes – Report on the historic urban landscape workshops and field activities on the Swahili Coast in East Africa 2011–2012. Ron van Oers and Sachiko Haraguchi (eds,), 20–40.: 6–18. Paris: UNESCO World Heritage Centre. Van Oers, R., & Pereira Roders, A. (2012). Historic cities as model of sustainability. Journal of Cultural Heritage Management and Sustainable Development, 2(1), 4–14.

Further Readings Adamowicz, L. (1987). Projecto “CIPRIANA”, 1981–1985. Contribuição para o conhecimento arqueológico entre os Rios Lúrio e Ligonha, província de Nampula. Trabalhos de Arqueologia e Antropologia, 5, 47–144. Chami, F. (1994). The Tanzanian Coast in the First Millennium ad: an archaeology of the iron-­ working farming communities: with microscopic analyses by Anders Lindahl, Studies in African Archaeology 7. Uppsala: Societas Archaeologica Upsaliensis.

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CMIM. (2006). Código de Posturas Municipais. Ilha de Moçambique: Conselho Municipal da Cidade da Ilha de Moçambique. CESO-CI. (2009). Plano de Desenvolvimento Integrado da Ilha de Moçambique. Maputo: BAD/ MEC. Dantas e Sá, V., & Mather, C. (2011). Ilha de Mocambique: Conserving and managing world heritage in the developing world. Tourism Review International, 14, 1–12. Duarte, R. T., & Meneses, M. P. (1996). The Archaeology of Mozambique Island. In G. Pwiti & R.  Soper (Eds.), Aspects of African archaeology: Papers from the 10th congress of the Pan African association for prehistory and related studies (pp.  555–559). Harare: University of Zimbabwe Publications. Derks, R., Damen, S., & Pereira Roders, A. (2012). Historic Urban Landscape. In A.  Pereira Roders, J. A. Aguacheiro, & J. Hougaard (Eds.), Island of Mozambique historic urban landscape in perspective part 1: Stone town  – 2011/2012 (pp.  69–122). Eindhoven: Eindhoven University of Technology. Fundação Calouste Gulbenkian. (1983). A Ilha de Moçambique em Perigo de Desaparecimento. Porto: Fundação Calouste Gulbenkian. Honwana, L. B. (2008). Política Cultural em Moçambique: uma reflexão. Savana, 18 de Maio de 2008: 11. Hougaard, J.  (2011). Enforcement of planning instruments for conservation of Island of Mozambique. Paper presented at the Historic Urban Landscape Workshop, 10–15 July 2011, Island of Mozambique. Island of Mozambique: GACIM. Jopela, A. (2013). The Historic urban landscape and the conservation and management of the Island of Mozambique world heritage site (special essay). In Swahili historic urban landscapes – Report on the historic urban landscape workshops and field activities on the Swahili Coast in East Africa 2011–2012 (pp. 92–95). Paris: UNESCO. Macamo, S. (2015). Ilha de Moçambique. In Caderno de Gestão do Património (pp. 85–94). Rio de Janeiro: Centro Regional de Formação para a Gestão do Património sob os auspícios da UNESCO. Macamo, S., & Ekblom, A. (2018). Living Heritage. Cultural Heritage Management and Archaeological Practice in Mozambique. In A. Ekblom, C. Isendahl, & K.-J. Lindholm (Eds.), The resilience of heritage. Cultivating a future of the past. Essays in honour of Professor Paul J.J. Sinclair. (pp. 393–410). Uppsala: Uppsala Universitet. Omar, L. (2013). Os Desafios para Conservação Ambiental e Património Cultural na Ilha de Moçambique. Unpublished MA Dissertation. São Paulo: Universidade de São Paulo. Pereira, L. (1988). Algumas notas sobre a Ilha de Moçambique- Património Histórico Nacional em degradação acelerada. Arquivo, 4, 5–12. Pereira Roders, A., & Hougaard, J. (2012a). Introduction. In A. Pereira Roders, J. A. Aguacheiro, & J. Hougaard (Eds.), Island of Mozambique historic urban landscape in perspective part 1: Stone town – 2011/2012 (pp. 15–22). Eindhoven: Eindhoven University of Technology. Pereira Roders, A., & Hougaard, J.  (2012b). Conclusions and Recommendations. In A.  Pereira Roders, J. A. Aguacheiro, & J. Hougaard (Eds.), Island of Mozambique historic urban landscape in perspective part 1: Stone town – 2011/2012 (pp. 197–200). Eindhoven: Eindhoven University of Technology. Resolução n.° 22/AMCIM/2010. Código de Posturas – Code of Postures. Island of Mozambique: City Council of the Island of Mozambique. Sollien, S.  E. (2011). The Macuti House, Traditional Building Techniques and Sustainable Development in Ilha de Mocambique. Paper presented at the 17th ICOMOS General Assembly and Scientific Symposium – “Heritage, a Driver of Development”, 28 November-1 December 2011, UNESCO, Paris, France. Sollien, S. E. (2012). The Persistence of the Myth of the Native Hut and the Cradle of Portugueseness on the Indian Ocean, Traditional Dwellings and Settlements Working Paper Series 253 (pp.  1–25). Berkeley: International Association for the Study of Traditional Environments (IASTE).

Chapter 15

Urban Heritage Conservation and Management in Jaipur Shikha Jain and Rohit Jigyasu

Abstract  As an exemplar of urban planning, Jaipur is unique and futuristic in its urban heritage that informs the idea of it as a centre of trade and commerce and a creative hub for arts and crafts. It is a city with a distinct artistic identity. The Jaipur Heritage Management Plan prepared in 2007 was one of the first heritage planning initiatives at urban level in India, followed by similar attempts for other Indian historic cities such as Madurai and Varanasi in 2008–2009. These initiatives were recognized by the Ministry of Urban Development and impacted the inclusion of city-level heritage plans in the revised toolkit under urban renewal mission in 2013. The Heritage Management Plan of Jaipur became part of Jaipur Master Plan 2025 and is recognized as a Best Practice example by the National Institute of Urban Affairs, Ministry of Urban Development Government of India in 2015. Key schemes for the walled city of Jaipur, including the Management Plan for World Heritage Site of Jantar Mantar, are now being implemented as part of the Smart City Plan under the Ministry of Urban Development. Besides achieving World Heritage Site inscriptions for Jantar Mantar (2010) and Amber Fort as part of a serial site nomination (2013), Jaipur was designated as a City of Crafts and Folk Art, as part of UNESCO Creative City Network, in December 2015. As part of this commitment  and recent nomination of Jaipur Walled city for World Heritage in 2018, Municipal Corporation of Jaipur will be upgrading and implementing urban conservation works in craft streets in the historic city. Through the case studies of conscious heritage planning and urban conservation projects in the city of Jaipur since 2007, this paper demonstrates how Jaipur fosters the creativity and imagination of its people using its rich cultural resources to showcase a model of sustainable development as promoted by the UNESCO 2011 Recommendation on the Historic Urban Landscape.

S. Jain (*) DRONAH, Gurgaon, Haryana, India R. Jigyasu Institute of Disaster Mitigation for Urban Cultural Heritage, Ritsumeikan University, Kyoto, Japan © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_15

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Keywords  Heritage conservation · Jaipur · Trade and commerce · Conservation initiatives · Local crafts · Capacity building · Urban renewal · Heritage walk · Management plan

15.1  Introduction The historic urban landscape approach recognizes the interconnection between tangible and intangible values that are present in any city (UNESCO Historic Urban Landscape Recommendation (2011) and The New Urban Agenda (UN-Habitat) http://whc.unesco.org/en/hul/). The integrated approach is important since tangible and intangible values are mutually dependent and complementary. Moreover, it is paramount to find ways and means to regenerate traditional livelihoods in order to protect intangible heritage in historic urban landscapes in India. These should be the basis for rehabilitation of the area, and financial, technical and social tools and systems need to be created to support local economic development in the area (Recommendation on the Historic Urban Landscape, 2011, Page 4–5, http://whc.unesco.org/uploads/activities/documents/activity-638-98.pdf). As hubs of several economic activities primarily in the informal sector such as crafts, historic urban areas are potential source of economic and residential opportunity for the urban craftspersons (UNESCO Historic Urban Landscape Recommendation (2011) and The New Urban Agenda (UN-Habitat) http://whc. unesco.org/en/hul/). Therefore, besides protecting the tangible and intangible heritage values, the holistic historic urban landscape approach should incorporate the interests of the indigenous crafstpersons, challenging the existing systems that have led to unsustainable development. At the same time, interventions in historic urban areas should address the contemporary needs of mobility and functions aimed at improving the overall quality of life of the inhabitants. Reducıng disaster risks resulting from natural and human-induced hazards would also contribute towards building urban resilience. Active engagement of the residents will help in forging collaborative alliances that would enable creative use of the historic city and protecting the present of its past for future generations. The case study of the historic city of Jaipur demonstrates how various initiatives have contributed towards fulfilling various objectives outlined above.

15.2  Historic and Geographic Context Jaipur is located amidst the Aravali hill ranges at an altitude of approximately 430 metres above mean sea level. The city is part of Jaipur district situated in the north-­ eastern part of the state of Rajasthan, India, and is an exceptional urban example of indigenous city planning in South Asia. In a remarkable difference from the

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predominant medieval practices, where settlements developed in a more organic manner (that grew over a longer period of time, in layers, in response to local geography, topography, climate and sociocultural systems including caste system and occupation), Jaipur was conceived and developed in a single phase with gridiron model and principles of traditional architecture and town planning based on Hindu religious belief systems that later became a trendsetter for many nineteenth-century towns of India. Built under the patronage of Sawai Raja Jai Singh II (rule 1700– 1743 CE), a project approach was taken towards the city construction. Most of the city infrastructure as well as public and royal spaces were completed within a span of 4 years, from 1727 to 1731 CE, and the city was thrown open for habitation (Jain, Shikha, Chapter 2, Nomination Document for Jaipur Walled City (2017), Jaipur Municipal Corporation, unpublished). Jaipur is an expression of the astronomic skills, historic values, unique urban form and exemplary foresighted city planning of an eighteenth-century city in India. Its urban morphology reflected the coming together of elements from eastern and western planning, expressing a culture of a ‘trade and commerce city’ and townscape that are unparalleled anywhere in South Asia (Jain, Shikha, Chapter 2, Nomination Document for Jaipur Walled City (2017), Jaipur Municipal Corporation, unpublished). Envisaged as a trade capital, the main avenues of the city were designed as markets, which remain characteristic bazaars of the city. Chaupar, or designed large public squares at the intersection of roads, is another feature distinctive to Jaipur, as are its single to multicourt havelis and haveli temples. Additionally, its iconic monuments such as the Govind Devji Temple, the City Palace, the Jantar Mantar [Fig. 15.1] and the Hawa Mahal [Fig. 15.2] excel in artistic and architectural craftsmanship of the period. Since its inception, the city has been an international tourist destination, visited by European travellers in the eighteenth to twentieth centuries, and its extraordinary planning has fascinated many researchers, academics and urban planners. These factors have increasingly put pressure for the conservation and sustenance of this historic city, more so in the post-independence period. However, Jaipur has consciously adopted heritage conservation measures since the 1970s during the formulation of bye-laws in the Municipalities Act that allow it to retain the architectural character, urban form and ‘pink colour’ associated with its earlier planning. Several conservation initiatives (DRONAH and JVF (2007), Jaipur Heritage Management Plan Built Heritage for JHERICO (Jaipur Heritage Committee), Government of Rajasthan, Jaipur) for the walled city have been taken by international organizations, NGOs and local government authorities since Jaipur became the capital of the state of Rajasthan in 1949.

15.3  Planning of the City The basic plan of Jaipur was derived by marking the loci using the surrounding topography of the site. The centre of the nucleus of the city had already been established at the Jai Niwas Garden with the installation of the idol of Govinda Devji in

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Fig. 15.1  View of the Jantar Mantar and the City Palace with Nahargarh Fort on the hilltop. (Source: DRONAH)

Fig. 15.2  View of Hawa Mahal. (Source: DRONAH)

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1715 CE that later became the city centre with the Govind Devji Temple. The main axes of the city were defined by the sacred site of Galtaji, an important pilgrimage centre since the sixteenth century, located on the hillock called Ambagarh on the eastern side of the city. This axis was aligned 15 degrees to the north-east, running along the natural ridge. Stretching in line with the Nahargarh Hill on the west, the ridge marked the main east-west axis with Surajpol at the eastern end and Chandpol at the western end. The north-south axis was marked in alignment with Jaigarh Fort, the highest point in the north, and hillock of Shankargarh (Moti Dungri Fort) in the south [map in Fig. 15.3 marking the planning of city along the topography on site]. Historically, the east-west axes of the town were divided by three perpendicular roads. The crossing of the two cardinal axes defined the main public squares of the city called the Badi Chaupar or Manak Chowk. On the west, a road parallel to the

Fig. 15.3  Reinterpretation of an eighteenth-century Jaipur plan. This partial map of the walled city is based on an earlier map of Jaipur that has been dated in the reign of Pratap Singh (1778– 1803) by Gole (Indian Maps and Plan). The original map was not to scale and was made just to show the construction of a canal till Sanganer and thus was purely representational in nature. (Source: Jain, Shikha (Ed.), 2005 Pricely Terrain: Amber, Jiapur and Shekhawati, Shubhi Publications)

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north-south axis created the second town square called the Choti Chaupar or Amber Chowk and effectively placed the Palace Complex in the centre of the city. Another parallel road on the eastern side created the third public square called the Ram Ganj Chaupar or Ram Chowk. The intersecting axis divided the city into eight portions, with the central portions of equal size and the outer portions as per the remaining dimensions of the axes reaching from the western gate of city at the Chandpol in the west and eastern gate Surajpol in the east. These three chaupars worked as the centres and sub-centres of further subdivision and structuring of Jaipur city. All the important temples and significant havelis of the leading courtiers and merchants were located around these chaupars and along the axis. The city was further divided into seven sectors or chowkris on either side of the axis with the eighth one in the north-east falling in a low-lying, unusable area [Fig. 15.4 schematic evolution of the plan of Jaipur]. There are nine gates to the walled city, seven original and two added later. The main markets, shops, havelis and temples on the main streets were constructed by the state, ensuring uniformity of the street façade. The land for the houses of important nobles was located on the main streets and allocated according to caste, rank and financial status. Thus, the main commercial streets had the primary purpose of trade with a series of equal size shops. The urban façade was further enriched by entrances to havelis and temples. Another unique feature of the city was its water supply system of underground canals and the square central tanks that were located in Badi Chaupar and Choti Chaupar. These are now defunct since the introduction of pipelines in the twentieth century (UNESCO New Delhi IN/2011/CL/35, A Concept Paper (http://unesdoc.unesco.org/images/0019/001921/192113e.pdf). From the eighteenth century to the twentieth century, the shifting façades of Jaipur bazaars reveal distinct stylistic layers of growth and development [Fig. 15.5 showing the stylistic evolution of architectural elements of the facade]. The evolution of Jaipur walled city can be broadly classified into three phases: • Eighteenth century (Sawai Jai Singh II) – contemporary Rajput-Mughal architectural vocabulary, square base and round chattris, cusped and multifoliated arched openings, niches, lime jaalis • Nineteenth century (Sawai Ram Singh II) – colonial influence in architectural styles, introduction of classical elements such as semicircular arches, small pediments, pilasters and stone railings adapted in a unique localized Rajput-British style, categorized as Indo-Saracenic • Twentieth century – introduction of the Art Deco style, recognizable by doors and windows with rectangular ventilators, circular openings in the parapets, curved and colonnaded balconies pioneered by Mirza Ismail Singh during the period of Sawai Madho Singh II

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Fig. 15.4  Evolution of Jaipur plan (eighteenth century). (Source: UNESCO New Delhi IN/2011/ CL/35, A Concept Paper http://unesdoc.unesco.org/images/0019/001921/192113e.pdf)

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Fig. 15.5  Schematic representation of evolution of built form of Jaipur Bazaars (Chaura Rasta). The top image showcases the eighteenth-century Rajput-Mughal style architecture with bangaldaar roofs, chattris and multifoliated arched openings with niches and jaalis. The middle image shows addition of new block of the nineteenth century built in colonial style with architectural features like semicircular arches and stone railings. The last image from the twentieth century showcases the addition of new buildings in Art Deco style and transformation of existing blocks. The new addition as seen above is the parapets and colonnaded balconies. (Source: DRONAH)

15.4  Walled City as a Living Heritage Jaipur is a living site, a vibrant city breathing through its heritage. The heritage resources of the city are not only the built components, inside and outside the walled city, but also include the archaeological and natural heritage components. The urban and architectural components of the city retain their original form and design as conceived from the eighteenth to the early twentieth centuries. Also materials are largely retained as per original, primarily lime and stone. In some cases, later twenty-first-century structures in concrete are added, although they incorporate elements of the original architectural vocabulary and form. The use and function of most royal and public spaces and monuments are now adapted to contemporary requirement of public places visited by all, while the shops, temples and private houses largely retain their original use and continue to function in the same manner as historically planned. The structures in the walled city are in good state of conservation. Overall, the urban character of the city remains in its original shape with the city gates, walls, major iconic monuments and bazaars. Intangible values of the city associated with the city God Govind Devji and worship of other deities in various temples continue along with public festivals and rituals. Historically the city is said to have housed chattis karkhana (‘36 industries’), majority of which included crafts

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Fig. 15.6  Local crafts of the walled city of Jaipur. (clockwise) – block printing on fabric has patterns ranging from simple contemporary motifs to complex and intricate patterns based on Mughal and Rajput art; Gota work on cloth is an appliqué embroidery technique, where gota is cut and stitched onto a base fabric in elaborate geometrical patterns and natural motifs; blue pottery is an amalgamation of Chinese glazing technology with Persian stylistic influences; Katputtli or puppetry is a string puppet performance where these string puppets are made of mango wood with dresses inspired from Rajput dressing style. (Source: DRONAH)

like gemstones, lac jewellery, stone idols, miniature paintings and others, with a specified street and market designed for each craft that continues to the present [Fig. 15.6 showcasing few of the local crafts of Jaipur city]. During the nineteenth century, the local crafts received further momentum with British influences in the UK, including establishment of institutions such as Rajasthan School of Arts and Albert Hall Museum. While the local traditions of guilds continued, formal institutions for crafts, policies and programmes by government and private sector further contributed to national and international recognition of Jaipur crafts in the twentieth and twenty-first centuries. The continuing building crafts of Jaipur contribute much to the conservation works of the city, and the renowned craftsmen from Jaipur continue to conserve and restore historic structures across many cities in India (DRONAH (2016) Detailed Project Report under Smart City Plan, Jaipur for Amber Development Management Authority and Jaipur Municipal Corporation). Listed under the UNESCO Creative Cities Network (https://en.unesco.org/creative-cities/jaipur), Jaipur showcases its rich and vibrant creative heritage on a global platform and encourages innovation and local capacity building. The vision of the city has been to tie together the goals as a world-class city (https://smartnet. niua.org/content/f2a57ffa-1d34-41eb-ad3f-0219a2798c10), a heritage destination

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and a city which uses its treasure trove of crafts and folk arts to maximize opportunities of social, economic and cultural development. Jaipur offers a wide array of unique crafts as a knowledge base and offers a platform for sales and promotion for other cities as well. There are opportunities for exchange programmes and events that contribute to productive international relationships helping to achieve the common goals of sustainable development. Efforts are being made at various levels by means of promotion through education, fair trade and sustainable practices. Educational opportunities aid in sustaining the traditional practices and creating a stronger link between traditional crafts and contemporary design. It also helps in creating a stronger link between different crafts at city, state and national levels and also ensuring that the new generations of craftsmen are exposed to a wide range of technologies and opportunities as incentive to take up family tradition. Works have been undertaken for educational and capacity building, listing of craftsmen and artisan has been undertaken and a ‘design store’ has been proposed for the promotion of paintings, stone crafts, etc. İt is also proposed to provide scholarships and increased education opportunities for craftsmen. Events conducted for cultural promotion and dissemination with creative partnerships and initiatives include prospects to intercultural collaborations with other member cities of UNESCO Creative Cities Network, annual festivals for the promotion of local crafts and folk art aid in creating awareness and focus on tourism initiatives in the city.

15.5  Protection and Management Initiatives Jaipur was the first city in India to prepare a city-level Heritage Management Plan in 2007, which is now included in the Jaipur Master Plan 2025, and was recognized as a Best Practice by the Ministry of Urban Development. Its urban conservation initiatives for the bazaars in 2013–2014 were recognized by national awards, and conservation of the remaining nine bazaars along with Rajasthan School of Arts and other iconic structures is currently being implemented through the Jaipur Smart City Plan (DRONAH (2016) Detailed Project Report under Smart City Plan, Jaipur for Amber Development Management Authority and Jaipur Municipal Corporation) [Fig. 15.7 Plan highlighting the projects implementing within the Jaipur walled city from 2012 to 2016]. The Municipalities Act of 2009 (amendment) and Jaipur Building Byelaws 1970 guide the architectural control on urban character of Jaipur which has helped in retaining the original architectural form of the bazaars. Besides these, Jaipur city has also developed specific architectural control guidelines for its various bazaars recognizing the distinct features of each bazaar. The World Heritage Site of Jantar Mantar, including major urban monuments of Jaipur such as the Hawa Mahal, the City Palace, the Jaleb Chowk and the Town Hall in the buffer area, is protected and managed through its Site Management Plan, which is also a component of the Jaipur City Master Plan (INTACH 2015, “Jaipur Heritage Management Plan” in Compendium of Good Practices, Urban Heritage in Indian Cities by NIUA,

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Fig. 15.7  Plan of walled city of Jaipur highlighting the projects implemented from 2012 to 2016. (Source: DRONAH)

p. 20–25, New Delhi, NIUA, 2015). All these aspects have helped Jaipur walled city to retain its authenticity in terms of material, colour, spirit and location. Some initiatives for conservation and urban renewal in Jaipur since 1971 are listed in Table 15.1.

15.5.1  Urban Renewal for Walled City of Jaipur (2009–2014) Specific urban renewal proposals were implemented for the main bazaars of Jaipur under the Jawahar Lal Nehru Urban Renewal Mission, partially funded by the Ministry of Urban Development, Government of India. Besides this, a comprehensive mobility plan for the city was prepared which identified the need for a metro system with parking zones in the nominated property. Conservation works on three bazaars, one heritage walk in the inner street area, street and pavement upgrades of major bazaars and initiation of an underground Metro line were some of the major works carried out under this proposal that were partially funded by the Ministry of Urban Development, Government of India. All 12 bazaars have maintained the original façades since 2007 even though there have been some changes in the structures prior to that. Three of the bazaars,

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Table 15.1  Conservation and urban renewal initiatives in Jaipur S. No Year 1 1971 2

1985

3

1995

4

1998

5

2001

6

2001

7

2001

8

2002

9 10

2003 2004

11

Since 2005

12

2006– 2007

13

2007– 2008

14

2009– 2010

15

2011– 2013

Organization responsible JDA (Jaipur Development Authority) Ford Foundation and JDA

Walled city renewal initiative Municipality act including control guidelines for urban character of the walled city Study of heritage buildings within the walled city Avas Vikas Sansthan and Conservation and restoration works of heritage Department of Tourism structures JDA Master Plan, 2011 addressing the needs of the walled city JMC (Jaipur Municipal Operation Pink, removal of encroachments in Corporation) main commercial streets of the walled city INTACH (Indian National Heritage Walk in Chowkri Modikhana Trust for Art and Cultural Heritage) and JVF (Jaipur Virasat Foundation) ADB (Asian Development The Asian Development Bank project of Bank) and JMC infrastructure – reuse of wells and repair work in the walled city/installation of sewage pipes Multi-storeyed parking options within the walled JMC, JDA and CTP city (Country and Town Planning) JVF Jaipur Heritage International Festival Asia Urbs A revitalization proposal for Chowkri Modikhana Government of Rajasthan Conservation of city gates, Amber Palace, Jaleb Chowk in City Palace and Ghat Ki Guni heritage zones, lighting of several monuments, making of Heritage Acts and Laws and Empanelment of Conservation Architects to prepare conservation proposals for grade I and II monuments Heritage Management Plan prepared with 1096 JHERICO (Jaipur listed structures and conservation project of Heritage Committee), Amber Fort and Hawa Mahal JMC Conservation project of Jaleb Chowk, Jantar ADMA (Amber Mantar and Ghat ki Guni Development and Management Authority) and Department of Archaeology & Museum, Rajasthan Architectural Control Guidelines (initiated) and ADMA and Department inscription of Jantar Mantar as World Heritage of Archaeology and Site Museum, Rajasthan JDA, DLB (Department of Heritage Management Plan included in Jaipur Local Self Government), Master Plan 2025 and Documentation of Crafts as part of UNESCO dossier JMC ADMA, JMC Conservation of Jaipur Bazaars, Ghat ki Guni and Jantar Mantar buffer zone (continued)

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Table 15.1 (continued) S. No Year 16 2014– 2016 onwards

 2018

Organization responsible JMC and Jaipur Smart City Ltd. ADMA, Department of Archaeology & Museum, Rajasthan Department of Archaeology & Museum, Rajasthan and JMC  Jaipur Municipal Corporation

Walled city renewal initiative Jaipur SMART City Plan includes Walled city, Heritage Management Plan (Best Practice 2015) and bazaars conservation Conservation projects of Heritage Walk, Jantar Mantar Interpretation Centre Jaipur city on Tentative List and Jaipur designated as UNESCO Creative City Jaipur historic city nominated for World Heritage

Fig. 15.8  Proposed view of Chaura Rasta, one of the major bazaar of the walled city after the implementation of conservation work. (Source: DRONAH)

i.e. Chaura Rasta, Tripoliya and Johri Bazaar are in a good state of conservation as a major conservation project was undertaken from 2009 to 2013 to conserve the façades of all buildings along these bazaars [Fig. 15.8 Proposed view of Chaura Rasta]. Additionally, consolidation of buildings showing structural defects was also undertaken as was specialized artwork conservation on façades of specific havelis. The National Institute of Urban Affairs (NIUA), a guiding institution for all Urban Conservation works in cities at the national level, has also recognized two of Jaipur Urban Conservation initiatives for Best Practice in heritage conservation and management (INTACH 2015, “Jaipur Heritage Management Plan” in Compendium of Good Practices, Urban Heritage in Indian Cities by NIUA, p. 20–25, New Delhi, NIUA 2015). These are Revitalization of Bazaars and Ghat ki Guni, a revitalization project for tourism development [Fig. 15.9 Implemented conservation work in Ghat ki Guni]. The State Government of Rajasthan has also signed a memorandum of understanding with NIUA for further capacity building of the state government in urban heritage management plans. (https://timesofindia.indiatimes.com/city/jaipur/ govt-to-focus-on-value-of-historic-towns-cities/articleshow/60266571.cms)

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Fig. 15.9  Exterior wall of Rajniwas at Ghat Ki Guni after conservation works in 2007. (Source: DRONAH)

15.5.2  Revitalization of Heritage Walk Since 2009, conservation works have been carried out in most of the temples along the bazaar, in the central chowkri and inside chowkri Modikhana. A Heritage Walk has been designed and conducted through a selected segment of the walled city in chowkri Modikhana, aiming to showcase the architectural heritage of the area. Over the years, mapping of social activities, preparing inventory of the historic buildings and crafts and listing of infrastructure development needs have been undertaken. It provides an encounter with Jaipur’s traditional communities, stories of its streets and city’s history, providing a closer look at the city’s traditional lifestyle and craft activities and historic buildings. From May to July 2003, an on-site social survey among the residents and shop owners of the area was undertaken in chowkri Modikhana to get feedback from the community on its views on the proposed conservation works, create awareness and enable participation of the community. This led to the formation of two heritage committees and four youth forums within the community. The map of the chowkri was prepared marking the historic structures; institutional and organizational frameworks and human resources from within the community were identified. It also helped in identifying the intangible heritage including the craft traditions and oral history in the chowkri. In 2005, a detailed survey of Thatheron ka Rasta was undertaken, focusing on the sanitation issues such as drainage and sewerage in the area. A pilot project of street revitalization was undertaken in the area, and façade and public squares of the street were restored, with full support from the local community. In 2013, door-to-door social surveys were conducted for 170 households with 83 residents in the area. Exhibitions have been conducted to involve the community in the conservation process. The Heritage Walk project generated among the local people a sense of pride and ownership of their heritage and aided in improving the condition of the local craftsmen and facilities for the visitors and residents. This participatory design method aided in arriving at feasible solutions.

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15.5.3  The Built Heritage Management Plan, Jaipur (2007) With the aims to integrate heritage conservation with urban renewal and sustainable tourism, to build socio-economic strength of the city and provide necessary skills and human resource requirements to deliver heritage related services in a sustainable manner, the Built Heritage Management Plan was prepared for the city of Jaipur in 2007 (DRONAH and JVF (2007), Jaipur Heritage Management Plan Built Heritage for JHERICO (Jaipur Heritage Committee), Government of Rajasthan, Jaipur). It has been developed as a tool for economic regeneration and sustainable growth of the city. 1096 heritage structures have been listed in the walled city area, which are part of Jaipur Master Plan 2025 [Table 15.2]. This plan, prepared by the Jaipur Heritage Committee, provided guidance and an action plan for the listed structures and master plan area. The action plan drafted in 2007 had also outlined achieving World Heritage status for Amber and the walled city area. Other works outlined such as conservation of bazaars, Ghat ki Guni, inscription of Jantar Mantar as World Heritage and UNESCO Creative City designation are also being implemented systematically. It is used as a reference while drafting any new plans for the city such as the Jaipur Smart City Plan 2016 (INTACH 2015, “Jaipur Heritage Management Plan” in Compendium of Good Practices, Urban Heritage in Indian Cities by NIUA, p. 20–25, New Delhi, NIUA 2015).

Table 15.2  Listed heritage structures in the Built Heritage Management Plan of Jaipur, 2007 Built heritage type Fort and palaces City walls and gates Temples and religious buildings Havelis and houses Public and commercial buildings Wells and bavdis Cenotaphs Total structures listed

Listing within the walled city (No.) 1 60 187 210 41 (Public) + 528 (Commercial- average 4–5 shops in one no.) 68 1 1096

Listing outside walled city (No.) 12 7 24 10 9 9 11 82

Total structures listed by Ford Foundation (in walled city) – 293 Total structures listed by INTACH (within and outside walled city) – 350 Monuments under Archaeological Survey of India and State Department – 45

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15.5.4  Jaipur Master Plan 2025 As per Jaipur Master Plan 2025 (http://jda.urban.rajasthan.gov.in/content/raj/udh/ jda%2D%2D-jaipur/en/town-planning/master-development%2D%2Dplan-2025. html), the historic walled city area is a specially designated heritage zone, and any work related to heritage conservation is guided by detailed heritage management plans and project reports implemented through mandated government agencies.

15.5.5  Architectural Control Guidelines for the Walled City Façade control guidelines have been prepared for the main bazaars in Jaipur walled city and Chowkri Modikhana. These guidelines are an extension of the Municipal Council, Jaipur (Building) Bye-Laws, 1970 (Part V, No. 26). The aim of these guidelines is helping to counteract the loss of architectural style and to contribute to the revitalization of the precinct through heritage conservation and protection. Most of the privately owned structures are in a good state of conservation with their architectural elements and artworks intact. These are bound by the Municipalities Act 1971 and Architectural Control Guidelines (DRONAH- JVF (2009), Façade Control Guidelines, Main Bazaar, Jaipur Walled City, Jaipur Municipal Corporation, Jaipur). They maintain their original form and shape thus retaining the overall urban character of Jaipur.

15.5.6  Jantar Mantar Management Plan (2010) Jantar Mantar was inscribed as a World Heritage Site in 2010 (http://whc.unesco. org/en/list/1338). Jantar Mantar Management plan has been under implementation since its inscription, and various works have been carried out in the property area and buffer zone (DRONAH (2015), Jantar Mantar, Jaipur, A UNESCO World Heritage Site, Prepared for Department of Archaeology and Museums, Rajasthan (2014–2020). As part of this plan, various secondary plans have been prepared, namely, comprehensive Landscape and Environment Plan, Risk Management Plan, Interpretation, Use and Visitor Management Plan and Comprehensive Mobility Plan. The comprehensive Risk Management Plan is one of the secondary plans for this World Heritage property (Jigyasu 2016, Risk Management Plan for Jantar Mantar Jaipur, Prepared for Department of Archaeology and Museums, Rajasthan). It includes risk assessment of the site and its urban surroundings with regard to heavy rainfall and storm, earthquake, fire, theft and terrorism. Critical disaster scenarios were prepared, and resulting mitigation, preparedness, emergency response and recovery procedures were proposed as part of the integrated risk management that considered multiple

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hazards and vulnerabilities. An emergency drill was also conducted in July 2014 with the support of the civic defence agencies and municipal authorities. The plan also helped in identifying and addressing basic infrastructure and urban planning issues that increased vulnerability of site to disasters and needed participation of stakeholders ranging from the Departments of Archaeology and Tourism, Municipality, City Palace Museum Trust, local residents as well as visitors. The Management Plan is being systematically implemented by the overarching authority for this property, i.e. Amber Development and Management Authority. An interpretation centre has been opened since its inscription, new signages and facilities have been installed in property area, and buffer zone and regular readings of the astronomical instruments are being recorded by astronomical experts to ensure their proper functioning [refer to Fig. 15.10]. Efforts have been made to ensure sustainable and integrated development of the site.

15.5.7  Jaipur Smart City Plan 2016 Jaipur has been selected as one of the 100 smart cities under the Smart City Mission of the Ministry of Urban Development (MoUD), Government of India launched in 2015 (http://indianexpress.com/article/india/india-news-india/india-20-smart-cities-list/). The city has had to prepare a vision plan including an area-based plan in consultation with its citizens and identify its own parameters for being ‘Smart’. Jaipur was one of the few cities where citizens collectively decided and voted for heritage planning for the nominated area of the walled city. The plan envisioned ‘Innovative and Inclusive solutions’ that involved the use of technology, information and data to make infrastructure and services better, so as to ‘Enhance the Quality of Life’. Along with this, the Smart City goals included aspects to develop a world-class smart heritage zone by conserving and developing heritage structures along with provision of smart and sustainable solutions to improve the overall visitor experience. The historic walled city of Jaipur was selected for area-based development under the Smart City Plan. The intention is to preserve the historic urban

Fig. 15.10  Interior view of Interpretation Centre in Jantar Mantar. (Source: DRONAH)

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character through series of interventions related to urban façade improvement, conservation of façades, façade lighting and illumination, traffic control and provision of adequate physical infrastructure and services. In the final selection of Smart City Plans, the Ministry of Urban Development ranked this Heritage Tourism Vision Plan for Smart City Area of Jaipur as third among the list of 100 cities. This plan is currently under implementation since 2016, and it focuses on carrying out urban conservation and adaptive reuse works in the nominated area in a similar fashion as outlined in previous plans mentioned above for the city.  These works under Smart city are now being monitored through an  Action Plan (under the adapted Built Heritage Management Plan for Jaipur ­prepared in 2007 and revised in 2017) to monitor the proposed criterion for World Heritage nomination of Jaipur Walled City in 2018.

15.6  Conclusion Since 2006, conscious efforts have been made by the government, professionals and locals to safeguard the heritage. However, at times the changing political situation leads to disconnect in the vision and has impacted certain decisions. Overall the impact has been largely positive, with feedback from the local people and heritage experts on most planning and project-related works in the historic city area. A successful initiative at the planning level has been the inclusion of Jaipur Heritage Management Plan in the Jaipur Master Plan 2025. It is used as a reference while drafting any new plan for the historic city. However, the lack of decision-making towards safeguarding heritage during the Jaipur Rail Metro Project leads to the loss of documentation of unique water systems in the Chaupar areas of the walled city of Jaipur in 2014–2015. Even though citizens protested against this particular intervention, the authorities were more focused on timely delivery of the metro projects instead of additional components such as salvage archaeology that could have informed about historic infrastructure while building new ones. Another issue is the apparent disconnect between initiatives for tangible and intangible heritage, which are often undertaken under separate programmes and institutional mechanisms. The challenge, therefore, is to build synergy between conservation and management of built form as well as social and economic regeneration. Additionally, mainstreaming of heritage in various urban development sectors such as infrastructure, housing, environment and health is critical for larger sustainability of urban heritage conservation and management initiatives. As discussed in this chapter, the works undertaken in the past have focused on a people-based approach and feedback from experts, residents and visitors. It has been realized that for a successful and effective implementation of any plan in a historic area, support of various interest groups is beneficial, be it the government authorities, the local residents, NGOs and/or the visitors. Besides the policies, data collection and documentation of heritage, conservation and urban renewal, interpretation and heritage awareness as well as heritage valuation play a critical role for

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longevity and sustenance. The relevance of a contextual framework of ownership, significance and economic potential of the heritage need to be understood, and planning has to be undertaken, reinterpreting and adapting the historic city to the present urban pressures. It is a collaborative effort of the residents, visitor and the heritage managers of the city that will provide a sustainable opportunity for the heritage to nourish and flourish as promoted by the UNESCO 2011 Recommendation on the Historic Urban Landscape.

Bibliography (1989). Imperial Gazetteer of India: Provincial Series Rajputana. Usha Publications. Anand, M.  R. Jantar Mantar: Time, Space and Deity’, Homage to Jaipur. Bombay: Marg Publications. Asher, C. (2000). Mapping hindu muslim identities through the architecture of Shahjahanabad and Jaipur. In Gilmartin et al. (Eds.), Beyond turk and hindu: Rethinking religious identities in islamic South Asia. Gainesville: University of Florida Press. Bahura, G. N. (1978). Ramvilaskavyam. Jaipur: City Palace Museum. Bahura, G. N., & Singh, C. (1990). Catalogue of historical documents in Kapad Dwara, Jaipur, Part II: Maps and plans. Jaipur: Bahura, G N & Singh, C. Baig, A. (2010). Forts and palaces of India. New Delhi: Om Books International. Bhattacharya, M. (2008). The Royal Rajputs: Strange tales and stranger truths. New Delhi: Rupa and Company. Coomaraswamy, A.  K. (2002). Early Indian architecture: Cities and city gates. New Delhi: Munshiram Manoharlal Publishers Pvt. Ltd. Davies, P. (1989). The Penguin guide to the monuments of India, II: Islamic, Rajput, European. New York/London: Viking. DRONAH. (2015). Jantar Mantar, Jaipur, A UNESCO World Heritage Site, Prepared for Department of Archaeology and Museums, Rajasthan (2014–2020). DRONAH. (2016). Detailed Project Report under Smart City Plan, Jaipur for Amber Development Management Authority and Jaipur Municipal Corporation. DRONAH and JVF. (2007). Jaipur heritage management plan built heritage for JHERICO (Jaipur Heritage Committee). Jaipur: Government of Rajasthan. DRONAH- JVF. (2009). Façade Control Guidelines, Main Bazaar, Jaipur Walled City. Jaipur: Jaipur Municipal Corporation. DRONAH- JVF Façade Control Guidelines. Chowkri Modikhana, Jaipur Walled City. Jaipur Municipal Corporation, Jaipur. Gole, S. (1989). Maps and plans of India. Delhi: Manohar Publishers. Hardy, A. (2007). The temple architecture of India. Chichester: Wiley. Hooja, R. (2006). A history of Rajasthan. New Delhi: Rupa & Co. Hooja, R., Hooja, R., & Hooja, R. (2010). Constructing Rajpootana – Rajasthan. Jaipur: Rawat Publications. INTACH. (2015). Compendium of best practice: Urban heritage in Indian cities. PEARL Initative, NIUA Publication. https://pearl.niua.org/sites/default/files/books/GP-IN4_HERITAGE.pdf Jafa, J. (2004). Royal Jaipur. New Delhi: Lustre Press/Roli Books. Jain, K. C. (1972). Ancient Cities and Towns of Rajasthan: A Study of Culture and Civilization. Delhi/Varanasi/Patna: Motilal Banarsidass. Jain, S. (Ed.). (2004). Havelis: A living tradition of Rajasthan. Gurgaon: Shubhi Publications. Jain, S. (Ed.). (2005). Princely Terrain: Amber, Jaipur and Shekhawati. Gurgaon: Shubhi Publications.

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Jaipur Development Authority, Master development plan- 2015. Koch, E. (2002). Mughal architecture: An outline of its history and development (1526–1858). New Delhi: Oxford University Press. Manchanda, B. (2006). Forts and palaces of India: Sentinels of history. New Delhi: Roli. Meena, B. R. (2009). Heritage of Rajasthan: Monuments and archeological sites. Aryan Books International. Michell, G., & Martinelli, A. (1998). The royal palaces of India. London: Thames and Hudson. Mishra, R. L. (1985). The forts of Rajasthan. Kutir Prakashan Nath, A. (1996). Jaipur, the last destination. I.B. Tauris & Co. Ltd. Papillaut, R. (2008). ‘Amber and Jaipur: The territorial demarcation of a city’, Context: Built, Living and Natural. Vol. V Issue 1 Spring/Summer. Prabhakar V. B. (1982). Forts and Palaces of India. New Delhi Roy, A. K. (1978). History of the Jaipur City. New Delhi: Manohar Publications. Sachdev, V., & Tillotson, G. (2001). Building Jaipur: Making of an Indian City. London: Reaktion Books. Sachdev, V., & Tillotson, G. (2002). Building Jaipur. London: Reaktion Books Ltd. Sarkar, J. (1984). A History of Jaipur. New Delhi: Manohar Publication. Singh, C., & Bahura, G. N. (1990). Catalogue of historical documents in Kapad- dwara, maps & plans. City Palace Museum, Jaipur. Singh, C., & Mayaram, A. (2002). Protected monuments of Rajasthan. Jaipur: Jawahar Kala Kendra in Association with Publication Scheme. The Rajputana Gazetteers. Vol II. Tillotson, G. H. R. (1991). Mughal India. London: Penguin Books. Tillotson, G. H. R. (1999). The Rajput palaces: The development of an architectural style, 1450– 1750. New Delhi: Oxford University Press. Tillotson, G. (2006). Jaipur Nama: Tales from the Pink City. New Delhi: Penguin Books. Tillotson, G. H. R. (2007). Jaipur Nama: Tales from the Pink City. Penguin Global. Tod, J. (2002). Annals and antiquities of Rajasthan (Vol. 1 &2). New Delhi: Rupa & Co. (First published in 1829 by Routledge & Kegan Paul Ltd., London). Toy, S. (1965). The Fortified Cities of India. Heinemann. Verma, A. (1985). Forts of India. Delhi.

Chapter 16

Roadmap for Implementation of the HUL Approach in Kuwait City Roha W. Khalaf

Abstract  Transferring the historic urban landscape (HUL) approach to national and local operational levels is key to its successful adaptation and implementation. In cooperation with UNESCO, the National Council for Culture, Arts and Letters (NCCAL) launched the project to implement it in the State of Kuwait in March 2015. Given that dissemination of information to the public is limited, this chapter reports on qualitative research rather than the actual results of the project. It identifies, and reflects on, challenges and opportunities with a view to helping the state set a roadmap for practical application of the HUL approach, particularly in Kuwait City. This approach is interpreted as the coexistence of layers, stakeholders, priorities, resources, and values. It is foreseen to improve the management of change in the city, where many buildings have been demolished, leaving behind large vacant areas awaiting development. Special emphasis is placed on the harmonious integration of contemporary interventions into the existing urban fabric in conformity with Items 12 and 22 of the Recommendation. Keywords  Recommendation on the HUL · HUL approach · HUL action plan · Harmonious integration · Contemporary intervention · Management of change · Thoughtful change · Roadmap · State of Kuwait · Kuwait City

16.1  Introduction What is already accepted, what we assumed to be finished thinking, is open yet to further clarification and exploration. (Ely et al. 1997)

The meaning of historic urban landscape (HUL) is twofold: (1) it is an urban area “understood as the result of a historic layering of cultural and natural values and attributes,” and (2) it is an approach to urban heritage conservation and management that helps “reach decisions about the advisability of particular interventions” or R. W. Khalaf (*) Consultant Architect and Independent Scholar, Kuwait City, Kuwait © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_16

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“proposals for change,” such as “contemporary architecture and infrastructure development” (UNESCO 2011a, Items 8 & 26, Preamble, Appendix). Bandarin and Van Oers (2012, p. 191) set the underlying theory, clarifying that HUL “does not constitute a separate ‘heritage category’”; it is “a new lens to the practice of urban conservation” or rather “an approach to managing change” that may “‘break the walls’ of separation between conservation and development.” Bandarin and Van Oers (2015, p. 317) highlight the need for supporting tools to help reconnect “urban conservation with the process of city planning and regional development; new architecture with the historic context,” which is the focus of this chapter. In order to explore its adaptation and implementation, the HUL approach must first be clarified to governments, policy-makers, property owners, clients, and practitioners such as architects, planners, managers, developers, and contractors. Taking this preliminary step can be especially challenging “in quickly developing economies and urban centers that wish to accelerate the pace of change (e.g., some cities of the Arab Gulf States)” by replacing old layers with new ones rather than searching for means to integrate them harmoniously (Khalaf 2016a, p. 75). A case in point is Kuwait City in the State of Kuwait as described in the following section.

16.2  Case Study Description 16.2.1  Layers of the City From the eighteenth century to the 1950s, Old Kuwait Town was a port town comprising densely packed courtyard houses and narrow thoroughfares, which were characteristics of the ancient Mesopotamian model (Lewcock 1978; Khalaf 2012). Urban morphology was the result of organic growth rather than that of defined planning. Private residential quarters (fereej) and public zones of economic activity were separated to ensure domestic privacy. Passive cooling design strategies, such as wind towers, initially developed in Southern Iran (Hawker 2008, p. xvii), were implemented to help communities cope with the eminently hot and arid climate. The town was connected to global trade networks and had already imported materials and design ideas before the discovery of oil in 1937. That discovery, however, fueled the desire to acquire modernity in standards of living.1 The impact of oil revenues on vernacular architecture and urban morphology, following the first shipment of oil in 1946, was unprecedented (Shiber 1964; Gardiner 1983; Khalaf 2012; Norman 2014). “Rapid and frequently uncontrolled development” caused not only “fragmentation and deterioration to urban heritage” but also social fragmentation “with deep impacts on community values” and livelihood (to use the words of UNESCO 2011a, Preamble). Economic and technological change (HVAC) broke

1  “Acquiring modernity” is actually the title of the State of Kuwait’s project for the 14th International Architecture Exhibition of La Biennale di Venezia (Alsager 2014).

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the bonds with the Mesopotamian model that had shaped the town’s character and urban identity since the earliest human settlement. To implement the first Kuwait Master Plan (KMP1) in the 1950s, prepared by the British firm Minoprio, Spencely, and MacFarlane, most buildings in Old Kuwait Town were demolished. At the time, it was believed that modernization could only emerge after wholesale demolition or tabula rasa. This belief meant “out with the old and in with the new” (Al-Nakib 2014, p. 7). The destruction of the old, however, “was not simply a means of clearing space” for the new modern state capital, i.e., Kuwait City, but it was also “a conscious act of erasure, of deliberately shedding Kuwait’s past while dreaming of a better future” (Al-Nakib 2014, p. 7). Architects and planners from abroad were recruited to plan and design the new city. The municipality proceeded with KMP1  in order to accommodate “efficient street layouts,” “regular plot alignments,” and a “vehicular circulation network” (Ali 1988, pp. 3–4) despite the “Law of Antiquities of 1960, which called for the classification, documentation, preservation, and restoration” of the remaining traces of Old Kuwait Town (Ali et al. 2009, p. 9). To this day, the Law of Antiquities, updated in 2016, is the only official document that addresses cultural heritage (State of Kuwait 2016). The pre-oil layer of the Kuwaiti urban landscape is mostly gone. An area comprising densely packed, inhabited, courtyard buildings with narrow thoroughfares, reminiscent of the Mesopotamian model, can no longer be found. There are no historic “urban” areas per se but rather historic “vacant” areas (Fig. 16.1), some of

Fig. 16.1  Map of Kuwait City. Map data: Google, Image © 2017 DigitalGlobe

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Fig. 16.2  A historic vacant area used for surface parking, photographed from Al-Babtain Tower on 30 December 2016 © Roha W. Khalaf

which are used for surface parking (Fig. 16.2). The few remaining historic buildings are scattered and overshadowed by high-rise development, which is why “the sense of place of the old city must be hard to achieve for younger generations” and the rest of the population (Norman 2014, p. 138). The post-oil layer of the Kuwaiti urban landscape, between the 1950s and 1960s, has also been subjected to demolition, particularly from 2003 onward, “to make way for something newer still,” such as “profitable high-rises” (Al-Nakib 2014, p. 8).

16.2.2  Cultural Heritage The National Council for Culture, Arts and Letters (NCCAL) is “the sole responsible authority” that “decides the importance” of cultural heritage at the national level (State of Kuwait 2016, Article 2). The conservation of “all recorded sites of antiquities and historical buildings” refers to the operations of maintenance (al-seyana) and/or repair or restoration (al-tarmeem) (State of Kuwait 2016, Article 12). The latter is usually carried out by the Ministry of Public Works (and selected contractors) with direction from, and supervision by, the NCCAL (Al-Beeshi 2016). A register of built cultural heritage was first prepared in 1988 and subsequently

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Fig. 16.3  Bait Ghaith bin Abdullah bin Yousif, photographed on 31 December 2016 © Roha W. Khalaf

published as a book (Ali et al. 2009). An example of a recorded historical building is Bait Ghaith bin Abdullah bin Yousif, built in the 1930s, later restored, and currently owned by the NCCAL (Fig. 16.3). It “represents social, economic and cultural features of Kuwaiti society in the past” and has an “architectural layout typical of the original urban structures in old Kuwait” (Al-Beeshi et al. 2010, p. 219). In the 1990s, the NCCAL established a grading system comprising four criteria to rank “the importance” of recorded buildings and sites, but heritage values (e.g., cultural, social, aesthetic) and attributes are not identified.2 This grading system remains valid (NCCAL 2018). In the 1980s, the Ministry of Finance and the municipality proposed the idea of a “heritage village” in Kuwait City. In 2003, the Architecture Department of Kuwait University produced conceptual drawings, which the local firm AEC transformed into working drawings. Construction began in 2004 in a nationally designated heritage area that faces the first dhow harbor, Nakrat Al-Shamlan. It holds archaeological remains and eleven recorded buildings, dated between 1760 and 1811. Their importance was ranked as per the NCCAL’s grading system (Khalaf 2013, pp. 175– 178). Although the “heritage village” is meant to be a reconstruction project, the original forms and functions are not entirely retained. The materials used to build it  The list of criteria in English is available in (Khalaf 2013, pp. 175–176).

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Fig. 16.4  A close-up of the heritage village, photographed on 30 January 2011 © Roha W. Khalaf

are reinforced concrete, lightweight brick, teak wood, and decorative plastering to match the color of mudbrick (Fig. 16.4). It includes underground parking; moreover, two skyscrapers were built in its immediate vicinity (Fig. 16.5). It is noteworthy that Abraj Al-Kuwait (Kuwait Towers) and Sheikh Abdullah Al-Jabir Palace were added to the Tentative List of the State of Kuwait in 2014 and 2015, respectively, to be potentially nominated for inscription on the World Heritage List (UNESCO-WHC 2018a). In 2017, furthermore, the NCCAL launched the project to preserve and promote Kuwait’s cultural heritage. It aims to strengthen cultural policy, institutions, management, and planning in partnership with the UNDP and the museum sector in particular (UNESCO Transparency Portal 2018a).

16.2.3  Management of Change Although “the control of land and resources falls under various state institutions including the parliament, the council of ministers, the municipal council, and the municipality,” the municipality is the primary operational level that controls “most of the land” and property transfer (Alshalfan 2013, pp. 12–13). As a consequence, since the 1950s, residential areas were reduced in Kuwait City, which has become, to a large extent, a commercial and financial center. According to the latest Kuwait Master Plan review, “residential areas occupy only about 9.2% of the city total land”

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Fig. 16.5  The heritage village (under construction), the Central Bank of Kuwait Tower (on the right), and the Kuwait Investment Authority Headquarters Building (on the left) next to the first ring road (phase II under construction), photographed from Al-Babtain Tower on 31 December 2016 © Roha W. Khalaf

in which mostly expatriates reside (Kuwaiti Engineering Group and Colin Buchanan and Partners 2005, p.  44; Kuwait Central Statistical Bureau 2014). The historic urban fabric has long been an inconvenience to the municipality (Ali 1988, pp. 3–4), which associates progress with Westernized planning and high-rise development. This explains why it has approved vernacular buildings to be demolished or left to deteriorate on vacant land (Fig. 16.2 above is an example). In cooperation with UNESCO, the NCCAL launched the project to implement the HUL approach in the State of Kuwait in March 2015 (UNESCO Transparency Portal 2018b). This project, however, risks being undermined by the municipality’s management of change and vision for the future of the city, where urban heritage plays a small role, and the sense of connection between the new and the old (or the existing urban fabric) is not a top priority. The following section relies on current practice to further elaborate on the challenges facing the implementation of the HUL approach and to assist the needed reform at legal-institutional and sociocultural levels.

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16.3  Challenges for the HUL Approach 16.3.1  Urban Planning Urban conservation as defined in the Recommendation on the HUL (UNESCO 2011a, Appendix) is not a mainstream activity in urban planning policy and practice in the State of Kuwait as evidenced in the three Kuwait Master Plans (KMP1, KMP2, and KMP3). KMP2 was planned in 1967–1968 by Colin Buchanan and partners who suggested improving the road system and constructing new cities. In 1990, the municipality commissioned two international project management, design, and master planning consultancies, Atkins UK and SSH, to plan KMP3, which was completed in 1997 (Mahgoub 2008). A local practitioner recently argued, “rather than importing yet another Master Plan, one should be developed locally, allowing the people to take part in shaping Kuwait of Tomorrow” (Hayat 2014, p. 23). Still, in November 2016, the municipality recruited the international consultants Perkins+Will and Dar Al-Handasah to prepare the fourth Kuwait Master Plan (KMP4). Its stated goal is to “turn Kuwait into a commercial and financial hub by 2040” (Dar 2018). KMP4 will likely incorporate and build on  the Kuwait City Urban Development 2030 Plan, prepared by Atkins and Gulf Consult for the municipality and completed in 2012 (Gulf Consult 2018). In partnership with Dar Al-Handasah, moreover, SSH is preparing a “Consolidated Zoning Code and Zoning Regulations and Urban Planning Standards Manual” for the municipality (SSH 2018). Zoning to control planning and new development, however, remains a challenge. According to the review of KMP3, for instance, “building heights within Kuwait City do not follow a particular pattern that would initiate a well-integrated coherent urban fabric” (Kuwaiti Engineering Group and Colin Buchanan and Partners 2005, p. 53).

16.3.2  New Development Another challenge is the fact that international consultants are often recruited to design major projects in the State of Kuwait. Examples include the first ring road by WSP Parsons Brinckerhoff and mega skyscrapers (Fig. 16.6). In a typical scenario, the Consultants Selection Committee (CSC) sends the terms of reference (TOR) on behalf of the client to international firms such as AECOM, C7A, Foster+Partners, HOK, OMA/Koolhaas, or SOM. If they accept the invitation, they must each contact a firm based in the State of Kuwait such as Al-Jazeera, Gulf Consult, KEO, PACE, SSH, or TAEP to enter the competition. Each international-local partnership must prepare a financial and a technical proposal. Eighty percent (80%) of the positions in the organizational chart (i.e., the required professionals such as architects and engineers) must be assigned to the international firm. If further clarifications about the TOR are needed, questions can be sent to the CSC prior to the scheduled

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Fig. 16.6  Mega skyscrapers (height 300m+): Al-Hamra Tower by SOM (on the left), National Bank of Kuwait Tower by Foster+Partners (under construction), and Arayya Tower by Fentress Architects (on the right), photographed from KIPCO Tower on 29 December 2016 © Roha W. Khalaf

pre-tender meeting during which all received questions are answered. After the submission and review of proposals, the client selects a partnership to carry out the design. In terms of project execution, it is usually the project manager and the client who select the contactors “in whose hands ultimately depends the final outcome” (Aljouder 2014, p. 12). Traditional craftsmanship and construction materials such as mudbrick and coral sea rock, i.e., available natural resources, no longer form part of the city’s development agenda, unlike construction in concrete, steel, glass, and aluminum (Fig. 16.6). This reliance on designs from abroad and modern materials is worrisome, because it is making the city less Kuwaiti with the passage of time. Admittedly, there are many impressive buildings that “possess spectacular architectural and structural qualities,” but they “do little to fulfil the environmental and cultural needs of local communities or to connect with their surroundings” (Khalaf 2015, p. 79). However, some Kuwaiti citizens do consider high-rise development part of their urban identity and pride (Khalaf 2016a, p. 69.

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16.3.3  Unfamiliar Terminology Another challenge is that “historic urban landscape” is unfamiliar terminology to authorities and practitioners in the State of Kuwait. It is translated to al-manazer al-hadriyah al-tarikhiyah in the Arabic version of the Recommendation (UNESCO 2011b), which, if translated back into English, means “historic urban sceneries.” When the author of this chapter asked professionals at the NCCAL and the municipality in the early stages of the research to explain what they thought al-manazer al-hadriyah al-tarikhiyah meant, the dominant answer was “views” and “natural features” in historic areas. Although its actual meaning is not “readily grasped,” local municipal authorities and practitioners must gain a clear understanding of “what [the approach] entails, and more importantly, what it can achieve” if they are determined to implement it successfully (Rodwell 2015, p. 137). This first step is indeed necessary, but not always easy. In China, for example, “professionals explained having a difficulty with the terminology” when the approach was initially being explored to set a roadmap (Van Oers and Pereira Roders 2013, pp. 9–10). An expert meeting was held in February 2014  in Kuwait City to discuss the Recommendation (UNESCO-WHC 2018b), after which the project to implement the HUL approach was launched in March 2015 (UNESCO Transparency Portal 2018b). The NCCAL and the Arab States Unit of the UNESCO World Heritage Centre also organized an “International conference on urban conservation: role of the Recommendation on the historic urban landscape in safeguarding modern heritage in the Arab States” which took place in Kuwait City in December 2015 (UNESCO-WHC 2018c). The outcomes and follow-ups of these events are not yet public information at the time of writing, which disables a broader debate on the implementation of the HUL approach. Kuwait City could benefit from recommendations directed at urban actors. More specifically, a closer cooperation between the NCCAL, municipal authorities, and the College of Architecture at Kuwait University (which is the only architecture and planning program in the state) is needed to (1) integrate “heritage conservation in the training of future architects and urban planners,” which was one of the objectives of the conference (UNESCO-WHC 2018c), as well as (2) integrate “historic urban area conservation, management and planning strategies into local development processes and urban planning, such as contemporary architecture and infrastructure development, for which the application of a landscape approach would help maintain urban identity” as per the Recommendation (UNESCO 2011a, Preamble). The lack of effective collaboration with the municipality, which is the primary operational level, is a major setback to the implementation of the HUL approach. The creation of “synergies between different urban actors” as recommended in Bandarin and Van Oers (2015, p. 326) is necessary to clarify, explore, and successfully implement it. Reflecting on the HUL toolkit and the six-step HUL action plan is a good start to identify opportunities with a view to helping the state set a roadmap, particularly in Kuwait City, as attempted by this author in the following section.

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16.4  Opportunities for the HUL Approach 16.4.1  Compatible Contemporary Interventions Since there are many large vacant areas in Kuwait City,3 new development merits special attention. According to the Law of Antiquities, new development should be “specified so as to be harmonious with the existing historical environment” (State of Kuwait 2016, Article 15). The HUL approach could inform policy and practice to guide “the harmonious integration of contemporary interventions” (UNESCO 2011a, Item 22; see also Item 12) and to improve the management of change in Kuwait City. For, indeed, “in order to ensure a prosperous tomorrow, Kuwait can no longer afford to simply replace the old with the new” (Hayat 2014, p. 20). The quest for harmony could protect built heritage from adverse impacts while accommodating the desire and need for progress.4 It is one way “to reframe the conservation process within the broader context of urban management and development” (Bandarin and Van Oers 2012, p. 67). It is noteworthy that conservation has been redefined as managing thoughtful change (The Getty Conservation Institute 2009, p. 13; Veldpaus et al. 2013, p. 11). “Thoughtful” can mean “harmonious,” “compatible,” and/or “sustainable.” Compatible design is often sustainable, but sustainable design is not always compatible. For example, incorporating wind turbines and photovoltaic panels in the design of buildings can be environmentally friendly but can also affect the visual integrity of the historic environment. That is not to say that compatibility is exclusively a visual judgement because “thoughtful change” should not be judged solely by its cover. It is the understanding of the overall context (human, man-made, and natural indicators) that can help achieve the goal of compatible interventions/harmonious integrations (Khalaf 2016b, p. 248). Indeed, “developing a more sustainable urban environment means striving for a harmonious continuum between the past, present, and future” (Van Oers and Pereira Roders 2013, p. 5).

16.4.2  Theoretical Model and HUL Toolkit A theoretical model has been developed to demonstrate how the goal of compatible interventions/harmonious integrations in Kuwait City could be achieved (Khalaf 2013, pp. 231–244). In terms of data collection, different sources of literature were reviewed (including Charters and UNESCO Recommendations), in-depth interviews were conducted with applicants and evaluators of proposals for change including professionals at the NCCAL and the municipality, and a qualitative survey was gradually carried out with a sample of the Kuwaiti population including  See Sect. 16.2.1.  See Sect. 16.2.3.

3 4

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adolescents, which is an effective civic engagement tool (UNESCO 2011a, Item 24a). Following data analysis and interpretation, the theoretical model, which also served to organize research findings, was created to facilitate follow-up interviews (an internal validity strategy) and to facilitate interviews with external auditors (an external validity strategy). This combination of different research methods (triangulation) enhances the accuracy and reliability of the study (Creswell 2009). Because “HUL” was unfamiliar terminology in Kuwait City when the research was being conducted, conceptual rather than literal translation was used. More specifically, the terms historic urban “environment” (al-biaa) and “areas” (al-manatek) were used instead of “landscape” (al-manzar); and “compatibility” (al-tawafok) between the old and the new was used to refer to the “HUL approach.” Unlike “landscape,” “environment” was (and remains) common language in official documents such as the Law of Antiquities (State of Kuwait 2016, Article 15) and in scholarly literature such as the booklet on Acquiring modernity, published by the NCCAL (Alsager 2014). Moreover, “compatibility” is one of the main goals of the “HUL approach,” which aims at reconciling conservation and development to achieve thoughtful change, to prevent the demolition of old layers, and to improve quality of life. The character-defining elements (attributes) of the historic environment and associated values were identified and included in the theoretical model to promote values-based decision-making when designing and reviewing proposals for change  in Kuwait City. To prevent “unthoughtful” change, a new design review process overseen by a specialized committee (an independent governance structure) was embedded in the model. That committee, hypothetically speaking, would be tasked with assessing finalized development proposals and reaching legally binding decisions that the municipality would have to follow before issuing building permits. The regulatory system (UNESCO 2011a, Item 24c) developed in the model consists of thematically grouped probing questions as opposed to criteria. In this regard, literature shows that the fulfilment of criteria (whether standards and/or design guidelines) does not necessarily result in thoughtful change; it is rather the understanding of the place of intervention (Khalaf 2015, p. 85). Probing questions can be more neutral, adaptive, and focused on the opportunities available for compatible design, on a case-by-case basis, than criteria (Khalaf 2015, pp.  82–86). Questions directed at environmental impact assessment, which is an internationally applied knowledge and planning tool (UNESCO 2011a, Item 24b), are included in the theoretical model. As a result, this model can inform policy formulation and guide the practical application of the HUL approach.

16.4.3  Six-Step HUL Action Plan In order to set a roadmap for implementation of the HUL approach, a preliminary step is to get people to learn more about it. One way to do so is to clarify its meaning and merit to different interest groups from the public, private, and civic sectors

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during many open information sessions to maximize attendance. These different groups need to understand the impact the HUL approach can have on their lives and the environment in order to determine whether they will use it to boost a governance reform. This familiarization phase may therefore create an opportunity to explore the HUL approach, which could be interpreted as the coexistence of layers, stakeholders, priorities, resources, and values. The relevant stakeholders to consult and involve in participatory planning should be identified. Activities should remain open for other interest groups to join. Together, they could elucidate and map the city’s resources and then develop the grading system of the NCCAL to include the values that should be protected, to determine the attributes that convey these values, and to assess their vulnerability to socio-economic stresses. Constructive dialogue and negotiation can help build consensus (Myers et al. 2016). These are the first three steps of the HUL Action Plan that deal with the sense of place. A conservation strategy could then be established and embedded in the comprehensive development plan for Kuwait City in KMP45 because it is important to integrate “historic urban area conservation […] into local development processes and urban planning, such as, contemporary architecture and infrastructure ­development” (UNESCO 2011a, Preamble). The formulation of new policy to supplement KMP4 and the Law of Antiquities can be instrumental in this regard. To be effective, any new policy document, which may build on the above-mentioned theoretical model,6 must be tied down by legislation and receive governmental recognition from the Council of Ministers, which is the legislative body that enforces regulations in the State of Kuwait. These are the fourth and fifth steps of the HUL Action Plan that deal with the vision for the future of the city. Once it is formulated and adopted, the policy document must accompany the TOR of every project, whether for conservation or development, to give invited international-local partnerships a heads up before they prepare their technical and financial proposals.7 Besides, practitioners usually prefer consistency and predictability in decision-making, because they want their respective proposal to be selected and eventually approved. Clarifying the regulatory framework and review process from the outset to practitioners, as well as clients, can help achieve the goal of thoughtful change. It is also important to establish strategic alliances and coordination mechanisms between urban actors that manage, and operate in, the city, especially the municipality, the Ministry of Public Works, the NCCAL, and the selected consultants and contractors. Overall, this is the sixth step that deals with the management of thoughtful change.

 See Sect. 16.3.1.  See Sect. 16.4.2. 7  See Sect. 16.3.2. 5 6

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16.5  Conclusion “Historic urban landscape is a mindset, an understanding of the city, or parts of the city” (Van Oers 2010, p. 14), which is why the HUL approach is more intellectual and aspirational than practical. In order to facilitate its adaptation and implementation, and build on its main principles, operational levels must first be willing to understand its rationale and determine its relevance to their specific context. Without political and social willingness, the HUL approach will not happen on the ground with a view to reconnecting the city. The case of Kuwait City shows that the sense of the possible, fueled by the desire of local authorities and citizens to acquire modernity (Alsager 2014), prevails over the sense of place that gives the city its distinctive character and identity. To shift the balance in favor of the latter, urban conservation should become a mainstream activity in urban planning policy and practice. This shift, however, may be difficult to align with the national aspiration, which is to “turn Kuwait into a commercial, and financial hub by 2040” (Dar 2018). One may argue that international capital can be attracted, and economic growth and social benefits can be achieved, while embracing urban conservation. The problem, though, is that “‘the walls’ of separation between conservation and development” in Kuwait City are difficult to ‘‘break” – to use the words of Bandarin and Van Oers (2012, p.  191). International architectural designs and master planning have a strong influence on current practice. This situation hampers the contextualization and implementation of the HUL approach at local and national levels. On a brighter note, the quest for harmonious integrations is an opportunity to turn thoughtful change into reality, which is the ultimate goal. The constructive six-step HUL Action Plan tailored for Kuwait City in this chapter is a potential roadmap that may contribute to achieving this goal.

References Al-Beeshi, A. (2016). Interview on 4 December with Aljarida newspaper, section 26 thakafaat [cultures]. Kuwait City: Aljarida newspaper [Arabic]. Al-Beeshi, A., et  al. (Eds.). (2010). Kuwait: history, heritage, architecture 1837–1950. Kuwait City: National Council for Culture, Arts and Letters. Ali, E. S. (1988). Historical preservation study for Kuwait Town summary report. Kuwait City: Kuwait Municipality. Ali, E. S. et al. (2009). Kuwait historical preservation study: Old Kuwait Town. (3rd print). Kuwait City: Kuwait Municipality. Aljouder, D. (2014). Monologues with bureaucracy. In N.  Alsager (Ed.), Acquiring modernity (pp. 10–12). Kuwait City: National Council for Culture, Arts and Letters. Al-Nakib, F. (2014). Introduction: Kuwait’s modern era between memory and forgetting. In N. Alsager (Ed.), Acquiring modernity (pp. 7–9). Kuwait City: National Council for Culture, Arts and Letters. Alsager, N. (Ed.). (2014). Acquiring modernity. Kuwait City: National Council for Culture, Arts and Letters.

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Alshalfan, S. (2013). The right to housing in Kuwait: An urban injustice in a socially just system. Kuwait programme on development, governance and globalisation in the Gulf States, 28. London: The London School of Economics and Political Science. Bandarin, F., & Van Oers, R. (2012). The historic urban landscape: Managing heritage in an urban century. Chichester: John Wiley & Sons. Bandarin, F., & Van Oers, R. (Eds.). (2015). Reconnecting the city: The historic urban landscape approach and the future of urban heritage. Chichester: John Wiley & Sons. Creswell, J. W. (2009). Research design: Qualitative, quantitative, and mixed methods approaches (3rd ed.). Thousand Oaks: Sage Publications. Dar. (2018). Kuwait Municipality signs contract for Kuwait fourth Master Plan 2040. http://www. dar.com/news/details/kuwait-municipality-signs-contract-for-kuwait-fourth-master-plan2040?org=about. Accessed 5 Jan 2018. Ely, M., et al. (1997). On writing qualitative research: Living by words (p. 10). London: Falmer Press. Gardiner, S. (1983). Kuwait: The making of a city. Harlow: Longman. Gulf Consult. (2018). Kuwait City urban development 2030. http://gckuwait.com/portfolio_page/ kuwait-city-urban-development-2030/. Accessed 5 Jan 2018. Hawker, R. (2008). Traditional architecture of the Arabian Gulf: Building on desert tides. Southampton: WIT Press. Hayat, H. (2014). The unfinished city. In N.  Alsager (Ed.), Acquiring modernity (pp.  20–23). Kuwait City: National Council for Culture, Arts and Letters. Khalaf, R.  W. (2012). Traditional vs. modern Arabian morphologies. Journal of Cultural Heritage Management and Sustainable Development, 2(1), 27–43. https://doi. org/10.1108/20441261211223252. Khalaf, R. W. (2013). An approach to compatible new buildings in historic urban environments: Case study in the Arabian Gulf region. Ph.D. dissertation. Université de Montréal. https://papyrus.bib.umontreal.ca/xmlui/handle/1866/10213. Accessed 5 Jan 2018. Khalaf, R. W. (2015). The reconciliation of heritage conservation and development: the success of criteria in guiding the design and assessment of contemporary interventions in historic places. International Journal of Architectural Research, 9(1), 77–92. ISSN 1938 7806. Khalaf, R.  W. (2016a). The search for the meaning of ‘compatibility’ between new construction and heritage in historic areas: An exploratory study. The Historic Environment: Policy & Practice, 7(1), 60–80. https://doi.org/10.1080/17567505.2016.1142698. Khalaf, R.  W. (2016b). Architectural compatibility beyond the eye of the beholder. Journal of Cultural Heritage Management and Sustainable Development, 6(3), 238–254. https://doi. org/10.1108/JCHMSD-07-2015-0028. Kuwait Central Statistical Bureau. (2014). Annual statistical abstract 2014. http://www.csb.gov. kw/Socan_Statistic_EN.aspx?ID=18. Accessed 5 Jan 2018. Kuwaiti Engineering Group and Colin Buchanan and Partners. (2005). Third Kuwait Master Plan review – Kuwait City structure plan. Kuwait City: Kuwait Municipality. Lewcock, R. (1978). Traditional architecture in Kuwait and the northern gulf. London: Art and Archaeology Research Papers. Mahgoub, Y. (2008). Kuwait: Learning from a globalized city. In Y. Elsheshtawy (Ed.), The evolving Arab city: Tradition, modernity and urban development (pp. 152–183). London: Routledge. Myers, D., Smith, S.  N., & Ostergren, G. (Eds.). (2016). Consensus building, negotiation, and conflict resolution for heritage place management: Proceedings of a workshop organized by the Getty conservation institute, 1–3 December 2009. Los Angeles: The Getty Conservation Institute. NCCAL. (2018). Mabani tarikhiyah [historical buildings]. https://www.nccal.gov.kw/Pages/ HistoricalBuildings/mbanitraekhya. Accessed 5 Jan 2018. Norman, K. (2014). Intangible challenges in the management of tangible cultural heritage in Kuwait. Conservation and Management of Archaeological Sites, 16(2), 131–144. https://doi. org/10.1179/1350503314Z.00000000078.

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Rodwell, D. (2015). Reconnecting the city: The historic landscape approach and the future of urban heritage. Journal of Architectural Conservation, 21(2), 136–138. https://doi.org/10.108 0/13556207.2015.1055098. Shiber, G. S. (1964). The Kuwait urbanization: Being an urbanistic case-study of a developing country. Kuwait City: Government Printing Press. SSH. (2018). Consolidated zoning code and zoning regulations and urban planning standards manual. http://www.sshic.com/news/consolidated-zoning-code-and-zoning-regulations-andurban-planning-standards-manual. Accessed 5 Jan 2018. State of Kuwait. (2016). Princely Decree No. 1 of 1960 of the Law of Antiquities modified with Decree No. (111) of 1976 and Law No. (9) of 1994. Kuwait City: National Council for Culture, Arts and Letters. The Getty Conservation Institute. (2009). Historic urban environment: Conservation challenges and priorities for action meeting report. Los Angeles: The Getty Conservation Institute. UNESCO. (2011a). Recommendation on the historic urban landscape [English version]. http:// whc.unesco.org/uploads/activities/documents/activity-638-98.pdf. Accessed 5 Jan 2018. UNESCO. (2011b). Recommendation on the historic urban landscape [Arabic version]. http:// whc.unesco.org/uploads/activities/documents/activity-638-97.pdf. Accessed 5 Jan 2018. UNESCO Transparency Portal. (2018a). Project: Preservation and promotion of Kuwait’s cultural heritage. https://opendata.unesco.org/project/XM-DAC-41304-KUW0102378. Accessed 5 Jan 2018. UNESCO Transparency Portal. (2018b). Project: Implementation of the World Heritage Convention and of the Recommendation on the historic urban landscape in the State of Kuwait. https://opendata.unesco.org/project/XM-DAC-41304-946KUW4000. Accessed 5 Jan 2018. UNESCO-WHC (World Heritage Centre). (2018a). Tentative Lists – State Party: Kuwait. http:// whc.unesco.org/en/tentativelists/state=kw. Accessed 5 Jan 2018. UNESCO-WHC (World Heritage Centre). (2018b). UNESCO Recommendation on the historic urban landscape  – expert meetings. http://whc.unesco.org/en/activities/638#activities. Accessed 5 Jan 2018. UNESCO-WHC (World Heritage Centre). (2018c). International conference on urban conservation: Role of the Recommendation on the historic urban landscape in safeguarding modern heritage in the Arab States. Kuwait City, 1–3 December 2015. http://whc.unesco.org/en/ events/1248. Accessed 5 Jan 2018. Van Oers, R. (2010). Managing cities and the historic urban landscape initiative – An introduction. In R.  Van Oers & S.  Haraguchi (Eds.), World heritage papers 27: Managing historic cities (pp. 7–17). Paris: UNESCO World Heritage Centre. Van Oers, R., & Pereira Roders, A. (2013). Road map for application of the HUL approach in China. Journal of Cultural Heritage Management and Sustainable Development, 3(1), 4–17. https://doi.org/10.1108/JCHMSD-01-2013-0002. Veldpaus, L., Pereira Roders, A., & Colenbrander, B. J. (2013). Urban heritage: Putting the past into the future. The Historic Environment: Policy & Practice, 4(1), 3–18. https://doi.org/10.11 79/1756750513Z.00000000022.

Further Readings Labadi, S., & Logan, W. (Eds.). (2015). Urban heritage, development and sustainability: International frameworks, national and local governance. London/New York: Routledge/ Taylor and Francis Group. WHITRAP (World Heritage Institute of Training and Research for the Asia and the Pacific Region). (2016). The HUL guidebook – Managing heritage in dynamic and constantly changing urban environments. Shanghai: WHITRAP.

Chapter 17

Case Study: Lamu Old Town Mohammed Ali Mwenje and Salim Mohammed Bunu

Abstract  This chapter discusses the urban challenges experienced by Lamu Old Town, a World Heritage site in Kenya. The paper reviews the interventions being undertaken jointly by Government of Kenya, the National Museums of Kenya, the County Government of Lamu and its predecessor the County Council of Lamu in trying to safeguard the Outstanding Universal Value while also enhancing the attributes and functionality of the historic old town as it struggles to meet the challenges associated with urban growth and development. The chapter highlights the potential of Historic Urban Landscape tools in enhancing the future development of the town. Lamu Old Town is regarded as the oldest and best preserved of the Swahili settlements in East Africa, and it still retains its traditional character and functions. The town received national recognition in 1986 and was subsequently inscribed on the UNESCO World Heritage list in 2001. Over the last 10 years, Lamu Town has experienced an inordinate population increase resulting from an influx of immigrant job seekers. The ensuing high demand for housing has resulted in the development of informal settlements around the old town, which now impacts negatively on the character and attributes of the town. Mega infrastructural developments earmarked for development within the precincts of the adjacent mainland coastline also pose a threat to the integrity of the old town. Previous partnerships on the implementation of the UNESCO supported programmes on Historic Urban Landscapes have enabled site managers to argue for the integration of conservation initiatives into the broader development agenda of the county government. In order to enhance the quality of life within the town for both visitors and residents, the County Government of Lamu (CGL) has initiated a number of ongoing infrastructural improvement projects. The projects include paving of open public spaces, pedestrian walkways and provision of street lights. M. A. Mwenje (*) National Museums of Kenya – Lamu World Heritage Site and Conservation Office (LWHSCO), Nairobi, Kenya e-mail: [email protected] S. M. Bunu County Government of Lamu – Office of the County Secretary, Lamu, Kenya © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_17

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Keywords  Urbanization · Historic centres · Development · Governance · Planning

17.1  Introduction This chapter discusses the urban challenges experienced by Lamu Old Town, a World Heritage site in Kenya. The paper reviews the interventions being undertaken jointly by Government of Kenya, the National Museums of Kenya, the County Government of Lamu and its predecessor the County Council of Lamu in trying to safeguard the Outstanding Universal Value while also enhancing the attributes and functionality of the historic old town as it struggles to meet the challenges associated with urban growth and development. The chapter highlights the potential of Historic Urban Landscape tools in enhancing the future development of the town

17.1.1  Background The Old Town of Lamu is one of a series of ancient Swahili urban ensembles located within the present-day County of Lamu. Lamu County is located on the northernmost part of the Kenyan Coast and consists of a mainland and the Lamu Archipelago. According to the Lamu County profile, the county covers a total land surface area of 6273.1  km2 and borders Garissa to the north, the Indian Ocean to the south and southeast and Tana River to the southwest and west (Lamu County Government 2013a, b). The most notable aspect of Lamu County is the Lamu Archipelago, home to the Lamu and Pate old towns. The famous monsoon trade of the western Indian Ocean entrenched a unique culture on the East African coast that is manifested in the magnificent stone towns between Barawa in the north and Sofala in the south. The complexity of these towns is solid evidence of the diverse cultural fusion that shaped them. By the fifteenth century, Lamu was already a thriving city-state. The town is an exceptional Swahili ensemble with more than 700 years of continuous habitation. In this context, it is one of the oldest living towns in East Africa. Most of the other Swahili settlements along the East African coast, especially north of Lamu Town, underwent modern changes, while others were reduced to ruins. At the beginning of the nineteenth century, two events took place which proved important to the later development of the town, the advent of Oman rule and, soon after, the influx of Indian merchants from Gujarati on the north-west coast of India. These events brought about, on one hand, the construction of the Fort and the buildings around it and, on the other, the development of the bazaar street called Usita wa Mui. Houses and shop buildings began to line the western side of the bazaar street (Directorate of Antiquities Sites and Monuments 2000). This was a milestone for the traditional urban functions of Lamu as it created the first truly commercial district of the town.

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17.1.2  Conservation of the Town Lamu Town is one of the most celebrated ancient urban ensembles on the East African coast. The town is credited as the oldest and best-preserved Swahili settlement in the region. Retaining its traditional character and functions, built in coral stone and mangrove timber, the town is characterized by simplicity of structural forms enriched by features such as inner courtyards, verandahs and elaborately carved wooden doors (Directorate of Antiquities, Sites and Monuments 2000). The town was gazetted as a National Monument in 1986 and subsequently listed as a UNESCO World Heritage site in 2001. Since 1972, the Kenyan government through the National Museums of Kenya has been undertaking an active cultural heritage conservation and development programme within the Lamu Archipelago. Elaborate conservation projects ranging from built heritage restoration and conservation to enactment and strengthening of legislation for the protection of historic landscapes within the region have been undertaken. Some of the iconic projects include the establishment of the Lamu Old Town Conservation Office, the adaptive reuse and restoration of Lamu Fort from a prison to a sociocultural centre, the development of the Lamu town square and the restoration of 20 classified buildings within the Old Town of Lamu in 1986 with support from the European Union. The core of the old town’s beauty and grandeur is made up of stone buildings, which are well planned with patterned niched interiors, giving Lamu Town a unique status above many coastal Swahili towns. A building audit conducted in 2005 revealed that about 65% of the building stock within the site (gazetted area) is in fairly good condition, while 20% needs minor refurbishment, 10% needs urgent restoration, and 5% are ruins which have been abandoned for a long period of time. Over the last 10 years, the conservation office has overseen more than 15 restoration projects of buildings that were classified as ruins (LWHSCO 2003) (Figs. 17.1 and 17.2).

17.1.3  C  urrent Urban Functions and Problems Encountered in Implementing the Urban Scheme Lamu Old Town is the administrative hub of the larger Lamu County and serves as the county headquarters with the entire government administration located in the old town. Lamu is a relatively small urban settlement of approximately 25,000 residents, of which 10,000 reside in the historic core of the designated World Heritage site (Fig. 17.3). Even though there are no conventional large-scale manufacturing industries or associated service industries on the island, the rejuvenated cultural tourism industry supports a host of associated economic activities including traditional crafts manufacture, fishing, hotels and restaurants. Despite the small size of the town, most of the basic/essential services of an urban centre can be found in

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Fig. 17.1  Lamu Old Town. Source LWHSCO-National Museums of Kenya. (Department of Physical Planning (1986) Lamu Old Town Conservation Plan Nairobi, Government of Kenya)

Fig. 17.2  Lamu Archipelago Source: Ms Swabra Bwanamkuu – GIS Analyst, County Government of Lamu – Directorate of Lands and Physical Planning

Lamu including banks, a post office, travel agents, insurance companies and airline booking offices (Fig. 17.1). The implementation of urban schemes in Lamu is facing a number of problems. In the last 10 years, Lamu has experienced an inordinate influx of people coming to the town in search of job opportunities. Lack of housing and land within the town itself has incentivized the local people to develop satellite informal, unplanned, set-

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Fig. 17.3  Aerial photo of Lamu Town showing the old town and surrounding informal settlements. “Lamu Old Town” was inscribed into the World Heritage list in 2001 under criteria (ii), (iv) and (vi). Lamu Old Town conservation area, which is equivalent to the inscribed area, comprises a total area of 15.6 ha. The buffer zone is approximated to be about 1200 ha covering part of the Indian Ocean waters, the Manda island skyline and the sand dunes on the southern side of the town, which are the principal source of water for the Old Town of Lamu. (Source graphics: Mwenje M.A (2007) unpublished report. Orthophoto GOK Ministry of Lands and Housing)

tlements around the town to profit from the multitudes of immigrants. The increasing population has put unprecedented pressure on the existing infrastructure, particularly the wastewater and solid waste disposal system, causing it to collapse. There is a lack

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of funds for redevelopment and expansion of the town’s infrastructure, which has also contributed its accelerated dilapidation. These problems are worsened by the lack of capacity to enforce existing local authority by-laws which govern the smooth running of the urban centre. Further, there is no suitable development plan or dedicated resources towards developing a conventional commercial district within the urban centre to accommodate the growing number of small enterprises. The Kenyan government has revived the 1978 plans for constructing the country’s second commercial port in Lamu District, to serve the southern Sudan region, and has commenced actualization of these plans. Even though the proposed port site is not in the vicinity of the World Heritage site, there are some concerns about the impact on the cultural heritage resulting from the development of the port-­associated infrastructure. Subsequently, even though sufficient legal structures exist to ensure that there is a comprehensive environmental and cultural impact assessment, there is a clear shortage of expertise and resources to implement the recommendations of the HIA.

17.2  I dentifying Development Challenges in Lamu and Previous Intervention Strategies The plight of Lamu County’s future development has been an ongoing discussion from the onset of the post-independence government. In the late 1960s, the government initiated a task force (Maleche 2000) to map out the future development of the then Lamu District and whose main terms of reference were as follows: 1 . Assess the resource potential of the District 2. Identify resource use conflicts within the District and their implications for efficient resource use and management 3. Determination of resource use zoning priorities and their coordination as a guiding spatial framework for integration of development of the District and the efficient allocation of land for different uses 4. Assigning intersectoral responsibilities and relationships in the development of the District

17.2.1  Recommendations of the Intergovernmental Working Party In 1972 an Intergovernmental Working Party was set up to investigate the future of Lamu District. This party recommended that further specific studies should be carried out into the building standards which are required in order to ensure that the existing architectural and social cohesiveness of Lamu Town is not destroyed

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through unsuitable design or bad sitting of buildings. It was specified that these studies should include identifying which buildings require renovations, which contain features of unique importance requiring preservation and which are suitable for demolition, conversion or redevelopment. The working party recommendations were accepted by the government and funds voted through the National Museums of Kenya to carry out further studies. These studies culminated in the conservation report for Lamu led by the late Usam Ghaidan (1976) and the planning Lamu report by Siravo and Pulver (1986).

17.2.2  L  amu Workshop: Conservation of Historic Towns and Monuments In 1978, the Kenyan government in collaboration with the Commonwealth Association of Architects and the Commonwealth Association of Museums organized a technical workshop in Lamu to discuss the treatment of monuments and the impact of tourism on local communities in historic towns, as well as the need to retain such historic towns as living communities. The control of development and the integration of historic towns into regional and economic planning was also discussed (Directorate of Physical Planning 1978). The government eagerly anticipated that the workshop would make recommendations on how best Lamu could adapt to socio-economic changes that could not always be in harmony with the conservation strategy. The highlight of the workshop was probably the revelation by the Kenyan government of plans to construct the country’s second seaport within the district (Directorate of Physical Planning 1978, p.  32). The government proposal was enthusiastic about the possibility of reconciling development and conservation though it did not specify a specific technical approach to achieve this. The government opined that all new developments be subjected to mandatory environmental impact statements or reports which summarize the critical aspects of the project, as a basis of their acceptability, and that these should be applicable to all spheres of development including conservation of historical towns and monuments. The government further highlighted plans for the relocation of the district headquarters to the mainland and introduction of settlements schemes and ranching projects (Directorate of Physical Planning 1978, p. 47). The main recommendation of the conference was the acknowledgement of a monument as more than a single building, encompassing its wider context, including artefacts which during the monument’s existence have become part of it. However, this recommendation was not immediately integrated into preceding district development plans. Hence, the conservation programme for the ancient Swahili settlements in Lamu District failed to attract serious attention from many government agencies.

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17.2.3  Previous Intervention Strategies Rapid growth of urban population without complementary expansion of infrastructure and services has posed huge challenges to Kenya’s urban centres, many of which were established without regard to their viability or service delivery capacity. Thus, the urban infrastructure in Kenya has not maintained pace with the rapid population growth, and the problem is manifested in the current environmental and socio-economic challenges, such as mushrooming slums. The Kenyan government initiated a number of municipal support programmes which provide financial and technical assistance to many of the urban centres and towns. Kenya Municipal Programme (KMP)  The KMP is intended to address the institutional constraints, municipal capacity, finance and reforms and simultaneously support investment to improve infrastructure and local service delivery of major municipalities in the country. Kenya Slum Upgrading Programme (KSUP)  The KSUP aims to tackle rapid growth of slums in urban Kenya. It focuses on improving living conditions in slums by enhancing security of tenure and investment in basic infrastructure while supporting mechanisms to prevent the emergence of new slums. Small Town Development Project (STDP)  This is a capacity building programme for small- and medium-sized urban areas to enhance management of urban services, address urban sprawl and improve financial management and budget administration. However, participation in the above programmes was initially guided by a strict criterion established by the then Ministry of Local Government. It was unfortunate that the Old Town of Lamu, with its peculiar characteristics and attributes, could not fit into this criterion. Moreover, the Kenyan government under the Ministry of Local Government has never run a specific programme for upgrading historical towns. Lamu Old Town, thus, missed out on many of these urban development opportunities. Following extensive lobbying, the town received assistance from the small town development programme which enabled the construction of the new Lamu market and subsequent removal of street traders from what is now Mkunguni Square (the most important public space for the town). Prior to the market construction, the space in front of Lamu Fort served as an open-air market but has currently been upgraded to a public square.

17.3  Lamu and the Historic Urban Landscape Approach Historic urban districts across the globe have been facing myriads of challenges, especially those concerned with the provision of conventional urban services and redevelopment of historic cores. With a view of enhancing intervention strategies,

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by both the public and private sectors, that are geared towards uplifting the quality of life within the historic districts, the UNESCO World Heritage Centre (WHC) developed the HUL concept to better outline heritage conservation strategies within the larger goals of urban sustainable development. Representatives from the Lamu World Heritage site were first invited to a workshop on the application of HUL in 2009, held in Zanzibar. During the workshop, the emerging tools under the concept of the HUL were highlighted. However, the site still lacked technical and financial resources to adopt this recommendation. In 2011, the state party received a grant from UNESCO WHC (through funds from the Flemish Government) for the implementation of the HUL in Africa (LWHSCO 2011). The HUL conference was preceded by a follow-up mapping exercise in 2012 jointly undertaken with the University of Minnesota through the support of UNESCO with funding from the Flemish Government (LWHSCO 2012). The Lamu HUL workshop was conceived by the WHC as one of three specialized workshops intended for the East African region, aiming to familiarize state agencies and other stakeholders managing historic districts with the HUL concept and to assist them with its implementation. The workshops were supported financially by the Flemish Government. The Lamu workshop held in August 2011 was organized by National Museums of Kenya, through the Lamu World Heritage Site and Conservation Office in collaboration with the WHC and attracted 30 participants from different Kenyan government agencies concerned with urban and heritage management. The overall objective of the Lamu meeting was to advance the ongoing discourse on the UNESCO Historic Urban Landscape Recommendations, with the specific objectives of introducing the HUL approach to the relevant Kenyan government agencies and to get feedback on the specific needs of the World Heritage site. The workshop enabled the government agencies to better understand the concept of HUL through a review of the challenges of urban conservation and management in Lamu and other World Heritage-designated cities across the globe. The workshop also proposed follow-up activities that would enable formulation of strategies to assist the implementation of the HUL in Lamu Old Town. One of the key participants of the Lamu workshop was the then coordinator of the formulation of the Kenyan National Urban Development Policy (NUDP). In his presentation, he noted that even though urban areas in Kenya contribute significantly to the country’s gross domestic product, they had not been systematically supported, developed and managed. The development of the NUDP thus specifically aims to ensure orderly, competitive and sustainable urban development. It recognized the old towns of Mombasa and Lamu as the epitome of urban origins in the country and important reference points in the NUDP discourse. The experts drafting the NUDP had taken note of shortfalls that excluded the historic towns from effective participation in a number of previous urban upgrading programmes and were impressed by the ongoing proposals to protect the Lamu World Heritage site, through the upgrading of informal settlements that have recently emerged on the periphery of the old town. The informal settlement of Langoni, Gardeni and Bajuri which surround the old town is densely constructed with no regard to building guidelines. These settlements are a potential source of

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catastrophe to the old town. The poor planning and lack of necessary social ­infrastructure are already causing a strain on the old town. These newer settlements are also more susceptible to disasters such as fire and flooding (considering that other buildings have been constructed on the town’s natural drain) which may easily spread over to the historic core. Moreover, the informal settlements reflect negatively on the presentation of the old town. Therefore, improving conditions in these settlements is important to address the threat posed to the old town. Highlighting urban heritage in the NUDP would open more opportunities for future intervention in historic areas, including the integration of the latest innovative approaches like HUL into the future urban upgrading initiatives.

17.3.1  Post Lamu HUL Workshop: Mapping Exercise The 2011 Lamu Workshop on Historic Urban Landscapes (HUL) resolved that, as part of the way forward, the WHC would support a fieldwork exercise to assist the site management in the implementation of the concept of HUL by establishing priority conservation efforts in the preservation of the urban fabric. The identified and approved exercise focused on the documentation of public spaces and was undertaken through expert direction from the University of Minnesota in close cooperation with the National Museums of Kenya and in collaboration with the University of Nairobi. The first activity of the technical support programme was a 14-day (UNESCO 2013) training workshop on mapping for members of the Lamu World Heritage Site and Conservation Office (LWHSCO), conducted by experts from the University of Minnesota (UOM) in January 2012. The training workshop introduced participants to a mapping tool that had been developed by the UOM for documenting public open spaces within the old town. The database provided for the incorporation of a location map, a photograph, GPS coordinates, notes and a brief narrative of the square. The database formed the basis for a comprehensive inventory of all public open spaces, including their current functions and uses. Members of the LWHSCO team had ample opportunity to practice field collection of data, preparation of specific location maps and data input into the database. A training manual developed by the UOM was also presented to the LWHSCO for future reference. The second activity, the actual mapping, was conducted in April 2012. Postgraduate students in urban design from the University of Nairobi took part in the mapping exercise. The students also enriched the mapping exercise by giving a critique and providing the LWHSCO with an overview of how to effectively buffer the site form the envisaged Lamu mega-port project. Their input has provided means for future collaboration with academia on finding practical solutions to the challenges of managing Lamu’s cultural heritage in light of the scheduled LAPPSSET project.

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A total of 32 open/public spaces were surveyed in detail during the exercise. The key achievements of the exercise were the development of appropriate procedures for identification and documentation of public/open spaces and the preparation of an interactive map of squares for easy access to the data of each square. The participants also mapped out all the significant Swahili timber doors and covered streets (Wikios) within the old town including GPS coordinates and photographs and prepared a digital map.

17.4  I mplications of HUL Application and Integrating the Approach The dispensation of the new 2010 Kenya Constitution and the formation of the prescribed devolved county governments brought to light new opportunities for resolving the urban challenges of Lamu Old Town. The newly devolved county administration has had the benefit of skilled personnel and better resources to initiate intervention programmes. The devolved units are also better placed to bargain with the national government entities for participation in the ongoing urban support programmes. Through the new council of governors, urban centres that initially were not qualified to participate in the slum upgrading programme successfully lobbied for their inclusion. This particular intervention strategy has seen the initiation of projects supported by the Kenya Slum Upgrading Programme implemented within the informal settlements in Lamu with the aim of improving their performance and outlook, thereby protecting the presentation and functionality of the old town. The project has seen the provision of paved pedestrian walkways and street lights. In order to enhance the quality of life within the stone town for both visitors and residents, the CGL has also provided a free Wi-Fi hotspot and built a tourist information centre. Other ongoing infrastructure projects include fencing of the ancient graveyards, rebuilding of the town gate and installation of CCTV cameras. The CGL in collaboration with National Museums of Kenya (NMK) and tourism stakeholders have also embarked on a rebranding project for the island town, dubbed the island of festivals, that seeks to market the traditional festivities undertaken during the different seasons and which has attracted a huge following. This initiative seeks to enhance Lamu’s image as a centre of culture and the old town as the arena of centuries-old cultural festivities. The conceptualization of these beautification and upgrading projects was informed by the outputs of the 2012 survey of public open spaces under the HUL supported activities. The projects were spearheaded by senior county government officers who had been seconded to the newly formed CGL and who had taken part in the HUL workshop and follow-up activities.

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17.4.1  I ntegrating HUL into Planning and Development Processes of the Lamu County Spacial Plan The new County Government Act compels all county governments to prepare county integrated development plans, county spatial plans and sectoral plans as the key budgeting tools for the respective governments. The County Government of Lamu has been earnestly committed to developing these key plans and since 2014 has been preparing a county spatial plan (Fig. 17.4). The county spatial plan has for the first time provided the basis for proper integration of protected landscapes into the future development ambitions of the county. The spatial plan development also provided for the first time a platform where the envisaged mega development projects earmarked for the district could be discussed alongside the conservation needs of fragile ecosystems and protected cultural sites. Lessons from development challenges experienced by other historic sites across the globe have played a crucial role in defining alternative planning solutions sensitive to protection and preservation of the sites and monuments within Lamu County. For example, an ideal intervention which could be emulated in Lamu is the Ngambo Tuitakayo (the desired other part of town) initiative in Zanzibar town that is integrating HUL tools in the development of baseline surveys and needs assessment for the redevelopment of urban sectors in the semi-informal areas of the city (DoURP 2014).

Fig. 17.4  The Lamu County Spatial Plan has proposed a zoning plan for Lamu Island which intends to protect the attributes of Lamu WHS and her complimentary buffer zone areas

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The development of the specific area development plan for Lamu Old Town will be articulated using planning tools introduced through the HUL workshops, and there will be a focus on reclaiming public open spaces, especially within the surrounding informal settlements. The CSP has laid out a structure plan as shown in plate 8. The zoning plan is to be further developed in sector plans through a number of objectives detailed in Chapter 13 of the CSP.  This is the first time the county government has developed an official document that comprehensively takes into account the cultural heritage and also specifies how the actions will be achieved. The development of the sector plans offers opportunities for integrating safeguards for the site’s OUV that include the view cones and the mangrove forests that are a setting for the island town.

17.4.2  Upgrading of Social Infrastructure In 2014 the Kenyan government, through the Kenya Municipal Programme, rolled out a series of training programmes on the preparation of Integrated Spatial Development Plans (IDeP). The training programmes were aimed at providing local leaders and decision-makers with the necessary tools and approaches to support IDePs, which have been specified in the new 2010 Constitution as mandatory budgeting tools for the devolved county units. The County Government of Lamu took part in the training programmes and was part of a cluster group whose training was held in Malindi in June 2014. This training programme was an eye opener for the CGL who was able to successfully request for technical and financial support from national government agencies. The CGL received grants from the Kenya Slum Upgrading Programme (K-SUP), for installation of street lights, laying of concrete block paving and rehabilitation of water wells. The CGL had identified the impacts on the historic core by the informal settlements, as discussed in 4.1, as one of the key areas that required immediate attention. With information from the 2012 HUL supported mapping exercise of public open spaces, the CGL was able to identify which areas were to be given priority for upgrading. The CGL also received technical support for carrying out a baseline study on the informal settlements around Lamu Town (K-SUP 2014) (Fig. 17.5).

17.5  Conclusion Current projections show that Kenya’s urban population will only reach 50% of the total population after 2050 (UN-Habitat 2015). However, urban development in Kenya faces major challenges and is, hence, unable to cope with the rapid growth in urban populations. The ancient towns of Lamu and Mombasa are also experiencing the impacts of rapid urbanization and urban sprawl. The Old Town of Lamu, a World Heritage site, has not featured prominently in the numerous urban support

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Fig. 17.5  Rehabilitation of the town entrance (before and after)

programmes initiated to address the ever rising urban challenges in the country. This exclusion may partly be attributed to the town’s peculiar characteristics that do not fit into the criteria for national urban classification. Over the last 10 years, the town has experienced an inordinate population growth that has resulted in the development of informal settlements around the historic core. These informal settlements lack social amenities, thus depending heavily on the old town facilities including palatable water, public spaces, markets and shopping. Most of the income-generating activities are also concentrated within the historic core which has led to an increase in undesirable commercial activities such as bicycle or motorcycle taxis, or boda boda as they are known in East Africa. Kenya’s newly devolved system of governance provides possibilities for resolving Lamu’s urban challenges. These opportunities can be effectively harnessed through tools prescribed by UNESCO’s new approach in historic urban management. The Historic Urban Landscape tools will enable the managers of the site to understand Lamu Town as a complex whole in which the natural setting, the historic fabric and the urban formation, the residents and visitors and their collective culture, social life and livelihood are part of a “complex urban landscape ” (Fusco Girard 2014, p. 17). All these constituent components of the urban whole must be articulated in the urban development plans. Previous conservation plans for the old town focused on the built heritage and at a later stage some cultural activities. The scheduled spatial development plans need to address these discrepancies through the notion that heritage-based urban regeneration can be used as a means to create a sustainable urban development. In the particular case of Zanzibar, discussed above, HUL is being used to create continuity between the Stone town and the Ngambo

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area in the new urban development of the city (M. Callenberg 2016). Pilot studies undertaken by Mia Callenberg in Mapembeani, an area rich of cultural history, exemplify how history can be interpreted into the future ensemble. The study further demonstrates how negative interventions can be avoided in the buffer zone areas of the World Heritage site of Stone Town. The Zanzibar approach thus carries significant lessons for the Lamu World Heritage site as the urban sectoral zoning plans are being prepared.

References Callenberg, M. (2016). Gothenburg, hidden stories and urban values Chalmers University. Directorate of Antiquities Sites and Monuments. (2000). Lamu nomination Dossier. Nairobi, National Museums of Kenya. Directorate of Physical Planning. (1978). Report of the workshop/conference on conservation of historic towns and monuments. Nairobi Government of Kenya. Directorate of Urban and Rural Planning (DoURP). (2014). Enabling transformation of Zanzibar: National spatial development strategy. Zanzibar. Fusco Girard, L. (2014). Creative initiatives in small cities management. The landscape as an engine for local development. Ghaidan, U. (1976). Lamu: A study in conservation. Nairobi: The East African Literature Bureau. K-SUP. (2014). Report on informal settlements upgrading in Lamu Technical Partnership between the National and County Government. Lamu County. (2013a). Nairobi, County integrated development plan-CIDP) Government Printer. Lamu County. (2013b). First County integrated development plan. LWHSCO. (2003). State of conservation report Lamu WHS. Lamu: National Museums of Kenya. LWHSCO. (2011). Lamu HUL workshop report. Lamu: National Museums of Kenya. LWHSCO. (2012). Final report on training and mapping of public open spaces exercise. Lamu: NMK. Maleche, Z. (2000). Profile Nairobi. Profile University of Nairobi. Retrieved from://profiles.uonbi. ac.ke/zachariahmaleche/files/cv_maleche.pdf. Siravo, F., & Pulver, A. (1986). Planning Lamu: Conservation of an East African seaport. Nairobi: The National Museums of Kenya. UNESCO. (2013). Paris, report on the historic urban landscape workshops and field activities on the Swahili coast in East Africa 2011–2012. Un-Habitat. (2015). Report on capacity building for county governments under the Kenya municipal programme.

Chapter 18

Conservation and Exploitation: Governance and Sustainability Issues: The Case of Lijiang Luca Zan and Tao Wang

Abstract  This chapter focuses on Lijiang City, China, one of the most controversial heritage sites in China. This site suffers from an excess of mass tourism, where economic exploitation seriously undermines the conservation of the site. The difficulties in dealing with tangible and intangible aspects are investigated while also addressing the issue of institutional fragmentation. Indeed, the site is composed of three different villages, with no coordination among them. Focusing on the major two (Dayan and Shuhe), a tension between conservation and exploitation emerges, with an interesting articulation of the notion of conservation. Neither site is able to find an ideal balance between conservation of the material aspect (tangible) and the social fabric of local population (and the Naxi minority in particular). Attempts to achieve this balance have led to diverging approaches and results; one site protects the artifact but feigns the social fabric, while the other has created a new area in the village to deflect visitor attention, protecting the old town and its social and agricultural activity. Keywords  Management · Institutional fragmentation · Preservation and exploitation · Mass tourism · Over-commodification · Trade-off

18.1  Introduction This chapter focuses on Lijiang, one of the most controversial city sites in China, often referred to as a case of over-commodification for mass tourism, which undermines the survival of the site itself (e.g., du Cros 2006). Within the Historic Urban L. Zan (*) Department of Management, University of Bologna, Bologna, Italy e-mail: [email protected] T. Wang Pritzker Chair of Asian Art, Art Institute of Chicago, Chicago, IL, USA e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_18

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Landscape (HUL) debate  (Bandarin and Van Oers 2014), Lijiang is explicitly referred to as 1 of 39 cases demonstrating “potential harmful impacts of urban development” as reported by the World Heritage Committee in 2007 (Van Oers 2010: 7). This chapter uses the lenses of administration and management studies to analyze two specific elements of interest the contradiction between methods of dealing with tangible and intangible heritage in sites and governance issues and the question of institutional fragmentation in particular. Institutional fragmentation is an issue affecting many heritage sites, including World Heritage and city sites. These elements are of relevance for the case of Lijiang in particular and potentially for the whole debate on HUL. The analysis is based on a field research on the management of Unesco World Heritage sites in China (Wang and Zan 2011). The aim was to investigate the impacts of being inscribed on the World Heritage list for individual Chinese sites, through examining, for example, changes to professional aspects (conservation and presentation), effects on visitors (numbers, profile, behaviors), and financial terms (investment costs for fulfilling the procedure and coping with standards, additional revenue, and costs after being listed). Rather than debating general policy issues, the focus was on actual impacts at the local, micro, level and on day-to-day practices in the selected institutions.

18.2  P  reservation vs Exploitation and the Issue of Governance Balancing preservation and exploitation is a crucial issue in heritage management, involving a compromise between different imperatives. Mass tourism can easily lead to unprecedented numbers of visitors in sites that become fashionable. Economic exploitation of mass tourism makes alternative uses of sites problematic – such as alternative and more traditional economic activities, e.g. agriculture, and the sustainability of historical patterns of livelihoods of traditional inhabitants, in this case 300,000 members of the Naxi minority – while undermining the conservation of the site itself. Moreover, in the case of old towns and villages, the potential contradiction between preserving the physical and the intangible, the linkage between the two is a central element in the HUL debate (Van Oers 2010; Bandarin and Van Oers 2014), is particularly pressing. However, in this context, the influence of institutional aspects has been overlooked, i.e., how governance issues are likely to have an impact on the dynamics between preservation and exploitation. This is particularly relevant in case of institutional fragmentation, with unclear, ambiguous impacts on actual decision-making processes. Indeed, worldwide, institutional fragmentation is a common phenomenon in heritage and is an administrative challenge, particularly for Unesco (Machu Picchu

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and the question of the “Management Unit” are perhaps the best example: Zan 2011). This is also one of the most interesting findings of our research, with various important examples. The Great Wall World Heritage site actually consists of three different locations (Badaling, Jiayuguan Pass, Shanhaiguan), under different administrative bodies, with little if any coordination between them; in turn, the Great Wall, as such, is not run by any one administrative body. Qin Mausoleum and the Terracotta Warriors have been run for a long period by two different bodies, causing controversies and conflicts. Yin Xu is a single site, with a very unusual – and conflictual – relationship between local authorities and the China Academy of Social Sciences, wherein the latter is directly involved in the management of the site and the museum, often with tension with the local government.

18.3  Lijiang Case (Or Cases) The Old Town of Lijiang was inscribed on the World Heritage list in 1997: The Old Town of Lijiang, which is perfectly adapted to the uneven topography of this key commercial and strategic site, has retained a historic townscape of high quality and authenticity. Its architecture is noteworthy for the blending of elements from several cultures that have come together over many centuries. (http://whc.unesco.org/en/list/811)

Lijiang is a perfect example of institutional contradictions. The “site” is, in reality, composed of three different locations, three old towns/villages: Dayan (the biggest and most important, the one which is normally referred to when talking generally about “Lijiang”), Shuhe, and Baisha. Curiously enough, the literature seems to ignore the latter two. Only the Unesco Mission Report document clearly highlights this issue (2008). The site is also affected by institutional fragmentation. The three old towns are run under two different administrations, without serious coordination between them. Among those interviewed, there was no clear consensus on whether the office in Dayan for Unesco issues (Heritage Monitoring Centre) should be in charge of such coordination in the future. From this point of view, Lijiang, more than a single case, represents three distinct cases, to a large extent unconnected. Such a lack of connection represents both problems and opportunities. On one hand, major problems include a lack of coordination, barriers to the diffusion of “best practices,” and vested interests. However, on the other hand, such administrative “anarchy” opens the way to the emergence of possible alternative solutions and represents a barrier to diffusion of “worst” practices. In particular, this applies to the issue of removing the Naxi people from historical centers, as we will see. The following sections focus on Dayan and Shuhe, highlighting differences in their developing paths (when the research was conducted, no major developments were noted for the third village, Baisha, which seemed to be in a state of limbo, with a pending proposal by the developer responsible for Shuhe to run the site directly, using Shuhe as a model).

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18.3.1  Conservation and Exploitation in Dayan Dayan is one of the most controversial sites in the world. There was a massive restoration project in support of the nomination process, which continued after its inscription in 1997. Also, a new museum was set up. Though a precise figure of the investment is not available, the magnitude was “several million RMB,” according to an interviewee at the municipal level. Unesco Bangkok (2007) assigned an Award of Merit to Lijiang Ancient Town (in reality referring to Dayan), for the safeguarding of vernacular heritage and the implementation of conservation guidelines: The conservation of 174 traditional houses in the World Heritage site of Lijiang Ancient Town hallmarks a significant step forward in public-private efforts to safeguard vernacular heritage. Through a matching grants program aimed particularly at underprivileged residents, the project has supported the upgrade of a historic townscape threatened by modern urban development and the tremendous increase in tourism to the site. The implementation of clear and easily-implemented conservation guidelines aimed at homeowners has guided the process through the use of appropriate levels of technology, local materials and traditional methods of building repair and consolidation. The partnership between the residents, management authorities, external conservation experts and donors allows for a broad-based and participatory conservation approach within the framework of the overall World Heritage site conservation management plan. (Unesco Bangkok 2007)

However, Lijiang still faces serious criticism, particularly related to the lack of mass visitor management (McKann 2001; Yamamura 2004; Caddison 2007; du Cros 2006; Wang 2007). The trend is impressive, charting an increase from a few hundred thousand at the beginning of the 1990s to six million in 2008, and at present visitor numbers exceed 30 million (Table 18.1).1 To what extent such an explosion in visitor numbers is related to World Heritage inscription is debatable (precise numbers are missing for the relevant years). However, it gives the impression that World Heritage status had a more radical impact than what would normally be expected. A special warning is perhaps necessary in marketing heritage in China. When millions of visitors can travel to sites with relative ease, there is a risk of losing control on acceptable numbers (the issue of carrying capacity was never addressed in Dayan). The parallel process of “museification” is astonishing. This has led to the site becoming a “fake” city, where most of the houses are transformed into inns, B&Bs, and trivial shops selling items that have nothing to do with local craft, for example, CDs and souvenirs common anywhere in China (du Cros 2006). People have moved out in more radical numbers than suggested in documents provided to Unesco: “along the street in the most accessible areas for tourists, already 90 percent of the original residents have moved out” (du Cros 2006: 211). On the whole, the number of the original population has dropped to 20% (Street, 2004 as quoted in du Cros 2006).

 We would like to thank Janli Yu from CACH, Beijing, for helping update this data.

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Table 18.1  Visitor numbers and tourism income in Lijiang City Year 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Number of visitors (and % domestic) Total Domestic Overseas 2,804,300 2,735,100 69,200 2,903,700 2,811,500 92,200 3,220,700 3,115,300 105,400 3,375,100 3,226,700 148,400 3,014,800 2,932,400 82,400 3,601,800 3,509,700 92,100 4,042,300 3,859,500 182,800 4,600,900 4,292,200 308,700 5,309,300 4,908,600 400,700 6,254,900 5,789,100 465,800 7,581,400 7,055,500 525,900 9,099,700 8,488,300 611,400 11,840,500 11,079,300 761,200 15,991,000 15,144,000 847,000 20,795,800 19,799,100 996,700 26,638,100 25,561,200 1,076,900 30,559,800 29,414,400 1,145,400

% 97.5 96.8 96.7 95.6 97.3 97.4 95.5 93.3 92.5 92.6 93.1 93.3 93.6 94.7 95.2 96.0 96.3

Income (million Y) 1.587 1.866 2.269 2.337 2.404 3.176 3.859 4.629 5.824 6.954 8.866 11.246 15.222 21.121 27.866 37.879 48.348

Source: http://www.ljta.gov.cn/

Moreover, in addition to museification, there are huge impacts in terms of the community of people that were historically living the city. An interesting picture emerged from an ethnographic interview with a taxi driver, with several critical issues, first of all, related to day-to-day life of the Naxi minority (Interview with a taxi driver, female, about 30, Naxi, August 24, 2009; live translation by Ding Li): When I was young, my family used to live in the old town, Naxi was the only people that lived there and the small town was very calm. Our old house was near the Dragon Lake which is a clear lake located in the upper part of the town. It was not only the source of drinking water, but also the water supply for other activities of the Naxi. The use of water took place according to the rule: drinking water collection only early in the morning (once collected and taken home the drinking water is stored in a huge water vat); after 10:00 a.m. water is used for washing food for cooking, while 2:00 p.m. it’s washing time for clothes only. The schedule of water uses was agreed and implemented by all the Naxi in the town. After the out-comers came, we do not use the lake’s water anymore for drinking, because the water, though still clear and clean, is being used by the out-comers not according to the Naxi schedule and therefore not any more safe for drinking.

Above all, the impact was huge in terms of removing people (though on a voluntary base, through a market mechanism): After the company came and invested in the Shuhe ancient town, the city has become busier…Many people like me who have their old houses in the town, rent their houses to out-­ comers who do their business there. With the high income of the rent, we are able to build our own villas or better/bigger houses outside of the town…Most people prefer to live outside of the city in a new and better-equipped house…To build the new houses, we take loans from the bank, but with the high rent it is easy to pay back the loan…

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What is also interesting to note is the depth of the “new living standard” that was affecting the Naxi taxi driver and the radical lack of understanding of other possible alternatives: There are still Naxi families who still live in town: they have a more conservative mentality and do not want to change; however, their living standards have not been much improved… I am renting my old house to out-comers who sell clothes, now I live in my new house outside of the town. My husband and myself both drive taxi, me during the day, he through the night…Nowadays, one needs to use his head to improve his life. There are people who are lazy to change and to work more, they just stay in the old houses and remain as poor as before. People who are diligent and willing to use his head to catch opportunities deserve a better life.

Unesco (Paris) has also been critical over time, criticizing the commodification of the site and the lack of a “complete comprehensive conservation master plan, which should provide overarching principles for regional development and tourism control as well as conservation guidelines, together with the Site management plan” (Unesco 2007: 3). The carefully developed 2008 Mission Report underlines the “unnecessary imbalance” between “the high quality of the design and layout…and tourism development” (Unesco 2008: 16). The “authenticity of the site seems to be at risk … partly because of the change of the lifestyle of the local community and partly because of the commodification and/or commercialization of the Naxi and Donba culture…[Its] cultural identity risks losing its integrity if urgent steps are not taken” (Unesco 2008: 6). The overcrowded streets undermine the “authentic atmosphere of the Old Town,” while “traditional activities have been replaced by the tourism-related ones,” with “a serious drain and eventual loss of the cultural identity of the Old Town of Lijiang” (Unesco 2008: 18). One could argue that this Unesco document is already embedded with the HUL approach (the term “historical urban landscape” is explicitly used a couple of times in the document). Though the term “authenticity” has been challenged and discussed by a number of scholars, the imbalanced development of the Lijiang site is obvious. It is a major concern that the over-exploitation of the site will eventually lead to the destruction of the economy and the lifestyle of the local population. Moreover, noise pollution has become another serious issue destroying the atmosphere of the old town, with music and performance totally unrelated to the local culture: Since 2003, the Old Town Business Permission Certificate was issued to ban new business into the core area or large scale renovation for the business, and to ban unsympathetic commercial use such as audio-video shops, karaoke bars, internet cafés, and discos… (Unesco 2008: 18)

However, a sharp increase of the influx of the visitors has made the street conditions almost unmanageable, in peak season in particular, and some of the busiest commercial streets in Dayan have become too overcrowded to maintain the authentic atmosphere of the Old Town. Moreover, traditional activities on the streets and main squares have almost entirely been replaced by tourism-related ones. This is causing a serious drain on the cultural identity of the Old Town of Lijiang and will lead to its eventual loss. For example, until the 1980s, Sifangjie Square, the main

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square of Dayan Old Town, was a traditional trading venue for daily foodstuffs and commodities for local residents. It is now the main gathering place for tourists. (Unesco 2008). Lack of institutional coordination inside Dayan is clearly acknowledged by the same document: …the Mission recognized the great efforts and commitment displayed by all different stakeholders individually, but noted also the persisting lack of institutional coordination, accompanied by clear conservation policies/strategies and procedures guided by a single agreed vision for the property. This situation undermines the effective management and conservation of the World Heritage property, and … the development of an effective management system for the sustainable protection and development of the Old Town of Lijiang. (Unesco 2008: 20)

What emerges is a striking contradiction in the characterization of Dayan, which is well reflected in the different positions of Unesco Bangkok (2007) and Unesco Paris ( 2007; 2008), and further in the overarching conflict between physical authenticity and the destruction of social meanings; between the “hardware” and the “software,” in the words of du Cros (2006); or between the “artifact” and the “ritual,” in Smith’s (2010) terms. To such an already well known situation, this research adds some useful elements: first a contrasting position inside Unesco itself with Bangkok and Paris holding opposite positions in the same period and, second, despite the mission stating that “urgent action plans including the elimination of the karaoke bars and discos from the core zone of Dayan old town by 3 January 2008, had been fully implemented” (Unesco 2008: 20), in August 2009 the situation remained unchanged, as can be seen in a video clip depicting the continuing of discos, karaoke, and noise pollution that the Unesco Report assumed were going to be stopped (Zan 2011, available on Internet). Third, and most important, local administrators were questioned regarding their motivations, particularly why they allow developments that lead to noise pollution, for example, karaoke bars. One answer by an official at the city level was disarming: “It is the market that wants this” (interview with a city administrator, April 24, 2009). This indicates a sort of a bizarre form of market fundamentalism in a socialist country, which ignores that market force can and must be regulated. In contrast, the director of the Provincial Cultural Relics Bureau in Kunming shared the views of the critics (interview on 24.04.09). He expressed concern about over-commodification. “The problem is that we are lacking institutional ­mechanisms at the Province level, toward city administrators, there is no way to stop them, if not persuasion.” If that is true, Lijiang provides perhaps another example of the excess of decentralization that characterizes China (Zan 2014a, b; Guo et al. 2008).

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18.3.2  O  utsourcing to a Private Developer: Conservation and Exploitation in Shuhe A totally different solution can be found in Shuhe, the second location of the Lijiang World Heritage site. Given the total lack of municipal resources at the beginning of the process, management of the site was contracted to a nonlocal developer: The developer was chosen amongst the most important developers in Kunming, with a good reputation, with good cultural education, and well aware of regulations prior to investing. (interview with 24.04.09)

A rather unusual solution was suggested. They would not profit from commercial exploitation of the old town but rather create a new area with buildings in the style of the old town (see Fig. 18.1). In this area houses would be sold to private people, parking places would be provided, and attendance fees would be charged (visiting this area requires a separate ticket to the Dayan one). Also, some funding was provided to support traditional agricultural cultivation by local inhabitants. Since 2003, the company invested 500 million RMB while still making a profit with this original business model, including private investment in new construction and social activities (agriculture and old house conservation; income from house selling and tickets). Fig. 18.1 Boundary identification map of world cultural heritage. Shuhe region. (Source: Unesco 2008: 43)

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The new town is totally “fake” and largely “Disneyfied.” Unfortunately – one of the Unesco criticisms (Unesco 2008:8–9) – there is not a clear distinction between the new (fake) and the old part of the town. Interestingly, however, the great majority of visitors remain in the initial, new, part of the town, leaving the upper, old, part in peace, wherein the traditional social and economic activity seem to continue. Though additional investigation is needed, what emerges is almost the opposite of the contradiction in Dayan. A physical intervention of new buildings in an artificial old style is coupled with a greater degree of preservation of social meanings (the life of locals in the old part, including agricultural activity). However, relocation of original residents still seems to take place even in this case; according to the interviewed taxi driver, 1 year of rent allows residents to buy a house outside of the village.

18.4  Discussion Despite Lijiang case being one of the most studied in China (du Cros 2006: 206), and despite the need for further research findings in the overall area of Unesco sites in China (Wang and Zan 2011), something can nonetheless be addressed on this basis. The World Heritage site of the Old Town of Lijiang constitutes three separate cases, which each present very different solutions and results, both in conservation and exploitation. Any discussion should be able to take into account the internal division within the World Heritage site. In that context, these individual locations (here focusing on Dayan and Shuhe) face, along with the impact of mass tourism and the associated economic exploitation, very different threats, for example, the destruction of the social fabric and the exodus of 300,000 Naxi people and the transformation of the city into a tourist enclave in Dayan and parallel threats of removal of local people and the abandoning of traditional agricultural activity in Shuhe. Different solutions can be found, with almost opposite results in terms of physical and social conservation in Dayan and Shuhe. In Dayan well-designed physical preservation is coupled with the disruption of the social fabric, while in Shuhe the construction of a new mock old town has helped preserve social habits in the actual old town (Fig. 18.2). Differences between Dayan and Shuhe can also be seen in the different forms of exploitation. Shuhe seems to allow a process of segmentation, where visitors with only marginal interest can stop in the more entertainment-oriented part of the town, while more engaged visitors have a chance to appreciate the poetic, calm atmosphere of the old town. In the upper, authentic, part of Shuhe, the locals can also continue the basic functions of their lives. This segmentation is not possible in the mass tourism exploitation in Dayan. Moreover, a difference between short and long-­ term exploitation emerges. In Dayan, where they are not expecting a return visit, they have opted for a harvest strategy, compared to a more complex strategy of value generation in Shuhe.

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Fig. 18.2 Trade-off between conservation and exploitation: tangible vs intangible

Preservation Disruption

Social Impact

Physical impact Authenticity Reconstruction

Shuhe

Dayan

Though requiring further investigation, from an institutional point of view, Shuhe represents a potentially interesting example of outsourcing and involvement of private investors. For, in the words of the Province Director of the Cultural Relics Bureau, referring to an underlying institutional/ governance dilemma, “it is easier to deal with independent firms. They are less oriented to profit maximization than local administrators.”

18.5  Concluding Remarks On the basis of this research, some conclusions can be drawn with implications reaching beyond the Lijiang cases alone. This case illustrates a curious internal conflict within Unesco itself (the 2007 Unesco Bangkok award versus the criticism of the 2008 Unesco mission).This is perhaps a sign of an incomplete establishment of the HUL approach at that time even between various articulations of Unesco offices. This research also demonstrated that institutional settings represent a crucial issue that has been rarely addressed in heritage research and intervention (in general and in China). The trade-off between preservation and exploitation that in general characterizes heritage management has to be strongly linked to institutional settings and governance. Further, particularly in the case of World Heritage sites, whether institutional solutions should be considered a local issue or rather should be identified before (for instance, as a precondition of inscription) is a delicate, controversial, open issue. While imposing or calling for institutional solutions from outside might cause or aggravate political issues, the reference to local administrative traditions – an argument often used by national administrations to resist similar requests – has no link

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at all with broader identity processes. (Indeed this is far from being a Chinese problem only: see the over-fragmented situation of Ravenna, Italy, with eight separated Unesco sites: http://whc.unesco.org/en/statesparties/it.) The crucial importance of monitoring the impact of World Heritage inscription is illustrated in Dayan. The astonishing trend in visitor figures at Dayan remains unexplained, perhaps other determinants were/are in place, aside from the inscription itself. However, understanding the impacts of the inscription would help prevent similar mass development in the future. Solutions to related issues, such as defining carrying capacity, are not self-­evident and should be anticipated. The sooner these potential issues can be anticipated, the better. The explosion of visitor numbers, and how this increase in numbers has been managed, makes Lijiang a case of worst practice that can provide an example of how these issues should not be addressed. In addition, in terms of visitor numbers, the Dayan case seems to corroborate a tendency for polarization between poor and too-rich heritage sites: failing to survive the former and risking physical/social devastation the latter, ironically a choice between being killed by financial unsustainability and by profit maximization. The remarkable differences within the same World Heritage site (Lijiang) can be emphasized. The “creative solution” of Shuhe – faking the physical while protecting the social, in complete contrast with Dayan – is in itself interesting. To conclude on a less pessimistic note, recent years have seen some improvements in China, with new achievements in terms of monitoring. On October 9, 2015, following a secret service quality inspection on some of the most debated 5 A-grade scenic spots, the China National Tourism Administration gave a serious warning to the Yunnan Lijiang ancient scenic spot area while canceling 5 A-class scenic spots in Shanhaiguan, Qinhuangdao city in Hebei (http://www.echinatravel. com/china-trains/the-national-tourism-administration-processing-part-of-the-scenic-spots.html).

References Bandarin, F., & van Oers, R. (Eds.). (2014). Reconnecting the City: The Historic Urban Landscape Approach and the Future of Urban Heritage. Oxford: Wiley-Blackwell. Caddison, A. C. (2007). Disappearing world. London: Collins. du Cros, H. (2006). Managing visitor impacts at Lijiang, China. In A. Leask & A. Fyall (Eds.), Managing world heritage sites. Butterworth-Heinemann. Guo, Y., Zan, L., & Liu, S. (2008). The management of cultural heritage in China. General trends and a micro-focus on the Luoyang municipality. Egea, Milano (available as print-on-demand at www.egeaonline.it). McKann, C. F. (2001). The good, the bad and the ugly: observations and reflections on tourism development in Lijiang, China. In C. B. Tan, C. H. Cheung, & H. Yang (Eds.), Tourism, anthology and China. Bangkok: White Lotus Press. Smith, J.  (2010). Marrying the old with the new historic urban landscape. In R. van Oers, S. Haraguchi (Eds.) Managing historic cities, World heritage papers # 27.

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Unesco. (2007). Decision 32COM 7B.67  – Old Town of Lijiang (China) (C 811). http://whc. unesco.org/en/decisions/1674 Unesco. (2008) MISSION REPORT Old Town of Lijiang (China) (811), 10–19 January, WHC-­ 07/31.COM/7B. Unesco Bangkok. (2007). http://globalheritagefund.org/index.php/in_the_news/press_releases/ ghf_applauds_lijiang_ancient_town_receiving_2007_unesco_award. Van Oers, R. (2010). Managing cities and the historic urban landscape initiative – An introduction. In R. van Oers, & S. Haraguchi (Eds.). Managing historic cities (World heritage papers, 27). Paris: UNESCO World Heritage Centre. Wang, Y. (2007). Customized authenticity begins at home. Annals of Tourism Research, 34(3), 789–804. Wang, T., & Zan, L. (2011). Management and presentation of Chinese sites for Unesco World Heritage List. Facilities, 29(7/8), 313–325. Yamamura, T. (2004). Authenticity, ethnicity and social transformation at World Heritage Sites: Tourism, retailing and cultural change in Lijiang, China. In D. Hall (Ed.), Tourism and transition, governance, transformation and development. Oxford: CABI Pub. Zan, L. (2011). Preservation and exploitation. Lijiang old town, China. http://www.youtube.com/ watch?v=mnVYVzY6U3U Zan, L. (2014a). Cultural heritage in China between policies, development, professional discourse and the issue of managing. Public Archaeology Journal, 13(1–3), 99–112. Zan, L. (2014b). New approaches to heritage administration in China. In C.  Smith (Ed.), Encyclopaedia of global archaeology: Cultural heritage management section. New  York: Springer.

Chapter 19

Managing the Global Heritage City of Mexico City: Adapting the HUL Approach to the Globalised Urban Context Deniz Ikiz Kaya

Abstract  This chapter explores the complexities of adapting the HUL approach to the context of global heritage cities through the analysis of Mexico City, assessing its existing urban heritage planning and management systems and identifying effective policies and tools for the implementation of the toolkit addressed in the Historic Urban Landscape (HUL) Recommendation. The assessment of this case leads to the identification of complexities and analysis of best tools adopted by different stakeholders to cope with the management challenges. In parallel with the HUL toolkit, these specific instruments and strategies include the adoption of an integral management plan that conducts vulnerability assessment and strengthens the capacities of relevant parties to execute programmes, the establishment of innovative partnership models and grassroots initiatives as an effective community engagement tool that brings together voluntary groups, experts and local administrative bodies, along with the assignment of a site management unit and a local peripheral body to serve as a catalyst and enhance better communication among stakeholders. Focusing specifically on Mexico City, this chapter intends to make an original contribution to literature by introducing the size, scope and complexities of global cities to the management of historic urban landscape discourse. Furthermore, it defines a new perspective for the adaptation of the HUL approach to the globalised urban context and tests the feasibility and effectiveness of the tools developed in the Recommendation. Keywords  Global heritage city · Historic urban landscape · Historic Centre of Mexico City · Community engagement · Grassroots heritage · Integral management plan

D. Ikiz Kaya (*) Ozyegin University, Istanbul, Turkey e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_19

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19.1  Introduction: Global Heritage Cities This chapter focuses on the management of historic urban landscapes located within global cities, referred as global heritage cities hereafter, which encounter high levels of administrative, economic and social complexities. In this rapidly globalising world, the binary approach of managing change in historic cities while promoting their sustainable development and transmission to future generations has been a daunting task. It is further complicated for global heritage cities by a number of issues: engagement with global actors in addition to a broad range of stakeholders in the decision-making processes; limitations of the existing legislative and administrative frameworks to meet the competing demands of all relevant parties; and increasing development pressures that create a dilemma for local administrative bodies struggling to find a balance between global principles of urban conservation while securing adequate funding to ensure development all contribute to their unique management challenges. Now acknowledged as a leverage for more inclusive and resilient cities as part of the UN Sustainable Development Goals, cultural heritage plays a crucial role as a driver of sustainable development. The development pressures inherent in global cities thus bring out the needs and complexities necessary to be addressed in different fronts, not just advocating developments to cope with the requests for more housing and infrastructure but also to improve the quality of living, which is strongly rooted in their identity and manifested in their heritage attributes. In this contemporary era of globalisation, the traditional planning and heritage discourses fail to provide a convincing framework for values and roles attributed to historic cities by modern societies while addressing the interests of global actors, as well as governmental bodies, citizens and users. The current literature is mostly focused on different aspects of urban heritage and development, which still regard heritage protection, urban development, economic gains and goals of sustainable development as different spheres of knowledge. Hence, the existing theoretical framework and practices have emphasised the urge for a more inclusive and integrated approach. The recent policy documents and supporting toolkits promote such an ethical, inclusive and holistic approach that intend to create a stronger basis for the sustainable development of historic urban landscapes. The Historic Urban Landscape (HUL) Recommendation presents a wide range of new interdisciplinary tools including policies and actions organised under four categories to be adapted to suit each local context (UNESCO  WHC 2011). Acting as a soft law, the Recommendation stimulates the state parties and local governments to integrate this approach into their existing policies, management tools and regulatory systems on a voluntary basis (Bandarin and Van Oers 2015). Hence, its implementation depends on the commitment of the local administrators to adapt their existing management and planning frameworks in accordance with the toolkits and action plans provided. The initial studies and pilot programmes concerned with the implementation of the HUL approach to local contexts contributed to the identification of gaps in the

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existing management strategies and fostered the development of additional actions by international intergovernmental bodies through technical and financial assistance packages, educational tools and formation of a monitoring process. A number of pilot cities were then selected from around the world, which demonstrated how a variety of HUL tools were implemented in different local contexts and contributed to building of a cooperative network for historic urban landscapes (Bruin et  al. 2013; De Rosa and Di Palma 2013; Van Oers and Haraguchi 2013; Bennink et al. 2013; Buckley et al. 2016; Siguenca Avila and Rey Perez 2016). Considering the range of these pilot cities worldwide, it is observed that cities of small or medium scale with less stakeholders being involved in the management processes are more willing to engage with international intergovernmental organisations and advisory teams in order to test the adaptability of this approach into their existing national and local frameworks. These case studies have also clearly demonstrated that practices vary considerably based on the size and geo-cultural background of the sites (Van Oers and Pereira Roders 2013; UNESCO 2013; Bandarin and Van Oers 2015; WHITRAP 2016). With the existence of a wide variety of theories, definitions and studies concerned with urban development and heritage management practices, complemented with policies, laws and regulations already available, it is essential to critically reflect, redevelop and reiterate the existing theoretical and practical understanding of the processes and actors engaged in the decision-making of historic cities in the realm of globalisation and urban development. Referring to the limits of these existing frameworks and practices, hence, there has been a compelling need for a more thorough conceptualisation that positions urban conservation within the overall urban management process specific for global heritage cities and testing of its wider applicability in globalised urban practices. In this context, this chapter explores the complexities of adapting the HUL approach to the context of global heritage cities through a case study analysis, to assessing its existing urban heritage planning and management systems and identifying effective policies and tools for the implementation of the toolkit addressed in the Recommendation. This aim is achieved through the following objectives: the analysis of the World Heritage Site (WHS) and its state of conservation based on issues of safeguarding of its integrity and authenticity; the assessment of its existing urban governance, legislative and planning frameworks; the mapping out of its decision-­making mechanism and processes; and the identification of its effective management instruments and practices in association with the six-step HUL toolkit. For this purpose, the multilayered historic urban landscape of the global city of Mexico City is selected as the case study. Its selection is based on a set of criteria including its multilayered historical urban morphology, its designation as a megacity with population size exceeding 10 million, its position in the globalised urban system and the existence of some sort of effective management mechanism. For the case study analysis, qualitative data is collected through a critical literature review drawn on primary, secondary sources of data and mass media outputs and the conduct of focused interviews with the representatives of key decision-makers

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p­ articipating in the management system at local, metropolitan, national and international stages. The analysis of the gathered qualitative data leads to identification of complexities and the evaluation of tools adopted by different stakeholders to counter the management challenges.

19.2  M  exico City in Context: Complexities, Framework and Governance 19.2.1  The Site Expanded vastly in the second half of the twentieth century as a result of neoliberal economic development and rapid urbanisation trends, Mexico City is now one of the largest global cities. Its rapidly growing population, over 21 million at urban agglomeration level, and presence of risks of multiple natural hazards, including earthquakes, flooding and landslides, in addition to various socio-economic, political and cultural factors emerging from the challenges of striking a balance between global positioning strategies and creating a liveable, equitable and sustainable habitat for a growing number of citizens, generate a high number of complexities in regard to its urban administration and sustainable development. All these factors overwhelm the management system of this historic urban landscape. The Historic Centre of Mexico City was inscribed on the UNESCO World Heritage List in 1987 jointly with the southern lakeside colonial town of Xochimilco as a serial cultural property. The urban morphology of the Historic Centre embracing the built heritage of three consecutive civilisations at the heart of the city constitutes the tangible cultural assets of the city endorsed for its worldwide promotion within the global urban network. The reason behind this dual inscription, as explained in the advisory body evaluation, was that the Historic Centre could be designated as a WHS only if it was inscribed together with Xochimilco based on the following assessment: “It is difficult to formulate a nomination concerning the monuments, group of buildings or sites that are located at the heart of the major contemporary city whose origins and growth they most fully and clearly illustrate. In the case of the capital of Mexico, it is truly a case of attempting the impossible (ICOMOS 1987)”. This statement clearly demonstrates the earlier limitations of the previous lexicon and doctrinal documents to cope with the challenges of managing change in complex global heritage cities, prior to the adoption of the HUL approach, which embodies a broader and holistic landscape perspective. As Fig. 19.1 demonstrates, the territorial range of the Historic Centre WHS coincides with the occupied area as designated by the presidential decree in the nineteenth century. It was designated as a Historic Monuments Zone in 1980 by the federal governmental body and was subdivided into two perimeters (A and B): the Perimeter A stands for the multilayered historic core where the majority of the buildings with historical and cultural values are concentrated, and Perimeter B

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Fig. 19.1  Protection zones A and B depicted in the map of Historic Centre. (Source: Comprehensive Management Plan of Historic Centre of Mexico City, 2011–2016)

forms the external borders of the Historic Centre where the late nineteenth- and twentieth-century modern buildings are located. Currently, Perimeter A defines the limits of the World Heritage Site inscribed on the World Heritage List in 1987, and Perimeter B stands for the buffer zone surrounding the designated site. Alba Gonzales et al. (2017) point out that this delineation of the central area based on the legal protection status of the built heritage resulted in a geographic fragmentation disregarding the tangible heritage assets and values attributed to the site. Although the Historic Centre of Mexico City has been capable of preserving and sustaining the outstanding universal values attributed to the site, there have been serious conservation challenges, especially in the second half of the twentieth century. Keeping in mind that the historical city was built on shifting silt and mud of the former lakebed in an area of continuous seismic activity and in close proximity to two active volcanoes, the historic urban area is constantly threatened by natural disasters and catastrophes. In addition to these natural risks, the Historic Centre has been under the threat of numerous socio-economic, urban and cultural elements, which can be summarised as follows: urban and economic development pressures, deterioration and decay of the historic built fabric, congestion and environmental pollution, lack of adequate infrastructure and lack of sufficient human and financial resources. Additionally, it encountered a substantial population loss since the second half of the twentieth century, despite being a popular visiting site at the core of the city. In response to such threats and the substantial decline of the Historic Centre

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since the 1950s, specific actions taken for the revitalisation of the historic urban quarter and the restoration of the built heritage were initiated by the local authorities in the late twentieth century. These series of urban revitalisation projects and the establishment of grassroots initiatives and public-private partnerships specific for the Historic Centre encouraged investment and development while fostering regeneration and liveability for the local community. These particular preservation actions and partnership models are presented in more detail in Sect. 3 concerning normative management tools.

19.2.2  Planning and Legislative Frameworks The legislative framework concerning the designation, protection and management of cultural heritage in Mexico relies on a periodic categorisation that groups historic sites and properties in accordance to their historical periods. The authorising legislation enacted in 1980 designates cultural heritage under three categories based on temporal features: archaeological heritage for sites originating from the origins of human occupation until the Spanish conquest in 1521; historical heritage for properties dating from the conquest until the end of the nineteenth century; and artistic heritage for assets belonging to the twentieth or twenty-first century (López 2007). In fact, the main distinction between the responsibility delineations of two national administrative bodies responsible for cultural heritage, the National Institute of Anthropology and History (INAH) and the National Institute of Fine Arts (INBA), depends on a similar periodic division that separates heritage properties as historical or artistic assets. This legal delimitation relying on a timeframe was criticised by some experts for giving priority to one period over another by means of heritage representation and interpretation (Escalante Carrillo 2013). The same legislative act is also in effect for the regulation of cultural heritage through the designation of protected areas by the president and their denomination of Monuments Zone, either as archaeological, historic or artistic properties, accordingly (Guzman 2011). Bearing in mind that there is no planning legislation specified for the safeguarding of World Heritage Sites, the Historic Centre of Mexico City is under the statutory protection of the national preservation legislation. The site was designated as a Historic Monuments Zone in 1980, which brings to fore its colonial heritage over the pre-Hispanic and consecutive periods.

19.2.3  Governance and Decision-Making The Mexican governance structure is a federal system consisting of 31 states and a single federal district. Individually, Mexico City includes the federal district, which is an exceptional political entity established in 1928 with a unique administrative status. It is branched into a central department consisting of 16

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political-administrative units called delegaciones. In January 2016, an amendment to the national constitution officially changed the capital’s status from a federal district to an autonomous entity, simply known as Mexico City. This new entity takes on some of the administrative power and responsibilities of the rest of the states, such as having its own constitution and congress, and the delegaciones will act as municipalities with their own elected mayors (Scruggs 2017). The complex spatial configuration and fragmentary nature of the urban administrative system further complicate the governance of the global city. Processes of decentralisation and democratisation have altered the urban governance structure in Mexico through grassroots empowerment that encourages the participation of private and voluntary sectors and the promotion of entrepreneurship in policy goals (Guarneros-Meza 2009). Since the first federal elections held in 1997 (Wirth 2006), a new federal government system has also promoted multi-actor partnerships through encouragement of public participation in decision-making and collaboration among public, private and voluntary sectors in order to foster national and local economic development with the support of international organisations such as the UN, World Bank and OECD.  The rise in voluntary associations also stimulated an increased involvement of grassroots-oriented groups relying on neighbourhood and/or community movements in the local decision-making mechanisms. The private sector, on the other hand, has mostly appeared in partnership arrangements, either through involvement in the government investment planning committees, through joint ventures with local governments in land development projects, or as contractors in public works (Davey et  al. 1996). The participation of wealthy business groups in such partnerships has also had a great impact on their effectiveness. In parallel with the multifaceted urban governance structure, a highly complex decision-making mechanism operates in the Historic Centre of Mexico City that involves the participation of a broad range of international, national, federal and local stakeholders in the management process at different stages. The conflicting priorities and overlapping functionalities of certain actors, paired with the unique fragmented nature of national and federal government, complicate the effective operation of the management structure. The following images (Figs. 19.2 and 19.3) exhibit the stakeholders actively involved in the decision-making mechanism and depict the direct interactions among actors of different levels. The main international decision-maker is the UNESCO World Heritage Centre. Taking into account its sanction power and its direct interactions with the intergovernmental agencies, and a number of national and local agents including INAH, it has a dominant role in the decision-making even though its distance to the actual operations makes it a rather less influential actor. At the national level, INAH dominates the decision-making processes based on its highly institutionalised structure and its technical specialisation in conservation (Guarneros-Meza 2009). It is the national governmental body with the highest rate of interactions with stakeholders from varying positions, whereas other national actors have limited direct involvement with the site. Then at the regional level, the federal government is responsible for the regulation and administration of the territory. It has intervened in the

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Fig. 19.2  The decision-making mechanism operating at the Historic Centre

decision-­making of urban revitalisation programmes for the Historic Centre through the establishment of public-private partnerships and provision of financial resources, which has sustained the governmental centralisation of power (Guarneros-Meza 2009). Thus, cultural policy-making has become more permeable to citizen participation. In response to the lack of effective coordination between diverse parties, the Historic Centre Authority (Autoridad – AUC) was established in 2007 with the aim

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Fig. 19.3  The interactions among stakeholders

of coordinating and managing the decision-making processes through the involvement of all the relevant actors. According to the social network analysis based on the frequency of interactions among stakeholders (Fig.  19.3), the most prominent decision-­maker is this Authority that acts as a catalyst for maintaining dialogue. In partnership with the other autonomous governmental agent, the Historic Centre Trust, both of these entities are responsible for all the projects employed at the Historic Centre. While the Authority is in charge of the preparation and execution of the management plan and associated projects, the Trust operates the decisions given by the Authority and formulates communication and action mechanisms. The decision-­making mechanism for Mexico City WHS thus manifests a bottom-up

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approach that portrays the local administrative units including the Authority and the Trust as the most prominent actors that are actively engaged with most of the stakeholders in the management process. The decentralisation and democratisation processes mediate the administrative powers at a local level. In parallel, participatory, consultative and transparent mechanisms empower grassroots and civic groups in decision-making while allowing the establishment of innovative partnership models.

19.3  Normative Tools for HUL Adaptation The national, federal and local governmental bodies have developed certain strategies and instruments that have been effective in coping with the above-outlined challenges. Although most of these actions were taken prior to the adoption of the HUL Recommendation, they are in accordance with the six-step toolkit presented for the adaptation of the HUL approach at local contexts. Moreover, the measures taken in the aftermath have been more consciously driven towards a holistic landscape approach even though a HUL definition is not yet officially integrated into the existing legislative and planning frameworks. In this context, this section introduces two main management tools, the integral management plan for the Historic Centre and the innovative partnership models that contribute to the elaboration of the HUL approach by means of documentation, assessment and mapping, community engagement and consensus building.

19.3.1  The Integral Management Plan In response to the global exhort from the World Heritage Committee for the enforcement of some sort of effective management systems for WHS in general, a new inclusive management model was implemented for the Historic Centre of Mexico City following a series of urban regeneration interventions, activated by the Recovery and Public Commerce Programmes, that respond to these demands and empower the civil society for participation. The federal government collaborated with the Historic Centre Authority and the Historic Centre Trust to commit to the coordination and management planning. The Authority was in fact created for the sole purpose of coordination and management of the heritage site and to execute and monitor the management plan together with the FCH.  The planning process engaged various other actors participating at different stages, including the governmental entities, independent local governmental parties, private actors, universities and experts, and it was adopted in 2011. The management plan sets a framework of principles and guidelines to promote the protection and revitalisation of the historic core and to support its sustainable development. Its objectives are listed as follows: to protect and maintain the

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o­ utstanding universal values attributed to the site; to preserve both the tangible and intangible heritage attributes of the centre; to foster social, economic and urban development; to generate participatory mechanisms; and to build tools for evaluation and monitoring (APDF 2011). Its medium- and long-term strategy guidelines include the designation of action zones for urban and economic revitalisation, preparation of an inventory of its listed historic buildings and sites, the execution of urban rehabilitation and housing recovery projects, the vulnerability assessment of the built heritage and identification of properties at risk, reordering of urban mobility and improvement of connectivity between various means of public transportation and actions to improve the quality of life through citizen training and participatory planning workshops (APDF 2011). The integral management plan thus provides tools to designate the significance of the site and determine the values attributed to it, to document and map its built heritage, to assess vulnerability of these attributes and risk-preparedness and to prioritise programmes of urban rehabilitation and housing recovery. It also serves as a basis for cooperation between national, federal and local stakeholders. Its operating schemes involve participation of agents from the public and private sectors and civil society and enactment of institutional agreements between federal premises for preservation issues and autonomous local government organs. In this regard, this plan is conceived as an effective management tool that facilitates the implementation of the HUL approach in its specific context. It is permeable to regular modifications to meet the constantly changing circumstances and to adapt the broader landscape perspective. Its flexibility is further affirmed by the interview subjects representing numerous decision-makers based on its mediator role to facilitate inter-institutional coordination and its ability to strengthen the capacities of relevant parties to execute the strategies and programmes indicated within. The success of the plan to cope with the management complexities of an urban landscape under constant transformation also relied on the policy of permanent action adopted by the plan, as it was asserted by a UNAM scholar interviewed. The Authority representative further highlighted its pioneering role within the Latin America and Caribbean region for elaborating management strategies and instruments adequate for complex historic city centres.

19.3.2  T  he Partnership Models, Community Engagement and Consensus Building In the past few decades, a consensus has grown based on the necessity to engage the private sector in urban regeneration efforts, notably property owners and investors, in order to relieve pressure on public finances. Innovative mechanisms for the rehabilitation of the urban centre were developed through financial incentives and agreements with international institutions that kindled an interest among private partners, including global corporations and commercial actors, in cultural heritage projects

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when paired with a favourable legislation supporting the use of tax deduction. Despite being previously relegated to the realm of experts, urban heritage issues have also been gradually appropriated by the members of civil society, in parallel with the democratisation processes. Residents and local community groups have increasingly become aware of the connection between quality of life and urban heritage, and a wide network of NGOs has emerged in favour of improved urban environments that act as channels of communication to participate in social and political networks. The initial regeneration partnership for the Historic Centre was fostered through the creation of the Historic Centre Trust (FCH) in 1990. Originally a private institution, it was delegated to manage and administer the initial urban rehabilitation projects and operated small-scale projects from monetary funds, donations and investments of the private sector. Its board members consisted of representatives of the federal and city government, private actors and civil society organisations, thus manifesting the PPP collaboration. It was then reactivated in 2002 as a federal governmental body fund in order to coordinate the activities undertaken by numerous public institutions and private investors. As the subdirector of FCH explained during the interview, the Trust functions as a decentralised entity of the government that primarily focuses on the operation of practical activities in the Historic Centre. Furthermore, they have established specific platforms of dialogue and cooperation for the society to be involved in the decisions given. The Director General of FCH stated that public participation is ensured through regular meetings with neighbourhood councils (la junta de vecinos) that represent the diverse range of community living and working in the Historic Centre. He also indicated that FCH organises formative courses and distributes publications to raise awareness among citizens. The second urban revitalisation PPP was constituted with the formation of a Consultative Council in 2001 to coordinate various stakeholders involved in the rehabilitation of the Historic Centre and to promote the rescue and preservation of the site in response to the concerns of abandonment and derelict. This Council was composed of 125 members including representatives of various social groups, along with an executive committee composed of three ministers of the federal government, three federal secretaries and four representatives of the civil society that included a well-known journalist, a historian, the Archbishop of the Catholic Church and a global finance figure and investor, Carlos Slim. This initiative was widely criticised by numerous social groups as being dominated by business elites and transnational real estate interests mainly due to his direct involvement (Crossa 2009). Slim founded the Historic Centre Foundation in 2002, a non-profit organisation that aims to promote the revitalisation and integrated conservation of the Historic Centre. The actions undertaken by the Foundation have been the acquisition of vacant historic buildings and their renovation for the interest of middle- and upper-­ class groups, collaboration in projects for the improvement of the infrastructure, amelioration of the public health and education services and the support for cultural and artistic events organised at the buildings renovated by the Foundation. At this point, it is important to note that the Foundation financially supported the ­restoration of only the buildings it acquired, which covered only 5% of the total budget of the

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Recovery Programme, whereas the federal government had been responsible for the 90% of the financial support. The last established urban regeneration PPP was the Historic Centre Authority, assigned by the city government in 2007. Bearing in mind the absence of a coordination body for the Historic Centre to implement of the Popular Commerce and the Recovery Programmes, the Authority was created to coordinate the projects, policies and strategies developed for the integral management of the Historic Centre. The positions of the relevant governmental bodies were reformulated after the establishment of the Authority, and the FCH was assigned as a branch responsible for providing financial support and realising the decisions of the Authority. The former subdirector of the Fideicomiso defined this relationship with the following expression, “Authority is the mind, whereas the FCM makes up the limbs” (2012). In conclusion, these innovative public-private partnership models enforced the enactment of a pluralist and participatory management system for the Historic Centre. The measures taken by the local management units to engage the local community groups in the decision-making process through regularly set meetings are also noteworthy efforts to enhance democratic means of participation. These participatory strategies formulated for citizens were also acknowledged as an affirmative action for effective urban heritage management  by the World Heritage Centre. Hence, these partnership models and funding mechanisms have been imperative for building a consensus through participatory planning and grassroots  community engagement in global heritage management.

19.4  Conclusion In the contemporary globalisation era, the management of historic cities, with special attention to their sustainable development, is “one of the most daunting tasks” of the urban century (Bandarin and  Van Oers 2015: 44). The management challenges are especially intensified for global heritage cities where the international competition to attract investments and tourists, along with internal tensions, is most profound. The articulation as a global city has a catalytic effect on urban and economic development pressures, and the rise in financial investments is not always sympathetic with the historic urban setting. Furthermore, the limitations of the existing administrative, legislative and planning structures, inefficient policies and management tools and the participation of a broad range of stakeholders in the decision-making process bring to the fore complexities for the management of the global heritage cities. In this respect, conducting a case study of a management process as it unfolds in a complex World Heritage Site provides the opportunity to identify the management complexities for such cities and to assess the effectiveness of the specific strategies and instruments in accordance with the HUL toolkit. Mexico City is one of the most populous megacities on Earth as a result of rapid urban expansion and population growth in the last few decades. The protection and effective management of this global heritage city remains a challenge in

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the presence of economic and urban development pressures materialised in terms of large-­scale urban infrastructure and regeneration projects implemented in the Historic Centre. In this context, the study of the Mexico City WHS enables the examination of both effective and ineffective strategies, policies and instruments that actually underpin the distinctiveness of each historic urban landscape. The limitations of the existing legislative and planning frameworks have a direct influence on the confinements to an integrated management approach. The fragmentary nature of the protection policy in Mexico fails to address historic cities and world heritage sites as coherent entities. The periodic designation of heritage sites and preference of one period over another also affects the protection criteria for multilayered historic landscapes, such as the Historic Centre. Escalante Carrillo (2013) points out the lack of management strategies specific for the pre-Hispanic archaeological heritage within the city in his dissertation. World Heritage designation, moreover, carries no specific formal status in terms of designation, organisational management and financial support. For a more holistic approach that embraces the multilevelled cultural, natural and intangible heritage assets associated with the Historic Centre, management strategies and policies that conceive the city as a Historic Urban Landscape should be adopted. The integral management plan, in this regard, is considered as an appropriate tool to guide the daily decision-making process with regard to the holistic management of the World Heritage property. The Management Plan for the Historic Centre recognises the significance of the Templo Mayor and other pre-Hispanic archaeological remains in enhancing the development of protection policies for the whole site. Another result to be derived from this case study is that the multifaceted and fragmentary nature of the urban administration and governance structures are directly manifested in the decision-making mechanism for the heritage site. The local government is formulated in a two-tier basis where a single corporate and elected level of municipality is in function with delegated smaller territorial units performing as delegations. This decentralisation process empowers the local administrative units where the Historic Centre Authority plays a mediator role with new bonds of reciprocity engaging all the relevant parties in dialogue about their shared objectives concerning the heritage site. Its effectiveness resides in its ability to foster better communication and collaboration among all the concerned stakeholders, including the local community groups. The establishment and enhancement of dialogue-­structured activities and participatory mechanisms that embrace all the relevant stakeholders are imperative for effective management. The representatives of the civil society have managed to express their concerns directly to the relevant authority members through regularly scheduled meetings with the local management units. These democratic means of communication created by the Historic Centre Trust have enabled the voices of the community to be heard and, thus, acted upon. It is clearly associated with the high rate of public participation in the management structure engendered after the democratisation of the federal district. In addition, innovative partnership models have been employed in the Historic Centre where voluntary groups, experts and local administrative bodies collaborate, using public and private grants to enforce urban rehabilitation and regeneration. The

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direct involvement of a global investor, both personally and through the Foundation, in the decision-making mechanism demonstrates the exceptional multifaceted management structures operating in global heritage cities. Particularly in global cities where global actors and business investors express an interest in heritage sites, their engagement in preservation actions through public-private partnerships has been regarded as a means of creating financial revenues for their promotion. At this point, it is important to note that intensive revitalisation acts might result in social gentrification and disturbance of the heterogeneous socio-economic character of historic environments. In the case of Mexico City, the regeneration practices of the Foundation cover only a minor proportion of the total WH territory even though his contributions have been highly promoted by the mass media. In sum, the findings of this study evidence that the implementation of a participatory and communicative approach is fundamental for the creation of a new common ground for dialogue and joint action engaging various interested parties involved at different stages. The unique public-private partnership models and grassroots initiatives established for the Historic Centre are specific examples that empower both the global and local actors in a bottom-up management structure. Furthermore, the integral management plan, embracing the Historic Centre as a whole, comes out as a crucial normative tool that conducts vulnerability assessment and strengthens the capacities of relevant parties to execute programmes indicated within, which are imperative for the effective management of the historic urban landscape. It can be concluded that the management strategies and tools operating for the Mexico City WHS have been effective in promoting community engagement and building a consensus among all the interested parties. The assessment of the Mexico City case demonstrates the management complexities specific for historic urban landscapes of global significance and introduces the normative management tools adopted to cope with these challenges in accordance with the broader landscape approach. As more global cities adapt to this holistic context and more cases in varying scales and geospatial distribution are investigated, the HUL approach provides a more elaborated road map for local and national governments that guide the better integrated and inclusive management of global heritage cities.

References Administración Pública del Distrito Federal. (2011). El plan integral de manejo del Centro Histórico de la Ciudad de México. Gaceta oficial del Distrito Federal 1162. Alba Gonzales, M., Loubier, J.-C., & Herrera, L. (2017). Collective memories and social representations of Mexico City Historic Centre. Lausanne: SNIS. Bandarin, F., & Van Oers, R. (2015). Reconnecting the city: The historic urban landscape approach and the future of urban heritage. New York: John Wiley & Sons. Bennink, R. H. J., Bruin, J. A. C., Veldpaus, L., & Pereira Roders, A. (2013). Knowledge is power: policy analysis of the World Heritage property of Edinburgh. SPANDREL Journal of SPA: New Dimensions in Research of Environments for Living, 4(7), 27–35.

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Bruin, J. A. C., Bennink, R. H. J., Veldpaus, L., et al. (2013). Knowledge is power: Monitoring the world heritage site of Amsterdam, a policy analysis. In M. Biriani (Ed.), Proceedings of built heritage 2013-monitoring, conservation, management. Milano: Politecnico di Milano. Buckley, K., Cooke, S., & Fayad, S. (2016). Using the historic urban landscape to reimagine Ballarat: the local context. In S.  Labadi & W.  Logan (Eds.), Urban heritage, development and sustainability: International frameworks, national and local governance (pp.  93–113). Abingdon: Routledge. Crossa, V. (2009). Resisting the entrepreneurial city: Street vendors’ struggle in Mexico City’s Historic Center. International Journal of Urban and Regional Research, 33(1), 43–63. Davey, K., Batley, R., Devas, N., Norris, M., & Pasteur, D. (1996). Urban management: The challenge of growth. Aldershot: Avebury. De Rosa, F., & Di Palma, M. (2013). Historic urban landscape approach and port cities regeneration: Naples between identity and outlook. Sustainability, 5(10), 4268–4287. Escalante Carrillo, E. A. (2013). The impact of landscape interpretation on the management of archaeological sites in modern urban contexts: A case study of pre-Hispanic Mexico City. UCL MA Dissertation, London. Guarneros-Meza, V. (2009). Mexican urban governance: How old and new institutions coexist and interact. International Journal of Urban and Regional Research, 33(2), 463–482. Guzman, P. (2011). Las zonas de amortiguamiento, instrumentos para la conservación y gestión del Patrimonio Mundial. Hereditas, 15–16, 42–49. ICOMOS. (1987). Advisory body evaluation: World Heritage List No. 412. Available via http:// whc.unesco.org/archive/advisory_body_evaluation412.pdf. Cited 28 May 2013. López, L. A. (2007). Ciudad excavada: veinte años de arqueología de salvamento en la Ciudad de México y su área metropolitana. Mexico City: INAH. Scruggs, G. (2017). The people power behind Mexico City’s new constitution. Available via http:// citiscope.org/story/2017/people-power-behind-mexico-citys-new-constitution. Cited 18 Apr 2017. Siguenca Avila, M. E., & Rey Perez, J. (2016). Heritage values protection, from the monument to the urban dimension. Case study: the historic centre of Santa Ana de los Rios de Cuenca, Ecuador. The Historic Environment: Policy and Practice, 7(2–3), 164–176. UNESCO WHC. (2011). Recommendation on the historic urban landscape. Available via http:// whc.unesco.org/en/convention/. Cited 14 Jan 2012. UNESCO. (2013). New life for historic cities: The historic urban landscape approach explained. Paris: UNESCO. Van Oers, R., & Haraguchi, S. (2013). Swahili historic urban landscapes. Paris: UNESCO. Van Oers, R., & Pereira Roders, A. (2013). Road map for application of the HUL approach in China. Journal of Cultural Heritage Management and Sustainable Development, 3(1), 4–17. WHITRAP. (2016). The HUL guidebook: Managing heritage in dynamic and constantly changing urban environments. Available via http://www.historicurbanlandscape.com. Cited 18 June 2017. Wirth, C.  J. (2006). Democracy in Mexico City: The impacts of structural reforms. Mexican Studies/Estudios Mexicanos, 22(1), 153–174.

Chapter 20

At the Confluence of Geography, Society and History: Montreal and the 2011 UNESCO Recommendation on Historic Urban Landscape Dinu Bumbaru C.M.

Abstract  Founded in 1642 by French Catholics on First Nations (indigenous) land, the utopian settlement of Ville-Marie has become the modern metropolis of Montreal. It was shaped by the geography of its site, the diverse nature and cultures of its people and its history as a place of confluence and trade with the river (Saint-­ Laurent) and the mountain (Mont Royal) as its main landmarks. Although Canada is a State Party to the World Heritage Convention, the Quebec Legislature acknowledged ICOMOS charters in its cultural development policy (1993) and the City of Montreal has adopted in 1992 an Urban Master Plan focusing on the urban form and architecture, the 2011 UNESCO Recommendation on the Historic Urban Landscape is seldom mentioned. Yet, decades of civic and professional reflections and debates on the city’s physical and social heritage are consistent with the 2011 UNESCO Recommendation’s concepts and processes. The long-standing attention to the iconic presence of Mont Royal or some symbolic institutions and landmarks translated into urban planning policies and tools addressing views and public spaces. Recognition of Montreal’s traditional urban habitat architecture and neighbourhood structure is reflected in the formal planning tools as well as in community structures like “tables de concertation”. And the citizen nature of the heritage debate in Montreal since the 1970s brought an integrated Heritage Urbanism Consultation approach echoing the 2011 UNESCO Recommendation. In 2018, the future of the 2011 UNESCO Recommendation in Canada and Quebec rests mostly with local and metropolitan levels at a time of major infrastructure and economic challenges and the re-humanisation of the industrial city. The history of urban heritage debates and growing devolution on metropolitan areas like

D. Bumbaru C.M. (*) Fondation Héritage Montréal, Montreal, Canada e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_20

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Montreal offers an opportunity for the 2011 UNESCO Recommendation to accompany authorities and civil society in keeping and shaping the city. Keywords  Citizen participation · Heritage views · Civic commons · Cultural diversity · Urban identity · Metropolitan landscape · Public participation · Mont Royal · F. L. Olmsted · Monument of nature

20.1  Introduction How does a recently coined phrase like «Historic Urban Landscape» connect with a long-standing civic concern for the relation between land, form and culture in a living city? This question explains why the concept of Historic Urban Landscape is able to inspire with a sense of timeliness in an age of rapid urbanisation and recognition that the human dimensions of places are not only a matter of design and, at the same time confuse in a context of multiple, even competing, professional or academic disciplines and their respective terminologies. This question is practical and relevant in the case of Montreal where a civic, academic and professional discussion on the urban form, its significance in cultural or collective identity terms and its heritage value have been active at least since the nineteenth century. This arises in particular from the site, the building traditions on which the city grew and the need to reconcile these with a growing metropolis of trade and industry.

20.2  The Case of Montreal Although it factually claims to have been founded by the French in 1642 as the mystic settlement of Ville-Marie, Montreal has the benefit of a more complex and diverse situation and existence. First, its geography is that of a 325-island inland archipelago or river delta at the confluence of a complex river system which served for millennia as the means of communication for the indigenous nations who inhabited and moved on the land long before Europeans came. Montreal was established on the largest island of this ensemble, at the foot of a 250-metre high hilly mass originating in an ancient magmatic intrusion in the sedimentary layers. The rivers are structured around a series of rapids which prevent navigation upstream, generate energy. They explain the strategic position of Montreal and its role in trade, industry and immigration, as a point of entry for oceanic transport. In terms of written history, Montreal first appeared when French explorer Jacques Cartier named the hill Mont Royal on the first recorded visit of Europeans to the site, in October 1535. He recorded that act in his log book along with the impression the mountain gave from its base and its summit. The log book did not record the name of that defining feature in the language of the Hochelagan people who met the French and guided them uphill. Whereas the mountain’s name has since appeared

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on maps and is still the official toponymical designation for this hill commonly called “la montagne” by the Montrealers, the name of the colonial settlement gradually evolved towards Montréal. Montreal society is a diverse one where traditions are in confluence with expression in the shape and habits of the city. Even the original city motto Concordia Salus and four-emblem shield – the beaver for the French Canadians (now replaced by the fleur-de-lys), the rose for the English, the thistle for the Scots and the shamrock for the Irish – designed in 1833 by the first mayor, Jacques Viger, illustrates the concept of unity and progress in diversity. The competition between Catholicism and Protestantism is reflected in the skyline through the presence of landmarks, steeples or institutions. Even the immigrant communities developed a sense of placing their landmarks, often their religious or community centres, in the city fabric. Relation to neighbourhood, central authority or local institutions as well as the choice of building materials, like locally quarried greystone or sandstone imported from Scotland, and even the relationship to historical buildings or public spaces also reflect cultural traditions and background.

20.3  Some Pre-2011 HUL Occurrences in Montreal “Historic Urban Landscape” may have been formalised and officialised in 2011 by the UNESCO Recommendation, but similar considerations and concepts can be traced back in various debates or efforts over nineteenth- and twentieth-century Montreal as it is likely the case elsewhere. The most notable case in Montreal is that of Mount Royal  – le mont Royal  – which was the subject of citizen movement and petitions in the 1860s and 1870s after one of the landowners on the slope forming the iconic backdrop to the booming city decided to cut down all his woodland to sell firewood. The visual impact of that clear cut on the city’s identity was so shocking that citizens mobilised, organised themselves and effectively petitioned the City of Montreal to acquire the land and create, at a great cost and beyond municipal boundaries, a people’s park. Mount Royal Park’s design was entrusted to Frederick Law Olmsted, the landscape designer of New  York’s Central Park and a major social reform thinker. At first, Olmsted rejected the proposition considering such landform unsuitable for a park. Then he saw in the little mountain an opportunity to provide Montrealers and their industrial society with a rejuvenating experience for everyone irrespective of their social condition and means. In today’s terminology, this would probably be described as a pioneer act for the natural environment but, in the context of a nineteenth-century industrial metropolis, it was much more a case of recognition of the significance of such a site as part of the city’s collective social and physical identity. In a way and despite its name Royal, it was a democratic accomplishment inscribed in the physical landscape of the metropolis.

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A century later, in last decades of the twentieth century, a number of events would continue this endeavour and renew the Montrealers’ conscious and nonconscious relation to the landscape of the city.

20.4  1984: Protected Views or Cultural Landscape? In 1984, Heritage Montreal – a not-for-profit civic organisation founded in 1975 – made a strategic alliance with the Montreal Board of Trade, the real estate investment sector in downtown, academic leaders and professional organisations to protect a view on Mont Royal. The “McGill College Affair” as it became known would resonate as a moment of collective leadership in favour of proper and modern urban planning, public consultation and the recognition that an iconic and defining geographical feature like Mont Royal is not limited in its existence, value and presence to its administrative or legal boundaries as a park. A commercial development project was proposing to build over McGill College Avenue and block an axial view on Mont Royal defined in the early nineteenth century with the establishment of McGill University. This view has become iconic and a structuring element of downtown, echoed in the railway projects of the 1920s and the design of Place Ville-­Marie by I. M Pei and Henry N. Cobb. The developer had incorporated a concert hall in the project to make use of specific expropriation powers to help assemble the land and got the support of then Mayor Jean Drapeau, a towering figure of Canadian politics who led the city for almost 30 years until 1986, bringing Expo 67 and the Olympics to Montreal and  was later appointed as the Canadian Ambassador to UNESCO. Citizens, professionals and the press quickly mobilised along with the business community considering the collective and private values carried by that particular view. Petitions were signed by thousands. Heritage Montreal asked the Minister of Culture to designate the Perspective de l’avenue McGill College as a heritage property under the Cultural Property Act (1972). Eventually, the developer accepted the proposition to hold an independent public consultation process, funded it and substantially modified its project following its recommendations, preserving and enhancing the vista on the mountain. Drawn by surveyor Henri-Maurice Perrault for the trustees of McGill University in 1845 as a mean to generate funds and pay the institution’s debts, McGill College Avenue became a key part of the urban development of what would become the New Town of Montreal, in reference to Edinburgh’s own (see David B.  Hanna “Creation of an Early Victorian Suburb in Montreal”, Urban History Review 92 (1980)). Widened after the 1984 Affair and landscaped as part of an innovative partnership strategy involving the surrounding property owners, McGill College Avenue is now considered an integral part of the fabric, identity and heritage of downtown Montreal. In 2017, it was incorporated in the Promenade Fleuve-Montagne, an integrated walk connecting the two founding monuments of Montreal – the river and the mountain – to provide a strolling journey and a renewed experience of downtown’s urbanitas, with public art, Adirondack chairs and creative animations. This prome-

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nade is the first of a network – les Promenades urbaines – intended by the municipality to develop an alternative grid to allow more citizens and visitors to experience the city and its various neighbourhoods. Although the Promenades urbaines have been developed with various inputs from the public and specific interested parties or stakeholders, it remained very much a parks department and design-based project. The inauguration of the Promenade Fleuve-Montagne and its presentation as a legacy of the 375th anniversary of the foundation of the city raised critique in the press, partly because of its comparison to recent iconic creations like New York’s High Line. Hopefully, the public use will give it a more civic and lasting meaning than what design aficionados expect in terms of ever-changing novelty.

20.5  1992: The Plan d’urbanisme and the Form of the City The year 1992 marked the 350th anniversary of the founding of Montreal as a permanent French settlement. As a legacy, the administration of Mayor Jean Doré adopted the first integrated master plan for the whole city – le Plan d’urbanisme – after 5 years of committees and planners’ work and broad public consultation. This process built on the conceptual and critical momentum generated by intense public debates in the 1970s and 1980s, under Mayor Jean Drapeau over the development model for the city and battles engaged by the heritage movement under the leadership of civic figures like architect Phyllis Lambert, founder of Heritage Montreal and the Canadian Centre for Architecture. Deeply connected to citizens’ organisations and universities, the team working on the Plan d’urbanisme of 1992 was fresh with young professionals, critical appreciation of previous models and an openness to new solutions for a city to come. They drew lessons from the experiences of cities like San Francisco and Barcelona. They were also inspired by the work of Melvin Charney, a Université de Montréal Professor, and his studio Architecture urbaine. This work explored the city’s own social and cultural roots through elements such as the territorial structure given by the French-period cadastre (subdivision plan) and the mur mitoyen (parting wall between two properties legally defined as a shared ownership), all of which are part of the DNA of the urban form and landscape (see CHARNEY, Melvin. “The Montrealness of Montreal: Formations and Formalities in Urban Architecture”. The Architectural Review, 167, 999 (May 1980), p. 299–302.). The planners, commissioners and elected officers’ work and the public process that accompanied it produced a planning instrument based on and reflecting the form of the city as a distinct source of its development. Although it did not use the phrase Historic Urban Landscape per se, the spirit and content of Montreal’s Plan d’urbanisme of 1992 very much related to it both in concept and in implementation. For example, the respect for the cadastral structure of the territory, the relation between a building and the street and public spaces or the visual connections between the local and the collective landmarks like Mount Royal or the St. Lawrence River were all included in the plan and presented in a very communicative and

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graphic way rather than the usual technical language associated with functionalist planning tools and regulations.

20.6  1995: Heritage and the Metropolitan Landscape In September 1995, Heritage Montreal convened a round table of local and national heritage NGOs to examine the World Heritage Convention through exposés from Christina Cameron, Herb Stovel and François Leblanc. The aim was to see the possible transfer of experience and knowledge to improve the state of care and conservation of the heritage in the greater metropolitan area. One observation that arose from the discussion was the integrating concept of the metropolitan area as a landscape and the expression “metropolitan landscape” as a guiding concept to enhance the quality of planning tools and their consideration for heritage, from the local site or neighbourhood to the regional planning scale.

20.7  2006: Vienna Memorandum The academic sector also took interest in the UNESCO Recommendation. In 2006, the Canada Research Chair on Built Heritage, at the Université de Montréal, organised a round table of experts, academics and students on the Vienna Memorandum (2005) and Historic Urban Landscape (see www.patrimoinebati.umontreal.ca/documents/table_ronde_2006_proces_verbaux.pdf). In her conclusion of the round table proceedings, chairholder Christina Cameron noted: As to the phrase “historic urban landscape”, there was no consensus on the adequacy and appropriateness of using this term. The definition differs from traditional terminology currently in use by specialists in urban studies (…). Confusion exists over the relationship of the term “historic urban landscape” to other World Heritage definitions like “cultural landscape”, “urban ensemble” and “heritage landscape”. Many participants expressed the view that the landscape component of the definition proposed in the Vienna Memorandum appeared to have been inserted as an afterthought, not as an integral and integrated component of the document.

In 2018, the Vienna Memorandum is still, like the 2011 UNESCO Recommendation,  quite unknown in Montreal with very few exceptions. Some architects are regularly quoting it to support their crusade against façadism, contextualism or what they consider as a form of subordination of design to surrounding heritage buildings at the expense of the dignity and quality of the architecture of new individual buildings. That is to say that this is a matter for doctrinal and intellectual debate around these words, not just plain management by technicians.

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20.8  S  pecific Mentions of the 2011 UNESCO Recommendations in Montreal The Recommendation on the Historic Urban Landscape was adopted on November 10, 2011 by the General Conference of UNESCO. On November 30, 2011, it was referred to in the brief submitted by Heritage Montreal at the public hearings held by the Office de consultation publique de Montréal on the proposed changes to heights and density parameters in Montreal’s central area, possibly the first time such a recommendation was exposed and discussed in a formal public consultation. Heritage Montreal is a civil society organisation founded in the 1970s when the heritage and human-scaled city was under pressure from modern visions of development. It encourages and promotes the knowledge, care, protection and revitalisation of the built, urban and landscape heritage of communities in Quebec, in particular the greater metropolitan area. Its action is educational and representative focusing on heritage, urban development and public participation and consultation. Its definition of heritage is place based, i.e. the heritage that is and contributes to the interest of the “where”. This view derives from local experiences and reflections as well as national legislative framework and deliberations on concepts and definitions expressed in the ICOMOS charters or declarations and the UNESCO conventions and recommendations. In 2008, Heritage Montreal’s members had formally adopted, in General Assembly, the five-dimensional reference concept to understanding of the heritage values of a site, building, ensemble or area  – architecture, landscape, memory, archaeology and nature. This made it quite logical and relevant to refer to the UNESCO Recommendation on Historic Urban Landscape at the 2011 public hearings and in other public consultations or events afterwards.

20.9  Mont Royal: La Montagne In 2013, the concept of Historic Urban Landscape and the 2011 UNESCO Recommendation were discussed at the Sommet du mont Royal – Bilan et perspectives d’avenir organised by Les amis de la montagne, a non-governmental community organisation founded in 1986 after a series of objectionable construction schemes on Mount Royal (telecommunication tower, ski resorts, etc.), and the City of Montreal. The Sommet was meant to examine four pressing issues – protection of views to/from Mont Royal; the protection of natural areas; the decommissioning and repurposing of large institutional estates (public hospitals, colleges, convents); and the governance structure and public participation (see www.lemontroyal.qc.ca/ en/news-and-events/summit-2013.sn). Architect and Professor Julian Smith, a Canadian participant in the drafting process that leads to the 2011 UNESCO Recommendation, presented the Historic Urban Landscape approach as different from the conventional visual appreciation of

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a landscape or a landmark and the regulatory practice of defining and preserving views as static and quantified objects. It helped connect a diversity of dimensions, including the personal and collective memories of experiencing Mont Royal, into a richer approach that could also assist in planning the repurposing of the large institutional estates, considering their contribution to the collective meaning and experience of the place, as well as its governance with a greater role recognised for citizens.

20.10  Conclusion In conclusion, Montreal demonstrates a case where the 2011 UNESCO Recommendation on the Historic Urban Landscape is relatively ignored by the formal policies and tools at all level of government. This applies to the Government of Canada which holds major civil or military properties in Montreal, funds major infrastructures and regulates economic sectors impacting on the urban landscapes. This is the case with the historic waterfront area (le Vieux Port) with its iconic Silo 5 and piers, currently in a process to update its Master Plan derived from pioneer public consultations held in 1985 and 1986. Further examples include Federally-regulated railways dividing neighbourhoods or the communication towers on Mount Royal. The Government of Quebec has the constitutional authority to address cultural, heritage and urban planning issues, develops major transportation infrastructures and defines the powers and responsibilities of local authorities, including on public consultation and participation, for example, its protection area around some designated heritage buildings, the provision for landscape in the Cultural Heritage Act and in the legal requirement for the metropolitan development plans. The City of Montreal and other municipalities have made considerable efforts over the recent decades to improve their urban planning and heritage tools as well as their consultative processes, for example, the regulations to address more definable urban landscape elements like the city’s skyline, the distinctive architecture of its different neighbourhoods or public trees and biodiversity corridors and the City Charter’s provision for the right of citizens to petition for public consultation. This applies too to citizens and their civil society organisations. They have yet to find the opportunity to access, discuss and metabolise such international concepts in their coded language, for example, getting familiar with underlying concepts like Outstanding Universal Value (OUV) of highly mediatised UNESCO programmes like the World Heritage and Intangible Cultural Heritage lists, often seen as government-­ led competitions somewhere else rather than illustrations of universality. Yet, the absence of a conscious act of adoption and implementation of the 2011 UNESCO Recommendation  in the case of Montreal is very relative. The recommendation’s concepts and processes find echoes in Montreal’s long history of consideration and debate over the issue of the form and fabric of the city to balance

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functionality-driven vision and planning. Although the Historic Urban Landscape’s approach proposes to go beyond the visual form of the city and embraces a broader set of dimensions, it does include these considerations which, like skylines, views to landmarks or street trees, are more readily understood and debatable in the public arena so as to influence policies, programmes and projects. Perhaps a challenge for the 2011 UNESCO Recommendation is to recognise the history of ideas and actions about the urban landscape in different cultural, economic and political contexts and to relate its concepts and processes with the words and the ways discussions have evolved over decades and generations, at the local level, on the shape, space and spirit of the city and, increasingly, of the metropolis. Building such a bridge between the local and universal will require more than the talents and patience of politicians, specialists and bureaucrats. It will need inspiring artists – individual urban writers as well as multimedia artist centres like Montreal’s Société des Arts technologiques and its immersive 3D environments which are even used by the city and its planners in their work – and the audacity to ask a poet to write an introduction to the city’s Master Plan or a landscape architect for its economic development. Fundamentally, the urban landscape is like heritage. It is a form of writing, sometimes even a wonderfully humble calligraphy, recording and communicating human activities and the fruit of a confluence of geography (the place), society (the people) and history (time). It needs citizens who can see, hear, touch and be touched by their city so that they better use it and enrich its living space and spirit.

 ote on the 2011 UNESCO Recommendation and the 2017 N situation in Montreal (Following the recommendation’s order of sections and articles) Art. Introduction (Articles 1–7) 1 The population of the City of Montreal is 1.7 M inhabitants, and that of the Greater Montreal metropolitan area is above 4 M, about 50% of the population of the Province of Quebec and 11% of Canada. 2 Although the rate of urban development in the Montreal metropolitan area is lower than in Asia, South America or Africa, similar considerations have been acknowledged in the recent planning exercise for the metropolitan area and the agglomeration of Montreal. 3 The balance between urban growth and quality of life is acknowledged as a purpose of the planning tools. 4 Since 1867 under the Constitution of Canada, land use, creating and enabling municipalities and the control of private property are generally a responsibility of the provinces. In Quebec, legislation has been passed in June 2017 recognising municipalities as local governments and granting them further autonomy. In September 2017, the Provincial Legislature adopted an act granting the City of Montreal a status of Métropole du Québec which includes some devolution in terms of heritage and urban conservation. (continued)

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D. Bumbaru C.M. In 2006, the province adopted a Sustainable Development Act which is meant to create an overall commitment, accountability and capacity of all departments and agencies of the provincial government. In a rather unique - and very much unoticed - way world-wide, the Act includes the following principle on heritage and landscapes: “Protection of cultural heritage”: The cultural heritage, made up of property, sites, landscapes, traditions and knowledge, reflects the identity of a society. It passes on the values of a society from generation to generation, and the preservation of this heritage fosters the sustainability of development. Cultural heritage components must be identified, protected and enhanced, taking their intrinsic rarity and fragility into account” (article 6. k). In Montreal, the heritage/planning stakeholders ecosystem can be described as composed of the public sector (governments, municipalities, parastatal agencies), the private sector (including investors, developers, professional service providers, privately motivated individuals), the educational/academic sector, civil society (organised citizens movements and groups) and the communication sector/the media, with special consideration given to the presence of younger generations in each one of these. Canada is a State Party to the World Heritage Convention (1972), but the constitution framework grants most planning or heritage-related matters to provinces. These can choose to share or delegate them to municipalities, thus requiring special arrangements. In 1992, the Province of Quebec adopted a cultural policy (updated in 2018) which endorsed ICOMOS’ Venice Charter (1964), Tourism Charter and Washington Charter on historic towns (1987). It has also adopted and used the ICOMOS Xi’an Declaration on the conservation of the settting of heritage sites, buildings and ensembles (2005) as a guide for implementing its heritage laws. I. Definition (Articles 8–13) The definitions used in the current planning or heritage protection tools in place in Montreal do not specifically include the Historic Urban Landscape as defined in the 2011 Recommendation. Yet, some of the designations related to it. Whereas the designation of Vieux Montréal in 1964 by the Government of Quebec echoed the French concept of secteur sauvegardé or the notion of an historic centre mentioned in the recommendation, urban planning and heritage strategies in Montreal have long exceeded this concept focused on isolated heritage cores to include an interpretation of urban heritage that includes neighbourhoods, connecting paths and the form of the city. Such a definition could be useful to update the ones currently in use, in particular with respect to the inclusion of cultural, social and intangible heritage aspects. Succeeding to the Cultural Property Act of 1972, the provincial Cultural Heritage Act (2011) includes specific definitions for landscapes and for intangible cultural heritage while empowering municipalities to identify and protect these. n/a The “approach” definition of Historic Urban Landscape does not find direct equivalent but provides possible interface with some of the existing policies and tools, in particular as there is a growing interest in the living landscape of the city which transcends the traditional disciplinary line between urban planning, landscape architecture and architecture, including conservation. Learning from the underlying building traditions that generated the built landscape of Montreal was part of the underlying philosophy, approach and a defining concept of Montreal’s 1992 Plan d’urbanisme. n/a II. Challenges and Opportunities for the Historic Urban Landscape (Article 14–20) n/a (continued)

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In the case of Montreal, since the nineteenth century, civil society, public debate and community involvement have been more influential in developing a collective heritage concern and subsequent action from the authorities than in the provincial capital Quebec City, whose historic centre is a World Heritage site, where governments and the public sector have been more directly involved in selecting and protecting heritage. Since its designation as a historic district in 1964, Vieux Montréal benefitted for decades of a coordinated attention and investment from the city and province with some federal government contributions to ensure the protection of its buildings and archaeology and support its architectural and economic revitalisation. In complement to this strategy, Montreal’s central core and neighbourhoods citizens developed a network of cultural and civic spaces, often around historic cores or defining spaces – including spaces under road overpasses as in the Mile End or old railway sheds like in Pointe-Sainte-Charles (Bâtiment 7), the local Maison de la Culture or public libraries. These are the Quartiers culturels whose definition is voluntarily left open to community’s perception and local dynamics rather than follow a precast administrative concept, thus allowing for creativity, curiosity and care for heritage but addressing it with new eyes. Developed in Montreal’s older central areas like Plateau Mont-Royal, Rosemont or Sud-Ouest, the concept of Quartiers culturels is migrating into other areas even in post-war suburbia, demonstrating an adaptation and reinterpretation capacity of the concept beyond the traditional city fabric and spatial language. An important challenge lies in integrating such organic and civic concept into the more formal and legal planning instruments and strategies, a challenge not dissimilar to that of the 2011 Recommendation. Montreal became the cradle and main metropolis of the Industrial Revolution in Canada in the nineteenth century and remained as such in the twentieth century (even in the 1990s, the textile industry was among its largest employers). Many areas of the city have declined since the 1960s with important social and heritage impacts. Originally, these were mitigated mostly through individual initiatives like artistic hives and private home renovation before more official strategies were developed and implemented by the public sector and its socio-economic partners. Although these actions have impact on the urban landscape, its overall consideration remains largely secondary if not entirely absent. n/a n/a The Montreal metropolitan area is mainly exposed to floods considering its river archipelago situation with possible climate change impact. Science and historic records have identified a seismicity for the area resulting in stricter building regulations which have put stress on the economic viability and architectural integrity of some heritage buildings. Currently, the greatest disaster risks to Montreal’s urban landscapes are those affecting the urban forest, in particular the infestation of exotic species accelerated in part by climate change. For example, an insect – the emerald ash borer – has forced the felling of thousands of character-defining street-lining trees in the USA and in Ontario (see http:// www.emeraldashborer.info/documents/MultiState_EABpos.pdf) and reached Montreal around 2011. Since, it has challenged considerably municipal and local authorities in their capacity to develop and implement a coordinated strategy because of their administrative territorial divisions irrelevant to the insect. The response and strategies developed to face this disaster have been mostly lead by forestry specialists, but there is growing consciousness of the landscape and heritage dimension of these street-lining trees beyond their environmental benefits. III. Policies (Article 21–23) n/a n/a (continued)

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In the context of the Canadian Constitution, a collaborative process brought together the federal, provincial and territorial governments to develop and adopt common “Standards and Guidelines for the Conservation of Historic Places in Canada” (2nd version from 2010 available at www.historicplaces.ca/media/18072/81468-parks-s+g-eng-web2.pdf) applicable to the following four types of heritage properties: buildings, landscapes including historic districts, archaeology and technological/engineering heritage. The concept of the Historic Urban Landscape is not yet integrated in this document but could be suggested for its next revision. IV. Tools (Article 24) In terms of civic engagement and beyond the strong civil society presence in Montreal, the consultation and participation processes put in place in Montreal over the past 30 years are in great part resulting from conflicts involving heritage buildings, sites or neighbourhoods as well as housing, environmental or social justice issues. These processes involve a diversity of means and techniques, from formal public hearings with verbatim records to less formal workshop scoping and explorations or online surveys and consultations. Although there are growing fields of consultation or concertation-type activities by consultants, NGOs or politicians themselves, the main instance remains the Office de consultation publique de Montréal (OCPM; www.ocpm.qc.ca), an independent body of the City of Montreal with commissioners appointed by the Municipal Council. Other tools include the City of Montreal Charter of Rights and Responsibilities (http:// ville.montreal.qc.ca/portal/page?_pageid=3036,3377687&_dad=portal&_ schema=PORTAL), a participation policy and a specific right of initiative to petition for a public consultation. OCPM was created in 2002 as a twentieth-century successor of the public consultation processes set up by the Montreal Citizen Movement administration in 1987 but abolished in 1996 under a new political party. Over 15 years, OCPM has held almost 150 public consultations, most of them related to either planning or heritage issues. All these contributed to enhancing the Montreal culture of civic engagement and participation of citizens and society to decisions which were left to elected officers or the Mayor only in the past. Thanks to debates over heritage and the form of the city, our society deployed its democracy beyond elections to include participation and deliberation. Yet, a global discussion on the future of the historic landscape of Montreal has not fully happened as consultations are held on specific projects. The upcoming consultation on the mandatory updating in 2018 of the City’s Master Plan could provide that opportunity and integrate a formal recognition of the 2011 UNESCO Recommendation. At the regional metropolitan level, the Communauté métropolitaine de Montréal (CMM) has been established by the Government of Quebec with a planning mandate that includes adopting and updating a Metropolitan Development and Land Use Plan (PMAD for Plan métropolitain d’aménagement et de développement). The PMAD is to set mandatory standards for all of the 82 municipalities forming the CMM to comply with in their master plans and planning regulations. Among the compulsory content of the PMAD is the identification of significant natural and built sites (i.e. heritage) and landscapes. So far, natural sites have mostly benefitted from the attention of the CMM staff and politicians for science-based data exists and provides a comfortable base for decision-making – is it green or not? – whereas qualitative aspects like heritage or landscapes are more nuanced and complex for politicians and planners to handle and have been deferred to some extend (see http://cmm.qc.ca/champs-intervention/amenagement/dossiers-en-amenagement/ paysages-et-patrimoine-bati/).

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Although it was required by law, the PMAD was left unattended by mayors and ministers until 2010 when Heritage Montreal and the Institut de politiques alternatives de Montréal organised of a first citizens’ agora on planning and development of the metropolitan area. Civic in nature, this agora brought some 400 participants to learn from the tangible experiences of Vancouver, Portland Oregon, Boston and Lyon and helped develop a momentum that led to a public consultation with over 350 interventions by citizens and organisations from all the sectors of the metropolitan area, an unexpected attendance for a non-conflictual, forward looking and partly abstract document. Confident of such public interest, politicians adopted the PMAD in 2012. To follow up on its implementation, the CMM adopted the concept of holding a biennial agora organised by a joint committee of elected officers and members of the civil society, a concept partly inspired by the ideas developed by then Secretary General of ICOMOS Herb Stovel for a more collaborative definition of monitoring in the World Heritage context. In terms of funding tools and strategies, the situation in Montreal remains ambiguous without a radical change in the tax structure for municipalities. In effect, Montreal receives around 80% of its income from real estate taxes which puts it permanently in a situation of quasi-conflict of interest in balancing the protection of built heritage or the general landscape of the city and its neighbourhoods with generating additional revenues through densification strategies to fund social services or economic development programmes. Worthy causes like the reduction of greenhouse gas emission, public housing or fight against urban sprawl also serve as justifiers for densification. This is not consistent with “supporting innovative income-generating development rooted in tradition” stated in the 2011 Recommendation. An example of this is the persistent temptation to raise building height limits in the central areas to answer so-called sustainable urban development needs. In a pragmatic approach which could be seen as a form of façadism at the level of the urban landscape, regulation defines a set of precisely surveyed view corridors which are more manageable for city managers or politicians than a broad and qualitative concept of like preserving the iconic presence of the mountain. Other examples include the construction of setback additional floors on individual terraced row houses, building commercial extensions in front and back yards or the densification of institutional or government properties sold to the highest bidders for redevelopment which not only change the building footprint but also the civic character of these sites and their contribution to the public realm. This tax situation is generally present throughout Canada, but it is amplified according to each province and in the case of larger agglomerations like Montreal that have to cover a broader range of expenses in infrastructures and services. Efforts have been made to improve the tax system in Canada and introduce tax incentives for heritage properties. Although this has yet to be successful after many attempts like the Historic Places Initiative spearheaded by Parks Canada, tools like a National Register and a set of standards and guidelines have been produced which include landscapes and historic districts/areas in their scope of heritage. The Parliament of Canada and the Legislature of Quebec are also considering draft bills and cultural policies which could include more contemporary fiscal strategies supportive of heritage, including landscapes. V. Capacity-Building, Research, Information and Communication (Article 25–27) n/a (continued)

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Over the past decade, the City of Montreal heritage team has developed the énoncé d’intérêt patrimonial or heritage significance statement, a process aimed at identifying values and their related attributed for a specific heritage building or site (see http://ville. montreal.qc.ca/portal/page?_pageid=2240,96369584&_dad=portal&_schema=PORTAL). This tool is inspired by the work and methodologies of the Canadian Federal Heritage Buildings Review Office but also Alois Riegl’s concepts, the Getty Conservation Institute research on value-based management and the World Heritage tool of the Statement of Outstanding Universal Value. The process is based on a collective discussion involving a diversified set of stakeholders (owner, civil society, municipal staff) with the benefit of site visits and heritage studies prepared by consultants or academics for the owners. One of the dimensions explored in this process is the landscape one, especially when the énoncé is prepared for areas like parts of Mount Royal or complex and socially as well as visually prominent institutional sites like the Hôtel-Dieu or the Royal Victoria hospitals. Although most of the énoncés prepared to date are publicly accessible on the Web, the accessibility of the heritage studies used to prepare them is not systematic and depends on the will of their owners to post them. This method’s has been occasionally applied for urban areas like the Norvick post-war neighbourhood in the Saint-Laurent borough but its use in relation to the 2011 UNESCO Recommendation has yet to be explored and could enhance the collective knowledge and institutional capacity in that context. n/a VI. International Cooperation (Article 28–30) The Canadian Constitution creates a politically sensitive structure to interpret the concept of “member state”, in particular in terms of federal-municipal relations. In that context, a national conversation on the 2011 Recommendation is likely to happen despite the member state through organisations like the Canadian Federation of Municipalities, professional or academic networks or groups like ICOMOS Canada. The City of Montreal is engaged in international cooperation either through bilateral agreements or international networks such as Metropolis, a component of United Cities and Local Governments (UCLG) and the Association internationale des maires francophones. Such international cooperation is generally centred on the city administration, its elected officers or staff and seldom involves collaboration with the heritage sector of the civil society, possibly a reflection of the growing view that leadership is centred on elected leaders in the name of accountability. Yet, based on the Metropolitan Agora experience, Montreal initiated and hosted a thematic meeting in preparation for Habitat III on metropolitan cooperation for sustainable urban development with substantial participation of civil society organisations. The resulting Montreal Declaration on Metropolitan Areas recognises the role of heritage and landscape in the identity of metropolitan areas and the need for effective public, private and civic leadership to their success (see http://cmm.qc.ca/evenements/ montreal-thematic-meeting-on-metropolitan-areas/). n/a

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Chapter 21

Urban Heritage Conservation in the Historic Site of Olinda, Brazil: 1968–2016 Silvio Mendes Zancheti

Abstract  The objectives of this study are to assess the trajectory of the heritage conservation system of the Historic Site of Olinda (HSO) and evaluate the impact of this system on the conservation of the heritage assets of the site in the long run. As analytical reference for the analysis will be the Historic Urban Landscape (HUL) approach developed by UNESCO, the period of analysis is 1968–2016. The HSO is a good example of an incremental system that incorporates progressively instruments of urban planning, conservation management, monitoring, documentation, citizen participation, funding, and others that closely followed what would be a similar approach to that proposed by HUL. HSO is also a good example of increasing value of their urban properties due to the conservation policies. The HSO is the main economic asset of the city and, therefore, attracts the initiatives of economic agents to adjust their actions to environmental and constructive conditions of the site, the regulation system, and the opportunities created by the local economic environment. The control and management system of public urban conservation are the adjustment factors between the valuation of the place and the quality of its conservation. In relation to HUL, the case of the HSO is a good example of an incremental conservation system constructed closely to the dynamics of local development process. It shows forward and backward movements as is expected in a complex and democratic society. Also it reflects the larger-scale movement of the interpretation of what is the cultural heritage of an urban historic site. The central questions that the HUL approach tries to help answer constitute the core of today’s challenges for the planning and conservation system of the Historic Site of Olinda. Keywords  Integrated conservation · Urban conservation · Public participation · HUL · Urban landscape conservation · Social conflict · Urban conservation management

S. M. Zancheti (*) ICOMOS, Belo Horizonte, Brazil © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_21

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21.1  Introduction The objectives of this paper are to describe the historical course of the conservation system for the heritage of the Historic Site of Olinda (HSO) and to identify the impacts of the system on the occupation of the urban land and on the architecture of the site. This objective was chosen as a way to show the development of a heritage management system that reached a state closely resembling that proposed by the Historic Urban Landscape (HUL) approach. This period of analysis, from 1968 to 2016, embraces the full development process for protecting the heritage of the city of Olinda. The case of Olinda shows that, despite the growing importance of the theme of conservation of built heritage in the local development process, the procedures for introducing new planning instruments and management approaches do not necessarily point to “better” conservation of the HSO. This oscillation can be attributed to the necessary changes that have arisen from the adjustment of the institutional framework of the planning and conservation system with the long-term strategic development guidance. The importance of the heritage of the HSO is also expressed in the increasing valuation of its properties. The HSO encompasses the main economic activities of the municipality and attracts the initiatives of economic agents. These agents adjust their actions to the environmental and building conditions of the site, to the system of regulation, and to the opportunities created by the local economic strategy. The regulation system, or the public management of the urban conservation, constitutes the adjustment factor between increasing the valuation of the site and the quality of its conservation. The example of citizen participation here is very interesting since the planning and management system of the HSO was pioneering in Brazil in introducing this instrument in design and in the decision process. The analysis of the conservation process was conducted according to a historical-­ analytical scheme, which deals with the context of developing the HSO, its planning and management system, and the impacts on the built heritage. For each period, the following themes of HUL were considered in the analysis: • • • •

Surveys and mapping of city’s natural, cultural, and human resources (assets) City development strategy (urban governance, policies, laws, and plans) Actions and priorities for conservation and development Vulnerability assessments to socioeconomic stresses and impacts of climate change • Consensus building (participatory planning, stakeholder consultations) in what values to protect + attributes that carry the values • Partnerships + management frameworks

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21.2  The Occupation of the City and the Historic Site From 1530 to 1654, Olinda was one of the most significant urban hubs of the Portuguese Colonial Empire. It was the center of the new world sugar economy (Reis Filho 1969). After the Dutch dominance (1630–1654), Olinda reassumed its role as the political and administrative seat of local government although it would never regain its economic importance. Toward the end of the nineteenth century, the city saw a cultural reflourishing and urban improvements, as evidenced by the construction of neoclassical and eclectic buildings. In the early years of the twentieth century, there was a small urban expansion due to bathing in the sea becoming fashionable (Novaes 1990). The last quarter of the twentieth century was a period of expansion of the middle and upper middle-class residences in the historic site. This movement led to a new dynamics of social relations and to new political activism at the local level. Today, the old colonial center is located in a region where the city of Recife is the main center. Despite protection initiatives for its cultural heritage, Olinda is undergoing a process of urban and heritage transformation.

21.3  The Conservation Planning and Management System 21.3.1  The Formation: 1968–1988 In 1968, the Historic Site of Olinda was included on the National Heritage List managed by the National Institute of the Historic and Artistic Heritage (IPHAN), and this prompted the formulation of the Local Integrated Master Plan for Olinda (Olinda 1973). The municipality of Olinda approved, in a pioneering move for Brazil, legislation that, in parallel with conceiving urban growth, defined and protected the cultural heritage. The Historic Site of Olinda was designed as a sector of the city distinct from the other sectors on account of its heritage attributes, having the functions of administrative, tourist, and residential center. Its boundaries were set by a ring road, and zones were established according to the density of the listed buildings and how the landscapes were framed. Land and building controls were defined for new constructions. This included byelaws for restorations and reforms and recommendations for preservation with regard to color, proportions, scale, and volumes. This legislation also signaled the start of the municipal authorities taking part in the control of the built heritage (Milet 1998). Between 1979 and 1982, the municipal management sought the symbolical recuperation of the Historic Center of Olinda, based on identifying the built cultural heritage, restoring the exceptional listed buildings, and valorizing the traditional cultural manifestations, customs, and business. Actions were undertaken with a

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view to drawing up heritage awareness-raising exercises, publicizing the heritage of Olinda, and building up national and international visibility. In 1982, the site was inscribed on the World Heritage List, and the municipality created the System for Preserving the Historic Sites of Olinda (SPHSO), based on the following instruments: • The Council for Preservation, the authority for institutional/political policy • The Center for Preserving Historical Sites Foundation (hereinafter called the Foundation) • The technical body for supporting and carrying out the recommendations of the council • The Fund for Preservation, responsible for seeking and securing resources and making the financial side of the Foundation viable • A Local Heritage List This may be interpreted as the first conservation management structure based on the ideas of integrated conservation that certainly are the substratum of the HUL approach. Other actions taken in parallel with the structuring of the SPHSO, in particular the beginning of the citizen participation in the conservation decision process, reinforce this link with the HUL approach. Also, this was a period of intense change in the composition of the social actors in the HSO, which encouraged both conservation and transform of the heritage attributes of the site. The first group of actors, consisting of professional people, identified the historic site as a place for a bucolic life and for good and friendly neighborliness. This group intervened in the buildings, seeking continuity of the values of the historical site (Photos 21.1 and 21.2), and introduced elements of new architectural values (Photos 21.3 and 21.4). The second group, made up of art dealers and those involved in activities linked to tourism or nightlife, such as bars, restaurants, and antique shops, occupied streets and squares, thus, constructing an image of Olinda as a party destination. The third group is formed by poor families that occupied the marches around and the empty parcels of land within the HSO.  This last group produced enormous changes in the historic landscape of the site (Zancheti and Milet 2007; Pereira 2004) (Box 21.1).

21.3.2  The Transition: 1989–1996 This period is characterized by the weakening of the System for Preservation, due to the change in the Brazilian Constitution (1988) that forbids the formation of local specific investment funds using municipal taxes. This reduced dramatically the amount of public investments available to conservation actions because the Fund for Preservation was extinct. At this point, the interests of the actors were ruptured. The disputes over the use of local investment funds became more fierce. This led to a slow dismantling of the

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Photos 21.1 and 21.2  The maintenance of traditional architectural values. (Source: Zancheti and Milet 2007)

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Photos 21.3 and 21.4  The change to modern architectural values. (Source: Zancheti and Milet 2007)

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Box 21.1: Synthesis of the Period 1968–1988 Surveys The first inventory of the buildings, monuments, and urban structure was produced but not completed and did not identify or order the main heritage attributes of the site. This helped to form a new Municipal Heritage List. The survey was extended to incorporate some nonmaterial aspects of the local culture as the carnival, for example. Development Strategy The economic and social development of the site was clearly centered on the idea of a historic center devoted to new residents (middle and upper middle class) and leisure, encouraging festive activities, festivals, and street markets, aimed at attracting tourists and metropolitan visitors. This strategy was according to the national policies for the development of historic towns and urban sites. Actions and Priorities The adherence of the local authority to the national development strategy allowed the conservation system access to a program of restoration of civic listed and unlisted buildings, carrying out projects for public spaces and financing the rehabilitation of run-down residential buildings favoring low-­ income families (Bosi 1986). Monitoring and control of the occupation and use of the buildings and plots were also structured but without a strong administrative structure of support. Vulnerability The success of the development strategy quickly showed the vulnerabilities of the site. There was a widespread tendency to change the facades and interiors of the buildings to suit new activities. In the same way, the restoration of monuments tended to follow a “stylistic approach” without rigorous care for the authenticity of the heritage attributes (Zancheti and Milet 2007). Dysfunctions between the flow of vehicles, the new urban uses, and the urban fabric, made up of narrow streets and patios, posed a serious threat. The most important vulnerability started to be perceived in this period: the occupation of the marshes and the vacant land in the hills by poor families. There were no efficient monitoring and control instruments to halt their movement. Consensus Building In 1987, the first local residents’ association was founded (the Olinda Society for the Defense of the High City, Sodeca in Portuguese), by old and new residents, with the purpose of protecting the heritage of the HSO. Sodeca took issue with the local administration over their “quality of life.” They felt that (continued)

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Box 21.1 (continued) this was negatively impacted by the activities of leisure and entertainment that were installed in the HSO and intensive use of the public space especially at night (Barreto 2005). In 1987, they took this conflict to the federal courts to determine the control of vehicle access to the Historic Site of Olinda. It was determined that the Foundation should have a more involved role in urban regulation with a view to making residential and tourist activities more compatible. Partnerships The main partnerships of this period were between the local government of Olinda and the national government especially the sectors of protection of the national heritage and the development of tourism.

Photo 21.5  Spoiling the urban landscape by irregular occupation. (Source: Zancheti and Milet 2007)

System for Preservation and diverting the remaining public investments to the interest of the new economic actors in the HSO. In 1995, the Foundation finally was replaced by the Secretariat for the Cultural Heritage, which began to give preference to the promotion of musical and leisure events. The most relevant impact at this time was the continuous weakening of the monitoring and control activities and the municipal secretariat of urban planning in managing the laws for zoning and construction restrictions or even to monitor the state of conservation of the HSO and its attributes. The greatest impact of the new type of management was the indiscriminate occupation of green areas of the landscape and environmental interest inside the HSO and the surrounding areas. Despite the areas’ legal protection, low- and medium-income social groups moved into the mangroves to the south and the hills in the HSO (Photo 21.5). This occupation had two important environmental impacts in the HSO: the reduction of the green area and the increase in the risk of landslides, since the soil of the HSO is made of fragile clay in unstable hills (Box 21.2).

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Box 21.2: Synthesis of the Period 1989–1986 Surveys The previous activities did not have continuity. The urban built area increased greatly, with the construction of many new buildings. Development Strategy Remained basically the same as the previous period but with strong emphasis on the promotion of the site as the place for leisure and entertainment events as street celebrations and festivals. Actions and Priorities for Conservation and Development Due to the lack of resources for investment, only small projects in the public space were implemented. There was an important initiative to elaborate and approve a new law for controlling the land use and the rate of occupation of the plots (1992) based on a classical zoning approach. Vulnerability The vulnerability of the site continued to be dependent on the conservation planning and management system and was especially affected by the lack of monitoring and control activities. This led to the expansion of the area of the irregular occupation of public spaces, notably squares and vantage points set aside for panoramic views; the construction of extensions in backyards; and the insertion of the new architectonic type with an increase in the rate of occupation by taking advantage of the height of ceilings and the introduction of new roofing materials (e.g., aluminum or fiber cement). The green area diminished dramatically and the risk of landslides increased. Consensus Building This period was characterized by great tension between the social actors. The middle-class groups that had taken residence in the previous 15/20 years pressured the municipality to control the occupation of the plots and the loss of green areas. On the other side, the low-income families pressed for permission to occupy the free land available, mainly the marshes and some hills, for their residences. As the two groups were acting in different parts of the historic site, the municipality solved the problem by informally granting permission for the occupation of the low-income group and relaxing the control on the internal parts of the middle-class residences. Partnerships It was a period of tension between the stakeholders and the municipality. However, it is noticeable that some initiatives of that gathered shopkeepers and residents (providing construction materials) to form a partnership with the municipality to restore some important monuments of the HSO.

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21.3.3  T  he Master Plans, Urban Development Projects, and the Incentive to Culture: 1997–2016 With the end of the Fund for Preservation, conservation actions had to depend on funding from the municipality itself. This situation changed with the rise, at the national level, of the Rouanet Law and of two national pro-tourism development programs, which brought resources to large-scale projects in the historic site (Zancheti 2007). In a period of 10 years, the municipal council approved two master plans (Olinda 1997, 2004) of the city of Olinda. The second master plan (Olinda 2004) proposed redesigning the occupation of the municipal territory and the introduction of planning instruments to bring the change into effect. The core of the plan was to give high value to the road grid, at the center of the municipality, as an area set aside for the concentration of economic activities. It emphasizes the historic site as a Special Zone for Protection of the Cultural Heritage and maintained the previous land and occupation zoning in the HSO. The following instruments were introduced: compulsory use, the progressive tax, and compulsory purchase using public debt bonds on abandoned, dilapidated, or underused properties (Olinda 2004). The Inter-American Development Bank financed the tourism development projects (the Monumenta and Prodetur programs). At first, the tourism programs were structured to finance integrated projects for revitalization in public spaces as well as in public and private properties. These proposals acknowledge that, with the coming to an end of the intervention projects, the maintenance of the works would be carried out without additional funds. The purpose was to generate a flow of public and private receipts for the services rendered for the use of the urban heritage. Some important interventions on listed buildings and several in public spaces had been carried out, such as the rehabilitation of the public market, the creation of a cultural center, the rehabilitation of the squares, and the creation of a training center for construction craftsmen. The Alto da Sé project focused on the area where the city was founded and its main point of attraction for tourists, aimed to ­rehabilitate the square, to build a panoramic viewing spot on the top of the city’s water tower, and to create a market to offer facilities to craftsmen who today occupy public spaces. The Rouanet Law, which encourages culture, has been used to revitalize the historic site of Olinda ever since it came into force. More recently, improvements have been achieved through the instrument of mecenato (Patronage Statute), such as the underground lighting of the historic site and the restoration of monuments, especially religious buildings. Through this instrument, cultural producers develop and approve cultural projects and seek private companies who pass on part of the income tax due in order to carry out this project. Today this mechanism is one of the most important sources of finance for projects in the historical site. Its success is centered on the coalitions of actors who bring together companies promoting culture, large companies with cultural programs, politicians and administrators, and non-­ governmental organizations.

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The growing volume of cultural projects generated pressure on the weakened heritage management system. These projects are drawn up by private entities, with little interference from the conservation institution of the site, and their being carried out is therefore likely to create distortions in the functioning of the historical site (Zancheti 2007) and increase the number of infractions in reference to the urban regulation of the HSO (Polito 2000). Nevertheless, under pressure because of the scarcity of resources due to its reduced budget, the municipality has felt itself forced to accept such projects, for they represent additional resources. The focus of the Secretariat for the Heritage of Olinda has been to draw up projects that seek and secure external resources, according to the opportunities that present themselves at any given moment whether these are the cultural incentive laws or special programs of funding. This adjustment has led the secretariat to adopt a management approach that preferences cultural producers who favor a “relaxed” system of monitoring and control of the land use and occupation of the properties. It must be noted that in 2005 the monitoring and control of activities in the site passed to the planning secretariat of the municipality. Therefore, the monitoring was no longer specific to the site but a part of the overall urban area of the municipality. This new style of management has had an impact on the occupation of the site. The absence of a system of control has caused the municipality to act without a clear development of strategy that favors heritage conservation. The only works carried out were those arising from national programs. The rule of action was based on ad hoc reactive solutions to problems, and this has had a big impact on the conservation of the significance of the historic site, especially on open spaces and green areas (Pereira 2004). An expansion has occurred of the area built up as a result of extensions into the backyards of private properties, for the purposes of occupation by other members of the family. The intense illegal occupation of the free spaces of the HSO, no doubt, is in part explained by the absence of urban control, which recognized the restrictive unreality of the parameters of urban control, laid down in the Law for the Land Use of 1992, and which did not have control instruments capable of dealing with the ­cultural significance and the heritage attributes of the HSO (Pedrosa 2011). The zoning system adopted in the law has no instruments to effectively control the new type of expansion of the building area. The increased number of properties, whose owners made reformations to adjust the buildings to improve their market values, must also be noted. This movement led to the intense modification of the residential buildings. Their interiors were modified to adapt them to trading for tourists and services. The backyards and gardens were occupied with new constructions to accommodate residential functions (Photo 21.6). This movement led to an increase in risks of environmental disaster due to the fragile soil of the hills where the urban area is settled. The support given by the tourism development programs, to the principles of economic growth, favored new conceptions of architectural intervention in the existing fabric of the HSO, which strongly appealed to the urban design fashion of the moment. Their main target was to be well received in the market to attract

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Photo 21.6  The images demonstrate the changes made, from 1984 to 2000, to the tilt of the roofing, to the rooms, and in almost completely occupying the backyard. (Sources: Olinda Heritage Inventories of 1984 and 2000)

t­ourists and visitors. Nevertheless, this fails to consider the elements pertinent to proposals for spaces of cultural and environmental interest, the quality of materials, and, especially, how works are carried out. That means that there is little use of the records of heritage attributes of the urban landscape as references for the projects of development, revitalization, restoration, and others in the HSO. Here the importance of using the statement of cultural significance as an instrument for planning and managing of the conservation and development of the Historic Site of Olinda is highlighted. Since the middle of the 1990s, it has been a theme of discussion among academics and experts working with the heritage of Olinda. There have been many proposals for new instruments that use of the concept of cultural significance in tasks of monitoring and urban control of the HSO (Pedrosa 2011; Hidaka 2011). The IPHAN produced a Retrospective Statement of Outstanding Universal Value for the HSO but rarely has it been used as reference in the managing and planning documents produced in the last 10 years. In 2016, the municipality of Olinda promoted the elaboration of a Heritage Management Plan for the Historic Site of Olinda, but it did not make use of the statement of cultural significance or a list of heritage attributes of the site for the design of its proposals and instruments (Olinda 2016). On the contrary, the municipality continues to use a historical narrative of the site development as the base for the documents analysis and proposals. However, the document still has important proposals since it treats heritage the environmental and the economic development themes in an integrated form. For the first time, the problem of the climate change was introduced in the planning and management system of the HSO (Box 21.3).

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Box 21.3: Synthesis of the Period 1997–2016 Surveys In 2000 the IPHAN elaborated a national inventory of the historic sites of Brazil and included the Olinda case. It was a comprehensive inventory with a large number of variables describing the buildings and the public spaces of the HSO. The inventory was handled by the municipality, but it was not updated since then. Development Strategy Increase the space for economic activities linked to tourism such as hotels and hostels, bars and restaurants, and commerce. Regeneration of public space using urban design with contemporary appeal. Less restriction to the colors and design of the traditional facade (e.g., use of graffiti). Actions and Priorities for Conservation and Development Regeneration of urban projects and construction of urban equipment for tourist activities. Tentative action to elaborate a Heritage Conservation Master Plan focusing on the cultural and the environmental problems. Vulnerability Loss of large green areas in the interior of the plots and increase in the vulnerability of the soil of the hills and risk of landslides. Intense use of the buildings forcing an intense maintenance effort for the built heritage, followed by unpredictable changes in the buildings and in the urban fabric. Consensus Building Participation is used systematically in the phases of preparation and implementation of the projects. Rarely is participation present in the phase of conception/design of the projects. The number and type of actors in the participation process are larger than the previous periods. There is a larger presence of entrepreneurs and business people. Partnerships There is a more stable process of forming partnerships between the public and the private sectors. Cultural promoters and investors have taken the leadership in the discussion of the development strategy of the HSO.

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21.4  Conclusions The framework set out and summarized in the three boxes above shows the complexity of managing conservation of HSO in situations affected by the shortage of financial and human resources and policy and administrative discontinuity. During the first period, 1968–1988, it is situated in the context of a centralizing federal policy, with an abundance of resources, and characterized by the efforts to integrate protection with heritage, economic development, and urban development. In this context, the federal authorities simultaneously set the bases on which the three spheres of government share actions and from which emerge the municipal policy for protection. The municipal management distinguished itself by formulating a policy for promoting and giving value to the material heritage. The second and third periods, against a background of a shortage of national resources, were characterized by all three spheres of government changing the conservation planning and management approach to adjust to a development process based on a more active local initiative to get private investments and financing projects. What can be seen is the emergence and consolidation of new actors and contemporary social values, with the formulation of a policy targeting nonmaterial heritage, such as the musical events. In this context, the municipal management has altered its perception and started to accept a new and flexible vision of integrity and authenticity of the heritage of the site, reflecting the perceptions of the new investing actors in the HSO. The municipal management has governed by the notion of investment opportunity, guided by short- and middle-term strategic planning. The main development and conservation works were with resources of the national programs for the development of tourism and the Patronage Statute incentives law. In this sense, the projects did not result from priorities established by the conservation planning and management system and did not follow a value heritage hierarchy. The management system of the HSO has faced a conflict between interests linked to cultural heritage and “live culture.” It is up to the state to foster companies and creative people so that the market can be broadened and realize its potential, not only in terms of self-sustainability but also in social gains with regard to employment, income, and inclusion on account of the consumption of cultural goods. Management priorities are focused on the format of the Council for Cultural Policies, while the urgent review of the System for Preservation still awaits a favorable policy decision. To sum up, it can be seen clearly that, in practice, there has been a great change in the heritage management system in the HSO. This change indicates it is capable of investment and internal savings, reducing the dependency on official modes of investment funding. Improvements are further evident in the increased complexity of planning and management instruments introduced in the day life of the system.

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The changes in the regulation system of the HSO had a visible impact on the urban landscape of the site. Also, there has been a perceptible change in the cultural significance of the site, influenced by the perceptions of new social actors. However, this change has not yet been captured by a statement of significance that formally and institutionally expresses the cultural meanings and values in the cultural/political arena. As the attributes and hierarchical values are not expressed institutionally in a statement of cultural significance, monitoring and control activities suffer weak social support in the local political arena. In relation to HUL, the case of the Olinda is a good example of an incremental conservation system constructed in response to the dynamics of local development process. It shows forward and backward movements as it is expected in a complex and democratic society. Also it reflects the larger-scale movement of the interpretation of the cultural heritage of an urban historic site. The central questions of the HUL approach are as follows: What is heritage? What composes heritage? What is the meaning of change and continuity in heritage? Who is responsible for heritage? What does it mean to preserve or to conserve heritage? What are the instruments to be used in the management of heritage? What constitutes the core challenges for the planning and conservation system of the Historic Site of Olinda?

References Barreto, J. C. (2005). De Montmartre Nordestina a Mercado Persa de Luxo: O Sítio Histórico de Olinda e a participação dos moradores na salvaguarda do patrimônio cultural. Recife: Editora da UFPE. Bosi, V. (1986). Núcleos históricos: recuperação e revitalização, a experiência de Olinda. Revista do Patrimônio, 21, 134–146. Hidaka, L. T. F. (2011). Indicador de avaliação do Estado de conservação sustentável de cidades patrimônio cultural da humanidade: teoria, metodologia e aplicação. PhD Thesis. Recife: MDU/Federal University of Pernambuco. Milet, V. (1998). A experiência de gestão e proteção ao Sítio Histórico de Olinda. In S. Zancheti, G. Marinho, & V. Milet (Eds.), Estratégias de Intervenções em Áreas Históricas. Recife: MDU/ UFPE/PNUD. Novaes, F. (1990). Olinda: evolução urbana. Recife: Fundarpe e Cepe. Olinda Prefeitura Municipal. (1973). Plano Diretor Local Integrado de Olinda. Olinda: Prefeitura Municipal. Olinda Prefeitura Municipal. (1997). Olinda, cidade patrimônio mundial: Plano Diretor de Olinda – Versão Preliminar. Olinda: Prefeitura Municipal. Olinda Prefeitura Municipal. (2004). Secretaria de Planejamento, Transporte e Meio Ambiente, 2004, Plano Diretor do Município de Olinda: 2004. Olinda: Fundação de Apoio ao Desenvolvimento da UFPE e Centro de Estudos Avançados da Conservação Integrada. Olinda Prefeitura Municipal. (2016). Plano de Gestão do Sítio Histórico de Olinda: Documento para debate. Olinda. http://www.olinda.pe.gov.br/rlush/plano-de-gestao-do-sitio-historico-deolinda#.WI-BjRTIxJH. Pedrosa, P. C. (2011). Significância cultural como critério para conservação do patrimônio mundial. Master Dissertation. Recife: MDU/Federal University of Pernambuco.

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Pereira, C. B. (2004). A conservação da cobertura vegetal como componente do patrimônio cultural em centros históricos urbanos. Estudo de caso: a cidade de Olinda – PE. Dissertação de mestrado. Recife: MDU/Federal University of Pernambuco. Polito, H. (2000). O controle urbanístico como elemento da conservação de sítios históricos: o caso de Olinda. Master dissertation, MDU/Federal University of Pernambuco, Recife. Reis Filho, N. G. (1969). Evolução Urbana no Brasil (p. 122 a 127). São Paulo: EDUSP. Zancheti, S. M. (2007). El financiamiento de la revitalización de los centros históricos de Olinda e Recife: 1979–2005. In F. Carrion (Ed.), El financiameinto de los centros históricos de América Latina y el Caribe (pp. 349–378). Quito: FLACSO – Lincoln Institute of Land Police – Innovar. UIO. Zancheti, S. M., & Milet, V. (2007). Gestão e conservação do Sítio Histórico de Olinda: 1938 – 2006. Textos para Discussãon. 27. Olinda: CECI.

Chapter 22

Revitalizing Urban Parks to Uplift a Rust Belt City: HUL Applied to Pittsburgh, PA, USA Patricia M. O’Donnell

Abstract  In this paper, the key overarching ingredient of sound, visionary civic leadership from an NGO, the Pittsburgh Parks Conservancy (PPC), in partnership with city government, philanthropic foundations and citizens, is shown to continuously engage, plan, regulate and finance a series of interrelated initiatives, collaborations and projects to uplift the regional public parks and thereby neighbourhoods and the city as a whole. Following an introductory public spaces and Pittsburgh history, the narrative organization is framed around the four HUL tool groups: community engagement, knowledge and planning, regulatory systems and finance to present a summary of the tools applied and the outcomes. The final section places this work within the context of the UNESCO Recommendation on the Historic Urban Landscape, 2011, and the more recent UN Sustainable Development Goals 2030 Agenda (UN SDGs), 2015, and the New Urban Agenda, Habitat III (NUA) 2016, making important cultural heritage linkages with the social environmental and economic aspects of sustainability. The author, Patricia O’Donnell, preservation landscape architect and planner, worked with the PPC from 1999 to 2014, bringing the concepts of community participation, innovative planning, regulatory tools and finance into the work of park renewal. Keywords  Public space · Parks · Inclusivity · Diversity · Democratic · Resilient · Community · HUL · UN SDGs · NUA · Pittsburgh Parks Conservancy

P. M. O’Donnell (*) Heritage Landscapes LLC, Preservation Landscape Architects and Planners, Charlotte and Norwalk, VT and CT, USA LANDSCAPES Landscape Architecture-Planning-Historic Preservation, Charlotte and Norwalk, VT and CT, USA LANDSCAPES Landscape Architecture-Planning-Historic Preservation, Norwalk, CT, USA e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_22

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22.1  Introduction In many cities across the world, a heritage of parks and public spaces shaped cities, and this commonwealth of shared spaces remains foundational assets for urban life. Historic parks can readily adapt to twenty-first-century issues of inclusivity, safety, resilience, climate change response, etc. through adaptive use that respects history, accepts evolution and engages current and future needs and aspirations of a diverse contemporary society as historic public spaces are revitalized. As well as serving an important role as cultural heritage assets, parks and public spaces are vital to societal well-being as democratic places, providers of environmental services as habitats for urban nature and economic assets improving property values and providing formal and informal employment. A full range of urban public spaces are essential to a sustainable twenty-first-century city and metropolitan region. For Pittsburgh, civic leadership has been and remains a key ingredient applying the concepts of the UNESCO Recommendation on the Historic Urban Landscape, as an early innovator, working with the author to apply the tool groups. The non-­ profit Pittsburgh Parks Conservancy (PPC), founded in 1996 by a talented civic-­ minded woman, Meg Cheever, has effectively partnered with local government, community organizations and citizens to uplift Pittsburgh historic parks for 22 years. Bringing together like-minded staff, board and volunteers, the PPC has framed a clear value-based vision, providing a consistent voice and actions. Through the urban heritage of parks, PPC has served an integral component of city public space to improve the quality of life in this rebounding, former industrial city. Inclusive public parks envisioned as fully functional, scenic, ecological and historic assets for broad citizen access fosters social cohesion and quality of life, contributing to the current Pittsburgh Renaissance.

22.1.1  HUL Urban Public Space Context Public spaces comprise the city shared by all residents and visitors, open, accessible and democratic. The well-being, inclusivity and equity of any city are legible in its public space quality, quantity and distribution. The UNESCO Recommendation on the Historic Urban Landscape embraces public open spaces in its definition, noting the historic layering of the city composed of: cultural and natural values and attributes… topography, geomorphology, hydrology and natural features, its built environment, both historic and contemporary, its infrastructures above and below ground, its open spaces and gardens, its land use patterns and spatial organization, perceptions and visual relationships…and… includes social and cultural practices and values, economic processes and the intangible dimensions of heritage as related to diversity and identity. (UNESCO 2011, paragraphs 8–9)

Further, HUL guidance reinforces the tangible and intangible expressions of heritage noting that heritage “constitutes a key resource in enhancing the liveability

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of urban areas, and fosters economic development and social cohesion in a changing global environment.” Physical heritage of public open space serves as a vessel for varied expressions of traditions and practices, the intangible aspects of heritage. In relation to the UN Sustainable Development Goals, 2030 Agenda (UNESCO 2015) and the Habitat iii New Urban Agenda (NUA) (UN Habitat 2016), parks and open spaces address a number of goals and objectives of these international directives. NUA commitments demand that urban development promotes sustainability and inclusivity to reach prosperity, that equity is achieved leaving no one behind and that human settlement is planned and implemented to achieve quality environments and resilience (UN Habitat 2016). These laudable commitments can be achieved in substantial measure through uplifting the urban heritage of public spaces in an inclusive, sustainable manner. Parks and open spaces foster a sense of belonging, to aid in developing social cohesion of a diverse urban citizenry in an era of urban population diversity and migration. As the shared commonwealth of a city, the public open spaces, including parks, playgrounds, streets, waterways, etc., contribute to urban vitality, liveability, resilience and social justice, or alternately if public space is poorly managed, degraded or absent, it makes a city less liveable, slow to recover from impacts, unjust and unsustainable.

22.2  Pittsburgh and the Pittsburgh Parks Conservancy Located at the confluence of the Ohio, Allegheny and Monongahela rivers, the topography of the city provided opportunities for large parks to be set aside with the support of local philanthropists in the late nineteenth and early twentieth centuries. The city population grew to 310,000 in 1900, expanding to 671,659 in 1940, and in 2017, it has dropped back to a point near the 1900 level. Pittsburgh originally developed as a global industry centre with the manufacture of steel and related industries. Widely known as a gritty industrial city with poor air and water quality due to those industries, the first Pittsburgh Renaissance, the late 1940s through the 1950s, transformed downtown, rebuilding 25% of the core city in a decade employing planning and finance tools (Heritage Landscapes LLC 2009). Over the decades, the strong industrial base has nearly disappeared transforming to new employment types. Currently Pittsburgh is a city of 306,000 people, while the region has a population of 2,660,000. Today the city is home to 68 colleges and universities and businesses fostering innovation and entrepreneurship. Google, Bosch, Apple, Intel and Uber, among others, have a strong Pittsburgh presence (Lippert et al. 2016). The historic Pittsburgh parks were planned and set aside in the late nineteenth and early twentieth century. Created during the urban parks movement in the United States, they followed on the development of Bushnell Park in Hartford, CT, in 1853 and Olmsted and Vaux’s 1856 Central Park plan and in 1869 the first city parks system, Buffalo, New York, among others (O’Donnell 1979). The Pittsburgh parks were civic improvements for the growing city of Pittsburgh. Enlightened civic and government leaders worked together to donate, purchase and legally set aside these

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urban parks in perpetuity for the good of the city and its citizens. These visionaries included Edward Bigelow, Mary Schenley, Henry and Helen Clay Frick, Andrew Carnegie and the Mellon family. The large regional parks developed starting in the 1870s remained well-tended through the late 1930s (LANDSCAPES Landscape Architecture-Planning-Historic Preservation 1999). These years were followed by decades of decline and intrusions as city parks staffing and budgets were sequentially reduced to minimal levels. In 1996, the Pittsburgh Parks Conservancy was founded with a mission to improve the quality of life for the people of Pittsburgh by restoring the park system to excellence in partnership with government and the community. Projects and programs are conducted with respect to the environment, historic design and the needs of our diverse region. The vision of the Parks Conservancy is to foster wide appreciation and enjoyment of sustainable park system landscapes, facilities and programming. PPC’s 21 years of work has applied all four HUL tool groups: community engagement, knowledge and planning, regulatory systems and finance. The PPC fully embraces the importance of strong non-profit leadership and good governance within the city and its collaborating departments for solid partnership foundation. The four regional parks have been a primary focus of the PPC’s efforts including Frick Park, developed from 1919 with 664 acres; Highland Park, shaped for public use starting in 1889 with 380 acres; Riverview Park, started in 1894 with 251 acres; and Schenley Park and Plaza, from 1890 with 456 acres. The total area of parks covered is 1751 acres or 709 hectares, measuring 7.1 square kilometres. In addition to these, the PPC and its partners also address another regional park, Emerald View to the west, and smaller public spaces, boulevards, trails and neighbourhood grounds. Over the past 21 years, the growth and impact of the Pittsburgh Parks Conservancy have built upon a solid foundation of valued, but degraded regional parks, fruitful partnerships with the City of Pittsburgh, community organization, and citizens, and visionary, preserving leadership at PPC supported by a talented staff and team of experts. Learning from the pioneering non-profit parks partnerships of Central and Prospect Parks in New  York City, the Olmsted Parks Conservancy, Louisville Kentucky and others, the Pittsburgh Parks Conservancy developed, and continues to innovate, a robust tool kit to approach the challenges of revitalizing public landscapes. This work requires multilateral initiatives, diverse partnerships and broad community support to address the range of physical, social, environmental and economic issues with a clear target of uplifting daily life in Pittsburgh through respecting and improving these beloved parks. Economist and author Richard Florida argues for the improvement of urban quality of place to draw upon and maintain the creative classes of people in a city. Works to uplift parks and present them to the citizens and city visitors revitalized an important aspect of urban quality of place (Fig. 22.1).

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Fig. 22.1  City map with regional parks shown in relationship to the city, smaller parks and neighbourhoods. (Courtesy LaQuatra Bonci and Pittsburgh Parks Conservancy)

22.3  PPC HUL Civic Engagement Application According to HUL, civic engagement should involve a cross section of stakeholders, empowering them and reflecting diversity in actions. From the outset PPC has engaged citizens and partners in diverse ways. One of the first initiatives of the late 1990s was a baseline parks user survey to document park user demographics, use, perceptions and desires. This foundational effort to engage the people of Pittsburgh yielded predictable results. Park use types include passive, active, social and educational. Passive use, any activity that involves just enjoying and being in the landscape, is the dominant usage, registering at over 60% of park use (Pittsburgh Parks Conservancy 1998). From this initial survey, the most agreed-upon issues were a lack of drinking water and bathrooms, and limited wayfinding to move through parks safely and comfortably, and having no one present to greet or answer questions. These findings guided initial projects to develop park visitor maps with measured paths and connecting routes, to restore paths and links, to upgrade specific buildings with restrooms and to repair water fountains. Further surveys, at both overall and project levels, continue to inform park improvement directions.

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PPC started as a membership organization, with low-level annual dues, to build a community of those who care about parks and to keep in touch with potential park advocates. Early growth of membership to over 1200 residents helped to create the political clout needed to forge strong partnerships with the city and community groups. The membership model shifted over time to a program of volunteer activities and roles as well as one time or scheduled donations. Volunteer activities include: • EcoSteward, where after training you work on a specific park area to suppress invasive species, plant native flora, control soil erosion and clean up trash all year. • Park garden volunteer, working alongside horticulturists and gardeners to learn about garden care and help with weeding, dead flower removal, planting and related maintenance activities. • Volunteer naturalist or building docent, who after training will welcome or guide park visitors for talks on nature and park history at the new Frick environmental center to reveal the park to interested people. • Corporate, school or community day volunteer coordinated with PPC to organize and participate in a park 3–4 h outing involving planting trees, cutting invasive vines and gardening with up to 25 people. The objectives of these volunteer activities are to foster stronger ties to the parks, to increase appreciation for park renewal, to cultivate park advocacy and to recognize park management needs and gaps. In addition to volunteer activities, park programs engage the public in park-based learning. In 1997, 1998, 2001 and 2002, BioBlitz surveys focused on citizen science with a 24-h study of counts of insects, birds, animals and reptiles sited in each park. This program engaged families and youth stirring interest and enthusiasm to improve park ecology and habitat and provided baseline habitat data for future reference. In terms of project engagement, the process towards developing the Frick Environmental Center included area walks, short online surveys and opinion requests, community meetings and during construction hard-hat tours with broad notifications and requests for engagement through postings in Frick Park and the PPC website. Citizen inputs were incorporated effectively into this environmental education-focused landscape and building. The centre, opened in 2016, is experiencing high visitation with over 70,000 visits in the first year of operation and high user satisfaction with its programs. PPC has documented that park use has steadily increased from 1999 to the present. Through the collaboration of PPC, Pittsburgh Public Works Parks team and the neighbourhood organizations and people, the parks have improved, area by area, and more services have become available to park users, making the parks more accessible and welcoming. These services include new and upgraded facilities and guidance such as park maps and signage, website information, drinking water fountains, restrooms and park and conscession staff in various park locations.

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22.4  PPC HUL Knowledge and Planning Application Bringing together a talented, experienced team to develop comprehensive plans that define the way forward is a hallmark of the PPC efforts. In HUL, knowledge and planning tools are identified as means of protection, recognition, monitoring and management, and all four of these aspects are present in the work of the PPC and its partners. From its beginnings, PPC sought team members with the technical knowledge and experience in historic parks they needed to be successful. Community engagement guided two master plans, project plans and park programs aligning parks heritage, environment and society to the city-wide community. PPC studied NGOs addressing public landscapes in terms of their means, methods and support as a way of standing on the shoulders of those who had come before and not reinventing the wheel (LANDSCAPES Landscape Architecture-Planning-­ Historic Preservation 2001). Bringing tested methods and approaches to their challenges accelerated their ability to be effective in gaining momentum and support. Knowledge and expertise were drawn from within PPC, and from community partners, individual experts, consultants and interdisciplinary teams, to match the needs of the undertaking. A continual sequence of planning has informed and directed the work of the PPC.  The Pittsburgh Regional Parks are managed for their historic and cultural values and assets and for their environmental quality in an integrated manner. Two sequential Pittsburgh Regional Parks comprehensive plans, in 2000 and 2015, presented a compelling vision for an integrated park system. The broad collaboration among the PPC, City of Pittsburgh, park expert consultants, citizen steering committees and broad public yielded inclusive directives and widely supported undertakings. Planning for these large parks balances history-use-function, develops phased projects, publicizes the plan as a future guide and reinforces a high public profile as works come forward. The 2000 master plan was a blueprint for stewardship of the parks, through restoration of features, systems and ecology in Frick, Highland, Riverview and Schenley parks. That plan looked back and forward to include history, chronology, current conditions and uses and directions for projects, partnerships and management (LaQuatra Bonci Associates 2000). With considerable progress in renewing the parks over the years, a 2015 master plan update incorporates current urban best practices to integrate parks and city. The plan applied the lens of integration studying five regional parks (one more than the first effort) to address blue-water systems, grey-transportation networks and green-­ ecological corridors. For example, the 2015 Regional Parks Master Plan focused on multimodal transportation to connect parks and made a preliminary selection of streets that could become green to foster habitat corridors and improve city air quality. The updated plan envisions strong projects that address park and city green-­ grey-­ blue systems holistically, connecting parks and neighbourhoods, moving towards greater sustainability of environment and society (LaQuatra Bonci Associates 2015).

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The Pittsburgh Parks Conservancy approach to value-based park planning and action is multivalued and integrated, exemplifying thinking globally and acting locally. Sustainability applies to all park system stewardship actions and initiatives to simultaneously address: • • • • • • • •

Environmental health Historic preservation Scenic quality, appreciation Diverse, inclusive uses Fiscal alignment Functional and durable landscapes Caretaker respect Community support

Drawn from the 2015 master plan update, source LaQuatra Bonci et al. 2015 In a simultaneous process, the city undertook a comprehensive city plan with PlanPGH.  Parks and open spaces served as the bedrock of the Open Space Plan component of that overall effort with a vision that defines the city as a network of existing parks and abandoned spaces that can all be uplifted. This broad plan sought to provide city-wide access to natural and cultural assets, opportunities to be active and healthy and places to play and celebrate. This plan highlighted pedestrian distances, at quarter- and half-mile intervals, to pinpoint well-served and underserved neighbourhoods. While there are gaps, the regional parks are accessible to a sizable percentage of the populace, and the additional small parks currently receiving PPC aid bring greater access. This master plan update statement of values aligns and integrates parks planning to city prosperity and liveability. A core value of life in Pittsburgh is the abundance of parks set among green hillsides and flowing rivers. Our civic leaders in the late 19th and early 20th centuries gave us this legacy as an act of foresight – toward economic growth and competitiveness, public health and well-being, and the simple pleasures of shared space and community spirit. (LaQuatra Bonci Associates 2015)

22.5  PPC HUL Regulatory Systems Application In HUL, regulatory systems include legislative and regulatory measures that address conservation and management of urban heritage. PPC uses regulatory tools to delineate roles and responsibilities of project partners so that works can proceed on a foundation of collaboration. Originally set aside in perpetuity as a commonwealth, parks were established for public recreation and enjoyment for all time. The city owns parklands as conserved areas. The PPC began its work by establishing a written agreement with the city that

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outlined initial roles and responsibilities, basically to work as partners in uplifting the regional parks. As projects were undertaken, project agreements were developed clearly defining PPC control of construction sites during restoration and renewal projects. The financial responsibilities, which itemize who will pay for what and when, are particularly important in such agreements. For some locations management agreements have also been put in place. For example, since the Schenley Plaza revitalization, which removed surface parking and built a public plaza, the PPC manages food booths and a restaurant and receives lease fees, under a detailed agreement with the city. Surrounded by universities, the area experiences heavy use, and the PPC and its partners operate programs such as yoga classes, performances, movie nights and more (Fig. 22.2). To undertake the restoration of Mellon Square, agreements between PPC, city and Pittsburgh Parking Authority were required as the square sits atop a public underground garage. These agreements clarified the responsibilities for the waterproofing layer between square and garage. Post-restoration, a management agreement currently being negotiated divides responsibilities between PPC and the city. Small-scale cooperation with the Highland Park Community Development board, Pittsburgh History and Landmarks and the Pittsburgh Downtown Partnership is addressed in writing through more informal letters that record agreements and roles for collaborative undertakings and through verbal communication.

Fig. 22.2  Schenley Plaza was transformed from parking lot to park through an extensive stakeholder engagement, design, approval, funding and management agreement process led by the Pittsburgh Parks Conservancy. Courtesy Pittsburgh Parks Conservancy

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In summary, for successful collaboration, clarity in the partnerships for uplifting public parks is a requirement. This clarity is best achieved with legally binding agreements that lay out the roles and responsibilities of the parties, precise communications and through constant goodwill and mutual respect.

22.6  PPC HUL Financial Tools Application Financial tools in HUL address income generation, adding that “government and global funds from international agencies, financial tools should be effectively employed to foster private investment at the local level” (UNESCO 2011). PPC has effectively pursued financing of park revitalization through private sector local sources as well as federal, state and city funds. As a non-profit non-governmental organization, PPC is constantly seeking funding for office space, staff salaries, park management and volunteer activities, programs and capital projects. PPC leadership has been effective in securing foundation support from philanthropic charities, membership dues from 10,000 members, citizen donations, state and federal project funding in partnership with the city, management funds and business and organization sponsorships. When state and federal funding sources are gained through grant applications, there are requirements to match with cash and in-kind costs. Private philanthropic funds have often been applied to meeting these fund matching requirements. Funds raised in the past decades for park diverse revitalization efforts have reached $106 million (Pittsburgh Parks Conservancy 2017). While many of the PPC projects are large and complex, others are small and focused. For example, a family that uses Schenley Park wanted the trails to be improved and provided $10,000 to achieve that work. With that modest fund, the PPC worked closely with city DPW staff and called on their consultants to limit direct costs to supervisory collaboration and materials with city staff labour. Specific historic paths and bridges were improved with that small fund and a creatively structured, focused, work program. An important source of unrestricted operating funds has come from the annual Hat Luncheon that has sponsors and income from individual tickets. Funds raised from this yearly spring event have supported PPC office and staff over the years. The Allegheny County Regional Asset District provides the City of Pittsburgh with $1.5 million annually in funding for the regional parks. In addition, the Frick Park Trust Fund provides an annual budget for the care of that park, currently at $480,000 per year for dedicated park staff. These specific funding sources give a boost to the regional parks in terms of addressing staffing and ongoing maintenance needs. However, there is a huge gap between the needs of a deteriorated park system and the funding available. That is the essential reason for developing the PPC as an NGO advocate for community-based public parks uplifting. One of the first projects financed through privately raised funds from a local foundation restored the Reynolds Street entry to Frick Park, focusing on upgrading a neighbourhood entry point landscape and structure to make the park more

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Fig. 22.3  Frick Park entry restored as a pilot project in 2000 welcomes people to the park graciously, as the historic design intended. Credit Patricia M. O’Donnell

welcoming. The results increased use and highlighted the historic gatehouse and designed landscape of this entry (Fig. 22.3). Two PPC projects provide data for project financing. In 2003, the reconstruction of the Highland Park Welcome Entry was undertaken to include about $580,000 for fountain reconstruction and paving, funded by the City of Pittsburgh, while the gardens, stone curbing, soils, irrigation and plantings were funded through local foundations, in a sequence of small projects adding up to about $650,000 (Heritage Landscapes 2003). Planting work was carried out by a neighbourhood employment program for disadvantaged citizens and neighbours contributed to the planting on work days to add to the sense of ownership. In 2008, a renewal plan for Mellon Sqaure began with a throguh report addressing origins, evolution, use and current conditions, recommending preservation and adaptive use. Mellon Square is a significant Modernist design for an urban plaza, which opened to the public in 1955. The work, accomplished in phases, combined focused public and private funding to rebuild the main fountain and cascade, construct a new terrace overlook and restore features and finishes throughout. $7 million funded the work, while $3 million endows management to keep Mellon Square in top condition. The focused effort on this centre city gem generated more than $300 million in surrounding investment in offices, condominiums and hotels, bringing new downtown residents, workers and visitors (Pittsburgh Parks Conservancy 2015) (Fig. 22.4). Financing the PPC office and staff for general operations and funding projects remains an issue to address year by year and project by project. The concessions at

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Fig. 22.4  Mellon Square 1955 Modernist master work restored and extended with new terrace. (Courtesy Pittsburgh Parks Conservancy)

Schenley Plaza produce some income that is applied on-site for the care and staffing of this heavily used plaza. Since 1996, $106 million in funds raised by PPC with partners have been used to revitalize and enhance heritage, functions, systems and environment of the regional parks and smaller parks and squares. PPC is the leader in bringing partners, stakeholders and funders together to collaborate. In terms of future funding, there is a desire to build an endowment fund to cover PPC general operations, and efforts to raise such a fund are in the initial stages.

22.7  P  PC and Partners Applying HUL Tools Towards Urban Sustainability Globally, a recent surge in city-shaping new parks has amply demonstrated the social, economic and environmental benefits of well-designed public parks and open spaces. Examples include the development of the Highline, New York, and the Red Ribbon Park, Qinhuangdao, China, among many others. The same holds true for revitalized heritage parks, squares and open spaces. The places in cities set aside by previous generations for the benefit of current and future generations provide public grounds where cultural diversity and biodiversity overlap and provide mutual benefits for safe, healthy, resilient cities.

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Founded in 1996, the PPC has raised and invested over $107 million to revitalize these historic community parks, completed 17 major projects and working to improve 22 city parks dispersed across the city. Their efforts respect the heritage of these parks while improving functions, scenic beauty, habitat and resilience by welcoming diverse uses and users to build social cohesion. Park Assets with World-Class Potential Pittsburgh is extraordinarily fortunate to have a multistrand emerald and blue necklace of parks, trails and water. The City of Pittsburgh has 171 park facilities comprising 2800 acres, with the 4 historic, valuable large parks, Schenley, Frick, Highland and Riverview parks, making up 60% of the parkland and serving as the major jewels in the city system. Despite having these irreplaceable natural and cultural assets, Pittsburgh’s parks are not yet achieving their potential. It is thrilling to envision a future in which these thriving, sustainable, historic parks make Pittsburgh an enviable place to live and work, because each park is: Complete in all capital repairs Well-managed and well-maintained Engaging park users in the history, ecology and breadth of resources Accessible for diverse recreation and well-marketed to the public Enjoyably and intelligently programmed Secure and perceived as safe and secure Adopted by a significant volunteer cadre Widely used by residents and visitors from across the region Fiscally well-managed by maximizing appropriate commercial revenue and raising additional private funds for sustainable support Recognized for leadership in best practices for parks in the area and the nation Sources: Pittsburgh Parks Conservancy (2005)

This park-centric work, for over 21 years in Pittsburgh, draws on all four HUL tool groups and applies lessons learned to build towards an integrated vision of parks and city. Sustainability applies to all park system stewardship and initiatives to simultaneously address environmental health, historic preservation, scenic quality and appreciation, diverse and inclusive uses, fiscal alignment, functional and durable landscapes, caretaker respect and community support. Value-based planning and action are exemplars of thinking globally and acting locally to foster benefits community wide. Addressing integration towards urban sustainability, HUL paragraph 22 states: Conservation of the urban heritage should be integrated into general policy planning and practices and those related to the broader urban context. Policies should provide mechanisms for balancing conservation and sustainability in the short and long terms. Special emphasis should be placed on the harmonious, integration of contemporary interventions into the historic urban fabric. (UNESCO 2011)

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This directive is embodied in the PPC work with its partners. Pittsburgh’s parks community-based revitalization of these cultural assets addresses the three pillars of sustainability, economy, environment and society, effectively towards uplifting the city as a whole. The work integrates and frames city park heritage uplifting within overall city development that is sustainable and makes significant contributions to urban life. Through the works of PPC and its many partners, the parks today are urban historic green spaces that have changed the urban context of a declining rust belt city. Together the projects and programs provide designed open space, air quality, sunlight, recreational assets and human-tended biodiversity to renew the bodies and spirits of urban dwellers. Persistence is required. The work continues.

References Heritage Landscapes. (2009). Mellon Square preservation, interpretation and management plan, for Pittsburgh Parks Conservancy. LANDSCAPES Landscape Architecture-Planning-Historic Preservation. (1986). Patricia O’Donnell, principal, with F.P. Clark Associates, Master plan for preservation and scenic conservation, Guilford, CT, 1986; a project for the Guilford Preservation Alliance, with Town of Guildford and Connecticut Trust for Historic Preservation. Chapter 5 proposed tools lays out educational and community involvement tools, financial tools, advisory tools and regulatory tools, pp. 27–41. LANDSCAPES Landscape Architecture-Planning-Historic Preservation. (1999). Patricia O’Donnell, principal, and Brown Carlisle & Associates, A chronology of significant events in the history of Highland, Schenley, Riverview and Frick Parks, Pittsburgh, Pennsylvania, Appendix to the Pittsburgh Regional Parks Master Plan, September 1999. LANDSCAPES Landscape Architecture-Planning-Historic Preservation. (2001). Patricia O’Donnell, principal, with Barry Hannegan, Charles E.  Beveridge, Meg Cheever, Susan Rademacher, Tupper Thomas, Mellon Park preservation & management plan, for the Western Pennsylvania Conservancy and the R.K. Mellon Foundation, 2001. LANDSCAPES Landscape Architecture-Planning-Historic Preservation. (2003). Patricia O’Donnell, principal, Construction documents, project files, Highland Park welcome entry. LaQuatra Bonci Associates. (2015). Regional Parks Master Plan 2015 Update: Envisioning the Historic Regional Parks as cornerstones of a vibrant parks and open space system for a sustainable 21st century city with Heritage Landscapes Strada LLC, BioHabitats, Perkins Eastman LLC, for Pittsburgh Parks Conservancy and the City of Pittsburgh. LaQuatra Bonci Associates/Michael Stern. (2000). With Biohabitats Inc., Tai + Lee Architects, LANDSCAPES Landscape Architecture-Planning-Historic Preservation, Earthware/Landbase systems, Pittsburgh’s regional parks master plan: A new ethic of stewardship, for city of Pittsburgh, Department of City Planning, Pittsburgh Parks Conservancy, 2000. Lippert, et al. (2016). Evolving the urban landscape: Pittsburgh’s Public Spaces in Planning and Design Building and Growing Partnerships, Presenters Josh Lippert, ASLA, City of Pittsburgh, Department of City Planning, Frederick R. Bonci, RLA, ASLA, LaQuatra Bonci Associates, Lauren Schmitt, ASLA, AICP, MIG, Inc, Patricia M.  O’Donnell, FASLA, AICP, IFLA, ICOMOS, Heritage Landscapes LLC, American Society of Landscape Architects Annual Meeting, 2016, New Orleans, LA. O’Donnell. (1979). Survey of Buffalo’s Olmsted Parks for National Register of Historic Places Nomination, 1979, for the Landmark Society of the Niagara Frontier, and the New York State Department of Parks and Recreation, Division for Historic Preservation

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Pittsburgh Parks Conservancy. (1998). Current park use and experience citizen surveys, telephone, intercept and focus groups, 1998, Pittsburgh Parks Conservancy. Pittsburgh Parks Conservancy. (2005). Pittsburgh regional parks: World class assets to Steward more effectively, by Ralph Cryder, Patricia O’Donnell, Tim Marshall, Brigid Sullivan, and Robert Teeter, for Pittsburgh Parks Conservancy. Pittsburgh Parks Conservancy. (2015). Pittsburgh Parks conservancy summary of Mellon Square funding and adjacent investment summary via email, Meg Cheever PPC President, 2015. Pittsburgh Parks Conservancy. (2017). Summary of funds raised in past 21 years via email, Meg Cheever PPC President, 2017. UN Habitat. (2016). New Urban Agenda, finalized at Quito Ecuador, October 2016. UNESCO. (2011). Recommendation on the historic urban landscape. Paris: UNESCO. UNESCO. (2015). Transforming our world: The 2030 agenda for sustainable development, goals page 12, targets page 13 to 23.

Chapter 23

Perspectives for a Historic Urban Landscape Approach in Porto, Portugal Teresa Cunha Ferreira and Ana Tarrafa Silva

Abstract  The Recommendation on the Historic Urban Landscape invites states parties to consider more sustainable development models for urban conservation policies and practices. Urban conservation strategies have a long history in the city of Porto. Hence, this background has a direct influence on the nomination process of the Historic Centre of Porto, inscribed on the World Heritage list in 1996. Presenting a perspective of the existing strategies and policies in urban conservation management and reflecting on the implementation of a HUL approach in Porto, this paper analyses several tools, namely, the Municipal Master Plan (PDM) and the WH Management Plan, among others. The results indicate the existence of strengths and potentialities that need to be developed and improved, through the increase of more participatory processes, as well as more investment in identifying the values and their relation to specific threats. Keywords  Historic urban landscape · Historic Centre of Porto (World Heritage) · Municipal Master Plan · Management Plan

23.1  Introduction The sustainable management of the balance between urban development and heritage conservation has featured prominently in recent international debate surrounding heritage policies and was recently synthesized in the UNESCO Recommendation

T. C. Ferreira (*) Centro de Estudos de Arquitectura e Urbanismo, Faculdade de Arquitectura da Universidade do Porto, Universidade do Porto, Porto, Portugal e-mail: [email protected] A. T. Silva Urban and Spatial Planning, Porto, Portugal © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_23

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on the Historic Urban Landscape1 (UNESCO 2011). This document proposes a holistic understanding of urban historic areas, as well as the implementation of more all-inclusive approaches. According to the HUL Recommendation, urban heritage is interpreted as the result of a historic layering of cultural and natural values and attributes, tangible and intangible, extending beyond the notion of “historic centre” or “ensemble” to include the broader urban context and its geographical setting, as well as all parties interested in their city’s management (UNESCO 2011). Despite not being a binding document, the UNESCO states parties (and local authorities) are invited to identify the “critical steps” which can bring them closer to a HUL approach, through the resources’ mapping, the definition of their cultural value as well as their vulnerability level to change and development. Moreover, these outcomes should be integrated into the broader urban development framework, so that action and change are continuously monitored through a participatory process (UNESCO 2011). The HUL Recommendation is, therefore, a flexible instrument which encompasses adaptation, dissemination and monitoring (UNESCO 2011; Veldpaus 2015; WHITRAP 2016). In Portugal, there are so far no national initiatives to disseminate this kind of approach. Nevertheless, some recent researches have explored its integration potentials in Portugal (Tarrafa Silva et  al. 2017), namely, through the spatial planning tools (Tarrafa Silva 2017), which are indicated by the National Heritage Law (Lei de Bases do Património Cultural, Law no. 107/2001 of 8 September: LBPC2001) as one way to enhance heritage. On the side of spatial planning legislation,2 heritage is recognized as a resource that should be identified by territorial planning tools, particularly in the Municipal Spatial Plans (Planos Municipais de Ordenamento do Território: PMOT)3 which should define the application of urban parameters and protection zones. Among those, the Municipal Master Plan (Plano Director Municipal: PDM)4 is the only mandatory spatial planning tool, binding public and private sectors and defining the general strategic guidelines for more detailed plans PP and PU (Tarrafa Silva 2017). This paper explores some perspectives on the implementation of the HUL Recommendation in Porto, Portugal. Recognizing its relation with the Douro River and wine industry (Port wine), as well as its medieval historic centre (World Heritage since 1996), Porto can be a relevant case for exploring the HUL approach, not only

 Hereafter HUL Recommendation  Regime Jurídico dos Instrumentos de Gestão Territorial: RJIGT (Law Framework for Spatial Planning Tools): Decree-Law no. 380/99 of 22 September, recently reviewed by the Decree-Law no. 80/2015, of 14 May 3  Also known as Instrumentos de Gestão Territorial (Spatial Planning Tools), being constituted by the PDM (Plano Director Municipal: Municipal Master Plan), the PU (Plano de Urbanização: Urban Plan) and the PP (Plano de Pormenor: Detailed Plan) 4  Urban development in Portugal is ruled by the PDMs, which are crucial legal instrument in the management of the municipal territory. The PDM defines the strategic framework of territorial development of the municipality, being the reference instrument for the elaboration of the other municipal plans (RJIGT). 1 2

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because it is a multilayered urban settlement in a stunning landscape but also due to its own urban conservation history and its management instruments and policies. Indeed, the Historic Centre of Porto, in a context of opening to the international debate influenced by the Venice Charter of 1964 (Ferreira 2007), was the stage of one of the pioneer studies on urban conservation in Portugal: the “Estudo de Renovação Urbana da Ribeira Barredo” (Távora 1969). Understanding the city as a continuous series of layers that should be respected, along with its resident community (Pinho 2009), Fernando Távora developed a multidisciplinary and integrated study including not only the urban and architectonic perspective but also the physical (environmental, geographic, etc.) and human (sociocultural, demographic, etc.) aspects, as well as developing economic and administrative (legal framework and policies) proposals (Távora 1969). The integration of conservation objectives into the general urban framework, in which change was considered as part of the slogan “continuar-inovando” (“to continue innovating”; Távora 1969), demonstrates a connection with today’s urban rehabilitation doctrines and the objective of HUL approach 50 years later. This and other experiences have had a profound influence on urban conservation and housing programs in Portugal since the democratic regime of 1974, namely, on a series of technical offices5 disseminated through the country (Pinho 2009). Since then, urban conservation looked towards a new integration of urban development policies and urban conservation objectives (Aguiar 2010).

23.2  The Case Study of Porto 23.2.1  P  orto: A Metropolitan Area, a City and a WH Historic Centre Located in the North of Portugal, the city of Porto is the head of the second largest Portuguese metropolitan area, which includes 16 municipalities and 1,684,901 inhabitants (INE 2009). The municipality of Porto stands out for activities related with higher education and health, and more recently tourism, due to the ubiquity of low-cost travel, which is pressuring the restructuring of the old city, and its functional specializations are now increasingly targeted at visitors rather than residents. The city of Porto (corresponding to the municipal area – Fig. 23.1) covers an area of 4166 ha with 238,000 residents (INE 2011). The Douro River delimitates the city to the south, developing along a winding valley that determines a rugged topography. The great variations of altitude along the banks determine singular forms of appropriation of the territory that today form the Douro River and Porto landscape.

 Gabinetes Técnicos Locais: GTL

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Fig. 23.1  Scheme with the metropolitan area of Porto, the municipality/city of Porto and the Historic Centre of Porto

The metamorphosis of the city and the extensive urbanization of the territory surpassed the defined limits of the old city, growing into its peripheries. The Historic Centre of Porto is an urban agglomeration of great historical, artistic, cultural and architectural value, confined, for the most part, to the line of fortified walls of the fourteenth century. A geographically important point, favourably exposed to the southern quadrant along the great river, close to the sea, the city of Porto has always been a focal point of populations since prehistoric times. Inscribed on the UNESCO World Heritage list in 1996 as “Historic Centre of Porto”, under the cultural criterion (iv), the WH committee considers that the site’s OUV lies in the “urban fabric and its many historic buildings bear remarkable testimony to the development over the past thousand years of a European city that looks outward to the west for its cultural and commercial links” (UNESCO 1996). When the Management Plan was published (2010), this historic area contained 1763 buildings. The condition of these buildings varied, with 61% in satisfying condition and 36% classed as worst status (Porto Vivo SRU 2008). Recently, within the requirement of a retrospective Statement of Outstanding Universal Value  – OUV (UNESCO) – ICOMOS-Portugal recommended the extension of the property name, from “Historic Centre of Porto”, as was inscribed since 1996, to “Historic Centre of Porto, Luiz I Bridge and Monastery of Serra do Pilar”6 (Fig. 23.2). After all, this constituted a simple extension to the names of the attributes which were already  To shorten, in this article authors opted to use the 1996 property name – Historic Centre of Porto.

6

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Fig. 23.2  Perspective of the Historic Centre of Porto from Serra do Pilar of D. Luis and Historic Centre of Porto. (Loza 1993)

covered by the 1996 inscription, which included also an area on the other mouth of the river, in the neighbouring municipality of Vila Nova de Gaia.

23.2.2  A Mosaic Management Porto has a long history of conservation management with a variety of strategies conducted by different institutions (local and national) and various management areas, which have been overlapping over the time. Hence, there are different areas (Fig. 23.3) which are managed by different entities and regulations, each of them with different aims and purposes. The Critical Area for Urban Recovering and Conversion (Área Crítica de Recuperação e Reconversão Urbanística: ACCRU)7 covered 1050 ha (one-fourth of the Porto municipal area), which corresponds to the Porto Vivo Sociedade de Reabilitação Urbana (Porto Vivo SRU) intervention area. This area includes other delimitations, such as several Urban Rehabilitation Areas8 (ARUs), the area listed as Property of Public Interest (IIP) – Zona Historica do Porto and the World Heritage area and respective buffer zone (300 ha), which includes part of Vila Nova de Gaia municipal territory (UNESCO 2006). 7  Decree-Law no. 794/76, of 5 November, changed by the Decree-Laws no. 313/80, of 19 August and no. 400/84, of 31 December. 8  Área de Reabilitação Urbana: ARU (Law no. 32/2012, of 14 August).

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Fig. 23.3  Map and timeline with different areas and instruments

Since 2007, the management of the Historic Centre of Porto has been supported by Porto Vivo SRU, a public limited company (initially 60% state9 and 40% ­municipality), whose purpose is to promote the urban rehabilitation of the area corresponding to the parishes of Sé, Miragaia, S. Nicolau, Vitória, Massarelos, Bonfim, Cedofeita and Santo Ildefonso, initially corresponding to the ACRRU. Portuguese law LBPC2001 declares UNESCO properties as national monuments, which are governed by the Directorate-General of Cultural Heritage10 (DGPC), in coordination with the Regional Directorates of Culture of the North11 (DRCN). In 2010, the buffer zone was replaced by an ARU on both municipalities of Porto and Gaia. Urban development in Porto is governed by the Municipal Master Plan (PDM), which defines the strategic framework of territorial development of the municipality, corresponding to the city territory.

9  Through the Housing and Urban Rehabilitation Institute (Instituto de Reabilitação Urbana: IHRU). 10  Direção Geral do Património Cultural: DGPC. 11  Direção Regional da Cultural Norte: DRCN.

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23.3  Methodology Rather than an analysis of the policies implemented in the city of Porto, this article is an overview and exploration of the urban development model followed in this historic city, grounded in the HUL concept, which goes beyond the notion of “ensemble or historic centre” to the broader geographic and social context (UNESCO 2011). As the Porto territory is managed by a wide range of entities, with different targets and aims, this exercise used the documents produced by each of those actors (Table 23.1). Documents were organized by entity and categorized according to its nature (i.e. identify, manage or assess resources) and by its general target, namely, if it is exclusively meant for urban development, heritage policies or if it is an integrative tool of both policies. The PDM and the WH Management Plan are the most complete documents and thus the core of this study. Despite being both integrative tools, these two instruments work over different areas and are managed by different entities. The methodology also consisted of drawing of specific maps (e.g. historic evolution of the city, inventoried properties and assets, listed properties and assets, protected areas). Moreover, complementary statistical analysis was performed (e.g. percent of listed buildings, percent of protected areas) aiming at exploring surveys and resources’ mapping, as well as developing a comparative analysis over the integration of different strategies and tools. A survey of the Porto Historic Centre inhabitants was also carried out (Ferreira and Pinto 2017). Developed in November 2017, the questionnaires covered a random sample of 22 individuals (11 men and 11 women) of the 4 parishes of the Historic Centre (Miragaia, São Nicolau, Sé, Vitória), 90% adults of which 28% Table 23.1  Data collection Scale Entity National DGPC (DRCN) UNESCO (ICOMOS-Portugal) IHRU Local

Porto Town Hall (CMP)

SRU (CMP)

a

Document National inventory (SIPA) WH list nomination file/ABE report (1995) Housing policies Rehabilitation policies (ARU/ORU) PDM (2006) Heritage properties charter (IPAP) State of conservation report (1998) Periodic report (2006) Statement of OUV (2016) Periodic report (2016) Master plan (2005) Management plan (2008) Monitoring report (2011–2014)

I inventory, M management, A assessment UDP urban development policy, HP heritage policy, IP integrative policy

b

Naturea Targetb I HP I HP – – M I A A I A M M I

UDP IP IP HP HP HP HP IP IP IP IP

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were over 65 years old. The majority of the interviewed had basic education (4 years of primary studies).

23.4  P  erspectives on the Implementation of HUL Steps in Porto The HUL Recommendation is clear when assuming the flexible and adaptable nature of the proposed urban development model, its action plan and tools (UNESCO 2011). According to this document, the critical steps can be adapted and followed in a different order, as long as conservation objectives are integrated into the urban development framework, as a crucial activity on the path for the sustainable development. Therefore, in this paper, the results were organized according to the action plan steps proposed by HUL approach and interpreted by Veldpaus (2015), which will enable the estimation of the level of concordance with the current management process (Table 23.2).

23.4.1  Understanding the Context The deep knowledge of the city resources is the first step for sustainable management (WHITRAP 2016). To achieve this, the HUL approach defines three crucial steps: (1) mapping city resources (natural, human and cultural), (2) identifying values through participatory planning tools aimed at reaching consensus on the attributes and values to preserve and finally (3) assessing the factors affecting those values, revealing their vulnerability level. Table 23.2  HUL critical steps and general stages of heritage management process Heritage management process (Veldpaus 2015) Understanding the context

Integration in the wider urban framework Managing action

HUL steps (Veldpaus and Pereira Roders 2013) Step 1: Mapping natural, cultural and human resources Step 2: Reach consensus on what to protect: values and attributes Step 3: Assess vulnerability to change and development Step 4: Integration in the wider urban framework Step 5: Priority actions Step 6: Establishment of partnerships Monitoringa

Adapted from Veldpaus (2015) a Assumed by HUL Recommendation but not integrated as a critical step

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23.4.1.1  Mapping Natural, Cultural and Human Resources Mapping resources might include three dimensions (Veldpaus and Pereira Roders 2013): (a) identification through textual description of resources, (b) location of resources in a map or a table and (c) the evolution of resources through their compared analysis over time (Gustcoven 2016). A fourth dimension involving the (d) assessment of resources’ state of conservation can also be introduced. Porto municipality has been identifying heritage properties since the first inventories developed in Portugal, namely, the “National Monuments” list of 1910 (e.g. Porto Cathedral or the Clérigos Church and Tower), as well as in successive inventories and listings. In this regard, it is important to recall the systematic digital inventory Sistema de Inventário Património Arquitectónico (SIPA) created in 1993 by the former General Directorate of National Monuments and Buildings  – DGEMN12 (1929–2007). The local cultural value as an ensemble has been recognized since the 1960s (e.g. Távora 1969). However, the nomination process of the Historic Centre of Porto to the WH list in the 1990s broadened the recognition of this value. This procedure, coordinated by the former Commissariat for the Urban Renovation of Ribeira/Barredo Area – CRUARB13 (Loza 1993, 1998, 2000) – covered a series of comprehensive surveys and studies, which provided a broad understanding of the area and contributed to the compilation of the proposal to the World Heritage list, approved in 1996. In the following period, since 1998, the Municipal Department for Cultural Heritage (Divisão Municipal do Património Cultural) started developing the Inventário do Património Arquitetónico do Porto - IPAP (1998–2007) – including not only the historic centre but the whole city of Porto – which was later partially integrated into the PDM Heritage Charter14 (PDM Porto 2006), as a georeferenced and web-accessible instrument. Today, this collection of information constitutes a dynamic and flexible database including not only legally protected properties (listed or submitted to listing) but also other inventoried properties recognized with cultural significance (Imóveis de Interesse Patrimonial) according to specific criteria (CMP 2005b, pp.  247–248). The properties and areas defined in PDM Heritage Charter consist mostly of built heritage, from single buildings to ensembles, including also isolated urban elements (e.g. sculptures, bridges, etc.) and, for listed buildings, related protection areas (protection zones). The inventory of heritage (along with the PDM Heritage Charter) came to be a fundamental support to PDM, not only integrating this data but enhancing it with new knowledge. Each inventoried property is also the object of individual inventory files and georeferenced in PDM Heritage Charter by a location street, the legal protection  Direção Geral dos Monumentos e Edificios Nacionais: DGEMN.  The CRUARB (Comissariado para a Renovação Urbana da Área de Ribeira/Barredo) was the entity in charge of the rehabilitation and recovering process in the Porto Historic Centre (including the WH classified area) since 1974 until 2003. It has been replaced in 2004 by Porto Vivo SRU. 14  The PDM Heritage Charter is a static tool that can be periodically updated (e.g. the 2006 PDM Heritage Charter was updated in 2012). 12 13

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Fig. 23.4  2006 PDM Heritage Charter. (PDM Porto 2006)

level (listing category, when listed) and a code locating it on the map. However, the intention to provide extra information to consider in future interventions, such as significant values and attributes, has never gone beyond that, because the criteria of evaluation and the values to be preserved are not identified in the inventory files. The PDM Heritage Charter of 2006 (Fig. 23.4) integrates the different kinds of elements proposed in the PDM report (CMP 2005a, b) and described in PDM statutory ordinance (Regulamento do PDM): Properties of Heritage Interest (inventoried and listed), Areas of Urban and Architectonic Interest, Nuclei and Places, Green Areas of Heritage Value, Perimeters of Archaeological Protection (Special Protection Zone/Automatic Protection Zone; Special Perimeter of Archaeological Protection/ Zone of Archaeological Potential), ACRRU and Listed Tree Species (zones with trees; isolated trees). There are other local inventories conducted by the Municipal Department for Cultural Heritage, but they are not integrated. Nevertheless, these may contribute to raising awareness for other heritage attributes typologies (Veldpaus 2015), such as building elements (e.g. public art, azulejos database) or even intangible typologies. Although any citizen can recommend the introduction of new properties and assets, the inclusion process remains mainly supported by expert assessments, with sparse participation of local inhabitants and associations. Some initiatives, such as the projects with scholar communities (e.g. CD-ROM “Porto o nosso Património”), may be preliminary steps to extend this process to the community.

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23.4.1.2  Reach Consensus on What to Protect: Values and Attributes The process of heritage mapping and listing in Portugal is still mostly centralized (Tarrafa Silva et al. 2017). Rather than being the outcome of an anticipatory value-­ based assessment, the inventory processes occur more frequently in a reactive way, in order to protect a property from an imminent damage or threat, or, because its antiquity has been recognized. This may have problematic results, as urban actors do not know what should be protected, or why, and often see these instruments as an obstacle to development. Reaching a consensus through stakeholder consultation and participatory planning on values and attributes, as recommended by HUL approach (UNESCO 2011), is crucial to solve this conflict (Bandarin and Van Oers 2012; Veldpaus 2015). Following the national perspective (Tarrafa Silva et al. 2017), in Porto, the identification of those values and attributes resulted mostly from expert value assessments, excluding the participation of other interested actors (e.g. promoters/investors, resident community, etc.). For instance, a recent survey of Porto Historic Centre residents (Ferreira and Pinto 2017) revealed a common unawareness regarding the limits and attributes of the WH site. Moreover, the inquiries reveal the intangible attributes (people and social relations) as the most referenced cultural value (51%), contrasting with the “architectural heritage” mentioned by less than 8% of respondents (Fig. 23.5). In Portugal, heritage listing process is a procedure that can be opened by any citizen and be evaluated by a group of experts (DGPC or town hall culture departments,

Fig. 23.5  Chart with most valued elements by Historic Centre of Porto residents. (Ferreira and Pinto 2017)

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Fig. 23.6  Chart with inventoried and listed buildings. (CEAU-FAUP 2017)

in case of properties of municipal interest) and validated by an assembly democratically elected (national or municipal assemblies). In this way, it can be considered, in theory, as a result of a participatory decision process. The decision process defines that certain property has such a relevant significance that should have a special protection, materialized in the legal requirement of binding advice from DGPC or DRC and in the definition of protection zones. However, for it to move beyond being only theoretically participatory, more actors need to be engaged in the process. From the analysis of the PDM Heritage Charter, we can observe that about 12% (155 properties) of the inventoried properties (total of 1324 properties) are listed as a National Monument (MN), Property of Public Interest (IIP) or Property of Municipal Interest (IIM), generating protection zones under the safeguarding of the DGPC (Fig. 23.6). Although the LBPC2001 law states that inventorying is the first step of protection, it is important to acknowledge that, in the practical day-to-day management of interventions in the city of Porto, only listed buildings or buildings placed in listed ensembles or protection zones have a more effective legal protection through the binding advice of DRCN or DGPC. It should also be highlighted that there is a wide range of buildings with legal protection even though they are not listed individually, namely, the assets that are included in Public Interest Ensembles (CIP) or in the area of the Historic Centre of Porto which, according to the Portuguese legislation, is listed as National Monument15 (Fig. 23.7). These ensembles comprise a large number of properties that holding legal protection (corresponding to 18% of the total area of Porto) through binding advice of DRCN or DGPC (Fig. 23.8), and it is in this extended perspective – from the buildings to the ensembles – that we should understand the resource’s mapping of the city of Porto, with a positive remark in a HUL perspective.  The following Public Interest Ensembles (CIP) are currently listed: Avenida dos Aliados, Avenida da Boavista, Avenida Montevideo, Praça da Republica and Rua Álvares Cabral, Conjunto da Foz Velha and Historic Zone of Porto.

15

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Fig. 23.7  Map with listed buildings, protected zones and ensembles of public interest. (CEAU-­ FAUP 2017)

Fig. 23.8  Chart with ensembles of public interest and protected zones

23.4.1.3  Assess Vulnerability to Change and Development The identification of the factors that might affect heritage properties is the last step to understand the context (step 3), before defining management strategies. Indeed, it is the correlation of the defined cultural significance (attributes and values) and the level of vulnerability of those significant resources, which enables the establishment of a coherent approach towards sustainable development. In this way, the

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inheritance of the past is preserved without compromising the needs and aspirations of present and future generations. To be resilient is to be conscious of what can be changed without compromising the authenticity and integrity of the place and on the other hand to accept that conservation is the “management of thoughtful change” (Getty 2010) and not the conflict with any alteration. The socioeconomic pressures and the impacts derived from climate change have been considered  as the two of the greatest groups of threats to heritage (Veillon 2014). More specifically, in World Heritage cultural properties, the problems related to management systems and management plans are the threats with the strongest impact (Veillon 2014, 70). In the Porto case, regarding the risks derived from natural phenomena (potentially increased with climate change impacts), these range from floods in the Douro River, extreme weather conditions, landslides or small earthquakes. Regarding threats of human origin, which are the most prominent, besides fire, these range from socioeconomic pressures and the incompatibility of uses (Loza 2017, 178), as well as pressure from real estate (generally focused on short-term profit rather than in sustainable or more compatible interventions). Some of those risks derive from tourism (the fifth in the ranking of WH cultural properties’ threats in UNESCO – Veillon 2014, 70), an economic activity that is increasing extensively in the city. Despite the undoubted positive outcomes (e.g. employment, revenues, investment, etc.), tourism also has negative impacts (e.g. gentrification, loss of authenticity and services to residents, price raising, traffic, etc.), which, if not controlled, may cause irreversible damage to the place’s value. However, in Porto city, the only threats that have been formally reported as having a direct impact in heritage were the loss of population in the Historic Centre of Porto, noticed since the first Periodic Report (UNESCO 2006), as well as development projects, particularly the ones concerning infrastructural works to improve the navigability of the river and the protection of the shorelines (UNESCO 1998). The report sent by ICOMOS-Portugal (2012) regarding the real estate development in Cardosas Area warned of the impact that the proposed strategy might have on cultural significance and, in this case, on OUV. Although identified, these threats are not represented in any kind of vulnerability tools. For instance, the definition of protection zones for legally protected and inventoried properties consists of a mere graphic representation of buffer zones without the identification of the relationship between properties and threats and thus cannot be considered as vulnerability tools. In a survey carried out on the inhabitants of the Historic Centre of Porto (Ferreira and Pinto 2017), the major identified problems and threats were the excessive ­presence of tourist accommodation (and subsequent loss of local population), real estate pressure, as well as the negative impacts of tourism. However, local inhabitants also recognize some benefits from the tourism increase. Hence, as a recommendation, many residents suggested the introduction of policies or measures to protect the remaining residents and to find a more sustainable balance between tourism and local communities.

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Finally, concerning understanding the context (steps 1, 2 and 3), HUL recommends, as best practice, full knowledge of the context, integrating positive (attributes and values) and negative (threats) factors. Though Porto is partially accomplishing this, there is a need to incorporate more surveys regarding the significance definition and related vulnerability assessment, applied to the entire city, to fully implement a HUL approach.

23.4.2  Integration in the Wider Urban Framework The fourth step of HUL approach (Table 23.2, step 4) involves the integration of the outcomes of resource mapping, significance definition and vulnerability assessment into the “wider framework of city development” (UNESCO 2011). The integration of heritage conservation issues into spatial planning frameworks has been established as legally mandatory (Veldpaus 2015) as it is for Portuguese spatial planning tools (Tarrafa Silva 2017). While the step of resource mapping is partially accomplished by PDM (including the comprehensive inventory of the whole Porto city area in the Heritage Charter), the same cannot be said of further steps, which reflect the low investment and knowledge applied to open the discussion over values and attributes to preserve and the development of instruments to assess the impact of threats on defined cultural significance. Nevertheless, an attempt to reach a consensus on the values to be preserved (Sect. 23.4.1.2) can be explored during the public discussions organized during planning processes (e.g. PDM), where the entire community is invited to discuss the proposed plan. However, heritage issues are not a frequently raised theme, indicating the need to develop more ad hoc initiatives to get the community involved. In a different perspective, acknowledging the value and influence of listing properties, the Porto PDM incorporates a multivariable tool (SIM-Porto) to manage construction rights in rehabilitation interventions within historic area of the ACRRU.  In order to better manage the built pressures in this part of the city, the SIM-Porto weighs up social, economic and material variables, including the “heritage value” (given by the listing category) and the conservation status of the property, in order to assign fair construction rights outside the ACRRU area. However, the first analysis of the implementation (DMPOT 2012) of this tool has indicated a poor reception, which could be related to the economic crisis that hit Portugal during this period. Regarding the assessment of vulnerability, the definition of protection zones, represented in the Restrictions Maps (Carta de Condicionantes) of spatial planning tools, is not effective enough. In fact, the relation between the values to preserve and the threats are not described and thus have no practical effect in the management process.

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23.4.3  Managing Action The last steps of the HUL approach to heritage management (Table 23.2) may be taken as the practical application of the knowledge gained in the earlier stages and integrated into a single broader stage named “managing action” (Veldpaus 2015). This stage consists of (a) the definition of priority actions to be taken with the “management of thoughtful change” (step 5), (b) the establishment of local partnerships (step 6) and (c) the monitoring of those actions (UNESCO 2011; Veldpaus 2015). The establishment of priorities and the monitoring of actions are the least established steps, while the establishment of partnerships is often “associated with the involvement of local community” (Veldpaus 2015, p. 87) and less with other interested parties (e.g. promoters, universities, construction companies, etc.). Heritage is one of the main targets of Porto urban development, at least as it is defined in the PDM strategic objectives (CMP 2005a, b) and materialized by the continuous public investment in urban rehabilitation actions within the historic areas. Nevertheless, the identified deficiencies in the process (from the significance definition, step 2, and vulnerability assessment, step 3, resulting in considerable implications on further HUL steps) indicate also that the objective might not lie in the values and attributes conservation aims but, rather, in aims that work towards an intermediate target to accomplish other major objectives, seen as more transversal to society (e.g. economic, social, political, etc.). Moreover, some rehabilitation action priorities were settled by the Management Plan (2008), a document developed by Porto Vivo SRU that, despite covering a bigger area than the Historic Centre of Porto  – ACRRU, is still limited to an area smaller than the actual city. Based on a comprehensive survey of this area (including the assessment of conservation status, occupation, ownership and economic dynamics, mobility, environment), it defined four priority operations: Morro da Sé, Mouzinho/Flores, Clérigos and Vitória. Regarding the creation of partnerships, the town hall is very conscious of its importance and has been promoting partnerships in urban rehabilitation programs, between owners, finance institutions and construction companies (Porto Vivo SRU 2008). On a positive note, the university is often called to take part in planning processes such as in PDM revisions (e.g. University of Porto). However, the integration of community in planning and decision actions is still something that could be improved. Furthermore, as far as monitoring is concerned, it is only assumed by the Management Plan in the Historic Zone of Porto16 and in the proprietary operations. Between 2010 and 2014, Management Plan Monitoring was subject of annual reports, providing the basis for the periodic reports sent to UNESCO every 10 years (Porto Vivo SRU 2010–2014). Lastly, despite the described initiatives for both heritage stage processes described in 4.2 and 4.3, the integration of the gathered knowledge in the wider  The historic centre considered in Management Plan corresponds to the area nationally listed as IIP in 1997 (see Fig. 23.3), a slightly larger than the area inscribed in the World Heritage list.

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urban policies and further monitoring actions suggested by HUL Recommendation as a good practice are compromised, in Porto, by the incomplete definition of the context, as described on the first global stage (4.1).

23.5  Conclusion and Recommendations The HUL Recommendation is not a binding document and neither is it a new heritage category. However, as a definition and an approach, it is perfectly clear regarding the flexibility and adaptability to each context of the proposed action plan and tools. The recommendation lies essentially in proceeding with the principles of sustainable development, in which the widest participation possible is crucial, where all involved parts are aware of what has been managed. Porto has a long history on heritage safeguarding and on its integration into urban development frameworks and strategies. However, some problems still persist, and the dispersion of entities, areas and tools makes management often ineffective. As previously reported, while the identification of the city resources is well developed, the same cannot be said regarding the identification of the values to be preserved and the vulnerability level ascribed to them. In this way, more all-­inclusive initiatives are demanded, extended beyond the listed properties, and in which all the interested parts are invited to effectively define the values and attributes to be conserved. Moreover, threats jeopardizing properties should be clearly identified and connected with the values defined to be preserved. The intersection between the defined values and related threats is crucial for every city stakeholder. As stated before, the deficiencies in the “understanding context” stage compromise the rest of the process. In fact, as it happens in Porto (namely, in the PDM), inventories may be integrated into wider urban development policies, but it has not an effective consequence in the management of city development. Hence, we might conclude that despite the legal obligation to integrate heritage in wider planning frameworks, its perception still remains limited. In other words, heritage is often associated with restrictions to development and not as something that can be changed and adapted to fulfil current needs, without compromising its consensually assumed authenticity and integrity. The “Management Plan” appears to be the most comprehensive tool and closest to HUL Recommendation, integrating the identification of resources besides cultural ones, identifying some related  threats and establishing priority actions and partnerships. It also has its own monitoring process, in which the defined indicators reflect a more inclusive approach. However, it only concerns a part of the city, greater than the historic centre, but still only a part and not the city as a whole. Also, the actions, translated in ARU, which are urban development tools, are very focused on detailed quarters and missing the whole picture. In Porto city, most of the identified gaps in a HUL perspective may result from the unfamiliarity with these concepts and processes. Hence, the dissemination of initiatives and tools to promote the HUL approach may change the way in which

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heritage resources are still treated, which varies in between two extreme opposites: everything is valuable and then everything should be preserved, or in face of the ambiguity, every change is acceptable (including total demolition and disappearance). Part of the required knowledge and tools may be already present, but a perspective in which heritage is fully seen as a city development resource should auspiciously be adopted.

References Aguiar, J. (2010). Após Veneza: do restauro estilístico para o restauro crítico. In J. Custódio & M. Soromenho (Eds.), 100 anos de património: memória e identidade (pp. 219–236). Lisboa: Instituto de Gestão do Património Arquitectónico e Arqueológico, I.P. Bandarin, F., & Van Oers, R. (2012). The historic urban landscape: Managing heritage in a urban century. Chichester: Wiley Blackwell. CEAU-FAUP. (2017). Estudo de Caracterização e diagnóstico sobre o tema “Valores Patrimoniais” no âmbito da revisão do Plano Diretor Municipal do Porto. Centro de Estudos de Arquitectura e Urbanismo - Faculdade de Arquitectura da Universidade do Porto. Câmara Municipal do Porto: Porto. CMP. (2005a). Relatório do PDM Porto. Vols. I. Porto: Câmara Municipal do Porto. CMP. (2005b). Relatório do PDM Porto. Vols. II. Porto: Câmara Municipal do Porto. DMPOT. (2012). SIM-PORTO: Avaliação da Implementação do Sistema Multicritério de Informação da Cidade do Porto (Dezembro, 2012). Porto: Divisão Municipal de Planeamento e Ordenamento do Território (Câmara Municipal do Porto). Ferreira, T. C. (2007). Sulla storia del restauro in Portogallo: provvedimenti, protagonisti, interventi, in “Ananke” n° 52, Alinea Editrice, Milano, Settembre 2007, pp. 78–95. Ferreira, T. C., & Pinto, L., (2017). Inquiry to local inhabitants of the Historic Centre of Porto. Porto: Centro de Estudos de Arquitectura e Urbanismo (not published). Getty. (2010). Historic urban environment. Conservation challenges and priorities for action. Meeting report. Los Angeles: Getty Conservation Institute. Available via http://www.getty. edu/conservation/publications_resources/pdf_publications/historic_urban_environment.html. Cited 20 June 2017. Gustcoven, E. (2016). Attributes of world heritage cities, sustainability by management – a comparative study between the world heritage cities of Amsterdam, Edinburgh and Querétaro. Thesis to obtain the degree of Master of Science in Conservation of Monuments and Sites. Leuven: Belgium: KU Leuven. INE. (2009). Resident population by place of residence (Grande Porto, Porto), gender and age group, for year 2009. Lisboa: Instituto Nacional de Estatística. Available via http://www.ine.pt/ xportal/xmain?xpid =INE&xpgid=ine_indicadores&indOcorrCod=0000611&contexto=pi&se lTab=tab0. Cited 30 Nov 2017. INE. (2011). Censos 2011 - Statistics Portugal (Instituto Nacional de Estatística). Available at https://ine.pt/xportal/xmain?xpgid=ine_main&xpid=INE Accessed on 15 Dec 2017. Loza, R. (1993). Porto a Património Mundial: processo de candidatura da cidade do Porto à classificação pela UNESCO como Património Cultural da Humanidade. Porto: Câmara do Municipal do Porto. Loza, R. (1998). Porto Património Mundial II: Processo de Candidatura do Centro Histórico do Porto à UNESCO. Porto: Câmara do Municipal do Porto. Loza, R. (2000). Porto Património Mundial III.  CRUARB  – 25 anos de Reabilitação Urbana. Porto: Câmara do Municipal do Porto.

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Loza, R. (2017). As Caves de Gaia e o Centro Histórico do Porto – uma relação indissociável. In Cidades de Rio e Vinho. Memória, Património, Reabilitação, Vila nova de Gaia: Gaiurb/ Afrontamento. PDM Porto (2006). 1ª Revisão do Plano Diretor Municipal do Porto. Porto: Câmara Municipal do Porto. Available via http://www.dgterritorio.pt/sistemas_de_informacao/snit/igt_em_vigor__ snit_/acesso_simples/. Cited 6 Dec 2017. Pinho, A. (2009). Conceitos e políticas europeias de reabilitação urbana. Análise da experiência portuguesa dos Gabinetes Técnicos Locais. Lisboa: Universidade de Lisboa. Porto Vivo SRU. (2008). Management plan of Porto world heritage, vol. III. Porto: Porto Vivo Sociedade de Reabilitação Urbana. Available via http://www.portovivosru.pt/pt/centro-historico/plano-de-gestao. Cited 6 Dec 2017. Porto Vivo SRU. (2010–2014). Management plan monitoring reports. Porto: Porto Vivo Sociedade de Reabilitação Urbana. Available via http://www.portovivosru.pt/pt/centro-historico/monitorizacao-plano-de-gestao. Cited 6 Dec 2017. Tarrafa Silva, A. (2017). Historic urban landscape approach and spatial planning. Exploring the integration of heritage issues in  local planning in Portugal. Thesis to obtain the degree of Master of Science in Urban and Spatial Planning. Lisboa: Universidade de Lisboa: Instituto Superior Técnico. Tarrafa Silva, A., Valverde, I., & Pereira Roders, A. (2017). Recomendação sobre as Paisagens Históricas Urbanas: Um modelo para integrar a gestão de recursos urbanos e atingir a eficiência necessária ao século XXI. Revista Património. N° 4. Direção-Geral do Património Cultural. (in press). Távora, F. (1969). Estudo de Renovação da Ribeira Barredo. Porto: Câmara Municipal do Porto. UNESCO. (1996). Decisions adopted at the 20th session of the world heritage committee. Paris: UNESCO World Heritage Centre. Available via http://whc.unesco.org/archive/repcom96. htm#755. Cited 6 Dec 2017. UNESCO. (1998). State of conservation report – Porto. Paris: UNESCO World Heritage Centre. Available via http://whc.unesco.org/en/list/755/documents/. Cited 6 Dec 2017. UNESCO. (2006). Periodic reporting – Porto. Paris: UNESCO World Heritage Centre. Available via http://whc.unesco.org/archive/periodicreporting/EUR/cycle01/section2/755-summary.pdf. Cited 6 Dec 2017. UNESCO. (2011). Recommendation on the historic urban landscape. Paris: UNESCO. Available via http://portal.unesco.org/en/ev.php-URL_ID=48857&URL_DO=DO_TOPIC&URL_ SECTION=201.html. Cited 20 Jun 2017. UNESCO. (2016). Report of the decisions adopted during the 40th sesssion of the world heritage committee. UNESCO World Heritage Centre. Available via http://whc.unesco.org/en/decisions/6841. Cited 6 Dec 2017. Veillon, R. (2014). State of conservation of world heritage properties. A statistical analysis (1979– 2013). Paris: UNESCO World Heritage Centre. Veldpaus, L. (2015). Historic urban landscapes: framing the integration of urban and heritage planning in multilevel governance. Eindhoven: Eindhoven University of Technology. Available via RESEARCHGATE. https://www.researchgate.net/publication/282005137. Cited 6 Dec 2017. Veldpaus, L., & Pereira Roders, A.R. (2013). Historic urban landscape: An assessment framework. In IAIA13 conference proceedings. Available via RESEARCHGATE. https://www. researchgate.net/publication/260124111. Cited 6 Dec 2017. WHITRAP. (2016). The HUL guidebook. Shanghai: World Heritage Institute of Training and Research for the Asia and the Pacific Region. Available via https://go-hul.com/resources/. Cited 20 Jun 2017.

Chapter 24

Rabat, Morocco: Sustaining the Historic Urban Landscape of Rabat: Strategies and Implementation Hassan Radoine and Salwa Aomorali

Abstract  The paradigm of preservation of cultural heritage has significantly shifted in the last decade. It has moved from the conventional preservation of static material relics in order to embrace the living realm around historic buildings, sites, cities and landscapes. Thus, a more holistic approach that seeks to boost the sustainability of heritage, as a human and community capital, is required. Here, sustainability not only means the physical side of a monument that reflects the image of a site, but the site itself is questioned as a living landscape in order to find triggers for the reactivation of the synergies of historic urban settlements. Accordingly, the North African context is an insightful example to prove this paradigm shift. With its natural and cultural diversity, heritage in this region has never been cut from its living roots and endured the modernization process so as to sustain a genuine living urban landscape. This chapter would hence explore the sustainability approach of the Recommendation on the Historic Urban Landscape through planning and management mechanisms. The city of Rabat in Morocco is taken as a case study. Being partially listed as UNESCO World Heritage by 2012, Rabat could not exist without its social, cultural and environmental landscapes. This chapter demonstrates how an urban landscape could be sustained through the preservation, planning and development tools, as well as implementation mechanisms. This chapter provides key lessons and situates Rabat as a guiding best practice that pursues the long overdue preservation and development of a heritage landscape. Keywords  Historic urban landscape · Sustainability · Resilience · Heritage · Rabat

H. Radoine (*) · S. Aomorali School of Architecture, Planning and Design, Mohammed VI Polytechnic University, Ben Guerir, Morocco © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_24

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24.1  Introduction Sustainable and resilient landscapes are imperative for a smarter planning and development process. The preservation of cultural and natural resources is not a luxury action but rather a pivotal part of promoting sustainable cities. The continuous interaction of users, through customs and traditions, with the physical landscape, engenders a sense of memory and belonging. The heritage landscape becomes, accordingly, tangible references for a living community. The wall, gate, green space, alley and plaza are but traces of human activity, without which no heritage would be sustained as a functional system capable of renewing itself whenever it is required. Therefore, in this context, the historic urban landscape comprises tangible heritage elements of a city that define its urban body and natural territories in connection with the image they create among citizens through intangible memories and patterns of use. This perpetual relationship between the tangible and intangible elements of a landscape supports an inherent preservation of urban heritage. Including this dimension in preservation planning and strategies leads to a holistic development of historic urban landscapes, beyond the common practice of isolating restoration actions, and can reactivate the social and cultural synergies. This holistic preservation and development is not limited to cultural heritage but also incorporates natural heritage, which is considered an intrinsic element of city planning. Embracing historic urban landscapes, the whole city with all its parts, be it modern or historic, becomes a vehicle for perpetuating authentic human practices in a sustained physical heritage that is explored beyond its material shell. In this case, what is sought is to regenerate the urban metabolism that is the essential booster of the living community in an urban landscape. Nevertheless, this holistic approach has been neglected by current urban planning practices in favour of functional and opportunist strategies. By revisiting the urban planning practices, the once-contentious relationship between the preservation of the historic urban landscape and urban development would be overcome, establishing a new process that promotes sustainable, resilient and inclusive cities. For developed countries, sustaining cultural and natural heritage landscape is a profitable investment that boosts the image of a city, but for developing ones it is more about upgrading the living conditions and cultivating a culture of peace and diversity in fast-changing cities with fewer resources (UNESCO 2016). The sense of memory and community is, thus, a guarantor of enduring social and cultural resilience and sustains an efficient tangible and intangible urban landscape that cultivates embedded human values. In order to elucidate the above arguments, this chapter has taken the city of Rabat as a case study. This city reveals how the preservation of cultural resources entails the understanding first of the social setting of the city that goes in tandem with enduring its dynamic living landscape. Founded in the twelfth century, Rabat has managed to preserve its tangible and intangible fabrics. While its heritage has experienced several changes throughout different periods, the current projects that plan

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to upgrade its urban metabolism have also explored the rejuvenation of its authentic natural and cultural landscape. The chapter first briefly presents the history of Rabat, shedding light on how it was organized and evolved according to sustainable ends. Second, it explores how its historic urban landscape was altered within the setting of a new French urban model during the Protectorate. Finally, there is an analysis of the postcolonial strategies to preserve both the historic and modern sides of the city and how the contemporary planning and strategies sought to boost the image of this capital through the implementation of projects of upgrading, restructuring and development of its whole urban and natural landscapes.

24.2  A City–Landscape Evolution: Historical Background The site of Rabat is considered a rich archaeological zone that dates back to the prehistoric periods with vestiges belonging to the Upper Palaeolithic and Neolithic times. The Bouregreg River estuary’s strategic location for human settlements was underlined by several dynasties throughout history. Here, in 40  AD, Mauritania Tangania, under the rule of Rome, founded a city named Sala, which is known today as Chellah. According to existing archaeological evidence, this city flourished. Despite the fact that it remained under the control of Romans, this site was abandoned by third century AD to give way to a new fortress town, which was built by the Almoravids who were facing the continuous attacks of the Almohads (Khaddi 1988). Currently, such important layers of cultural and urban landscapes are not fully presented.

24.2.1  Almohad Period: The Genesis of a Capital Known for their majestic buildings and engineering ingenuity, the Almohads left several mega earthen structures that occupy different landscapes all over Morocco. Among its unique architectural and urban achievements are the sites of al-Mahdiyya and Ribat al-Fath located on the Bouregreg River gorge, where present-day Rabat is situated. The first was built in the twelfth century by the first Almohad sultan, and upon the traces of this site, Oudaya’s Kasbah was founded. However, the Sultan Yacoub el-Mansour would launch the major transformation of the whole site of Rabat in the twelfth century. This was the first comprehensive transformation that explored the rich natural landscape of this strategic location and launched the first capital of the Islamic West, representing the expanding Almohad dynasty. This capital was named “Ribat al-­ Fath.” This vast urban landscape project integrated megastructures of ramparts that linked the shore of the Atlantic Ocean, Oudaya’s Kasbah and the site of Chellah. In addition, the sultan intended to build the largest mosque, with the tallest minaret, as

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a representation of his vast territory that linked Africa and Europe. This structure currently stands incomplete on the site of Hassan (Khaddi 1988). This ambitious project did not come to full fruition due to the death of Yacoub al-Mansour, and it was abandoned by his successors (Khaddi 1988). Thus, the first urban-landscape endeavour to set a green capital resulted in scattered districts over the site within an empty fortress with a small number of inhabitants.

24.2.2  Marinid Period: Fragmentation and the Rise of Salé In the third century, the Marinid dynasty took over the city of Rabat until the fifteenth century. According to Leon l’Africain, homes in the city numbered only in hundreds. Nevertheless, Chellah became very important as the Marinids expanded it as a large mausoleum-walled town for their dynasty (Khaddi 1988). On the other side of the Bouregreg River, Salé became an economic centre and a major port city. The valley of Bouregreg was then home to several fortresses and walled towns, which would have created a rich urban landscape texture. Despite being fragmented entities, these were well integrated into the site and espoused its topography. This attractive site, particularly the Chellah fortress, became a refuge for the Jews who fled Granada in 1492 and later for the Andalusian (Moorish) Muslims (Khaddi 1988).

24.2.3  S  aadian Dynasty: Bouregreg’s Republic and the Rise of Oudaya In the seventeenth century, much of the Moorish population of Andalusia that was fully expelled from Spain by King Philipp III fled to Morocco. The major part of this population settled in the Kasbah of Oudaya during the rule of the Saadian dynasty. They expanded upon the fragmented site of Rabat in order to develop their own districts within the Almohad’s ramparts. However, due to political upheaval, the population of, then, Salé and the community of Andalusians established the independent Republic of Bouregreg. Under this republic, the city of Rabat was home to the first significant port that rivalled those in Algeria and Napoli (Khaddi 1988). The Kasbah of Oudaya, with its strategic naturally secure location, became the municipal base of this nascent republic, and several European consulates were established in Rabat (Khaddi 1988). This Kasbah since its inception had a mythical dimension, with its location on top of a cliff at the exit of the Bouregreg River to the Atlantic Ocean. Its location reveals not only a concern for security and protection but also an appreciation of the romantic and picturesque natural setting and landscape.

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24.2.4  A  laouite Dynasty: Unification and Harmonization of Landscape By the end of the seventeenth century, the Alaouites took over the whole site of Rabat as part of their pacification of the whole country. They used the Kasbah as their base and ended the Bouregreg’s Republic. During this time, the Almohad’s unfinished city witnessed a resurgence through the actions of Sultan Ben Abdellah. The sultan expanded upon the gardens of Agdal in order to build a new imperial castle with two mosques, one of which is still existent today as As-Sunna mosque. He also reconfigured the urban landscape of Rabat by extending the Almohad wall to the south and to the ocean. Another major development that took place during this time was the creation of the Mellah (Jewish district) in the medina. The Kasbah of Oudaya was organized and fully upgraded as a distinct urban-walled entity, which took the name Oudaya. In the same period, the actual medina of Rabat was distinguished from the large Almohad territory that was once planned to be the capital. Therefore, since then, the city of Rabat became cosmopolitan with a diverse population of Berbers, Jews, Moorish and Arabs. This urban landscape would be preserved until the nineteenth century and after would be altered by the French Protectorate (Khaddi 1988). This brief historical background is essential in order to understand the urban and natural landscape of Rabat, as there is often confusion about the genesis and evolution of its urban and natural entities. While there is always an image of the existing medina of Rabat as the main historic city, it is important to state that Rabat has always been a complex archaeological, natural, topographical and political site. Nonetheless, with all mentioned changes and mutations, this city has never lost its authentic living heritage that would be even explored and dealt with in order to establish the colonial city under the French Protectorate.

24.3  Colonial Period: A Shift of Urban Heritage Paradigm The French Protectorate in Morocco had a special twist as far as urbanization is concerned. It was more of a culturalist approach than military. The choice of Rabat as French political headquarters to rule the country was due to its strategic position on the Atlantic and far from the resistance of the two imperial cities of Marrakech and Fez. At an urban heritage level, Rabat had no strong core as in Fez and Marrakech and then no strong native opposition. Therefore, because Fez had its roots deep in the north, and Marrakech had its own in the south, the site of Rabat seemed safer for the Protectorate to place its capital. The centralization of power was one of the main features of the French territorial planning and hence the choice of Rabat. Learning from previous experiences in Algeria, Tunisia and Madagascar, General Lyautey used a new strategy in order to earn Morocco’s trust and be able to “rule from within rather than to pursue military destruction and expensive machinery”

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(Radoine 2012, p 13). Thus, his new strategy was to build new French cities in order to establish a new urban heritage that would entrench the cultural legacy of France. Thus, the conservation policy aimed to keep the native medina while setting up a new competing model that reflected a sense of European progress. Accordingly, a clear shift in the approach to urban heritage occurred. The social structure of the historic medina dwindled gradually, and all that remained was its “exotic glory.” Facing both the colonial agenda and the new progressive urbanism of the Ville Nouvelle, this medina lost its historic momentum and became frozen in time. The Ville Nouvelle, with its French architecture that explored local craftsmanship, engendered new heritage identification for both the Moroccan and French inhabitants. Nevertheless, what is striking about the French urban intervention in Rabat was the adaptation of the French architects and planners of the urban accumulation of this fragmented city in order to set a rational urban organization guided by progressive and modern vehicular traffic. The Ville Nouvelle took into consideration the impressive natural landscape and the already existing historic walls as its natural boundary. Hence, despite the postcolonial critic of colonialism, the innovative side of French planning in Rabat still stands as valuable artistic, cultural and environmental addition to a historic site. Today, the French colonial urban landscape of Rabat is considered a rich heritage that is worthy of being conserved, as it represents a critical political period and symbolizes a twining of two antagonistic models, French and Moroccan. This rich local and colonial urban antecedents together with the exquisite natural landscape set Rabat as an international green city, with 230 hectares covered by a green belt in addition to the forest of Maamora that covers 1063 hectares. Being listed as a World Heritage City by UNESCO in 2012 (Ministry of Culture 2011), the current planning process in Rabat has been seen by local and national stakeholders as extremely delicate. The planning process must allow Rabat to remain as the progressive political capital of the country and at the same time preserve its outstanding urban and landscape heritage as a sustainable living vehicle.

24.4  Contemporary Rabat: Current Sustainable Strategies After revisiting the urban and natural heritage of Rabat, and how it formed its urban status quo, it is manifested that the notion of landscape heritage was not fully explored. While it was taken into consideration in the different stages of evolution of this city in the precolonial and pre-industrial period, the way this city has been planned in the twentieth century is questionable in terms of landscape sustainability. Meanwhile, Rabat contains an important green belt that should be conserved and ecological/environmental potential that is not entirely explored. In addition, since the 1980s, with the inscription of the medina of Fez on the UNESCO World Heritage List, urban conservation and sustainable development

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have been a rooted practice in Morocco. The living heritage of the medinas and breathing landscape have surpassed mere conservation so as to espouse the upgrading of human conditions in historic sites and landscapes. The urban metabolism of these vivid heritage sites should be boosted rather than fixing only their material legacy. Arguably, the conservation of the urban and landscape heritage of the city of Rabat pursued a partial strategy which overemphasized colonial heritage. Accordingly, the urban and natural landscapes of Rabat have been recently at the centre of urban planning and development strategies through SDAU (Schéma Directeur d’Aménagement Urbain) of Rabat-Salé, a key instrument document of planification in Morocco, provided by the law 12/90 of urban planning. It offers a global study of the economic, commercial and social dynamics of a given urban territory and presents general guidelines in order to implement new urban planning strategies. In this critical urban document, the following strategies are scrutinized:

24.4.1  Territorial Level New synchronization steps have been proposed in order to connect the two major historic cities on the two banks of Bouregreg, Rabat and Salé. This would resolve the issue of fragmentation and urban sprawl that consume land and resources within a super-growing metropolitan area that contains rich protected natural landscapes. This includes the delicate insertion of infrastructure such as the light new bridge between the two cities, constructed to be less visible in the landscape of the two sides. A tramway was also established to optimize the use of energy and reduce pollution of the random heavy traffic between the two highly populated historic cities. Furthermore, the government created an agency (Agence pour l’Aménagement de la Valée de Bouregreg) to supervise the valley of Bouregreg, as a preserved area where urban development should follow special rules. However, this has led to more top-down action that promotes out-of-context megaprojects at the expense of existing environmental, ecological and archaeological landscapes, the main example to such actions would be the ongoing renovation of the Rabat-Ville train station which will be further discussed in Sect. 24.5 of this text.

24.4.2  Urban Level The SDAU preserved the centrality of the medina of Rabat with its adjacent Kasbah of Oudaya. Topography has helped the positioning of these two historic urban entities within their historic natural resources. Despite the fact that the medina is connected directly to the Ville Nouvelle, contrary to other medinas where the French planned their colonial city outside their territory, the residential, business and economic value of the medina has been sustained. Thus, SDAU has partially planned to

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boost this value in reconnecting the old urban tissue to the colonial one while keeping a subtle visual boundary between the two-walled cities. Although this connection has explored the landscape potential by setting new urban plazas and green buffer zones to transit from the historic walls to the modern urban fabric, it remains sectorial and not holistic at the level of the city. In fact, most of these actions appear to be one-off interventions aiming to be primarily aesthetically pleasing. As examples, the plazas of Bab (gate) al-Hadd and Bab La-allou are considered to be restructured in order to boost these buffer zones (Agence Urbaine de Rabat-Salé 2013). And while this intervention did connect the historic medina with the ville nouvelle, it still needs to be included in a definite and comprehensive strategy that would guarantee the sustainability of the historic landscape of Rabat.

24.4.3  Sustainability Implementation Being listed as World Heritage by UNESCO has greatly contributed to the adoption of concrete projects for Rabat to become a sustainable city, mainly by enhancing its ecological and environmental triggers. For example, a program was launched by the municipality of Rabat that targeted all pedestrian walks adjacent to the shore of the Atlantic and aims at boosting the walkability around all potential heritage attractions oriented by historic walls. Nonetheless, the long Atlantic Ocean shore and the existing green forests that were the raison d’être of Rabat have been neglected notwithstanding the actual projects to upgrade the maritime façade of this city. In order to bridge this gap, a new comprehensive project was launched in Rabat embracing as a vision “Rabat: City of Lights.” It is a major initiative that has been launched by the King of Morocco in order to develop more the cultural landscape of the city. This is by exploring its existing natural and cultural heritage in an effective way and using a significant budget to shift the image of Rabat from a mere political capital as a set of power to a knowledge and heritage landscape (Oualalou 2014).

24.5  A  pplying the 2011 UNESCO Recommendation on the Historic Urban Landscape The city of Rabat has arguably managed to partially follow a sustainable approach during its development. Although conservation policies were set for this city, their scope has to further explore its historic urban landscapes as living, one of the main aims of the HUL approach. In addition, conservation regulations need to be updated in order to move beyond mere archaeological aspects and expand their applications to consider the regional and urban planning of historic urban landscapes as an interdisciplinary and multilevel governance program.

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Under the continuous pressure of globalization, and to cope with world’s progress, it is vital to enrol the historic urban cores in the goals and targets towards sustainable urban development. For instance, by bridging between the medina and ville nouvelle, a whole economic and cultural momentum can be generated. No holistic conservation can be attained, without involving all concerned stakeholders. The city of Rabat has to be more engaged in assuring that all these stakeholders are to be included in policy- and decision-making. This would facilitate the preservation of harmony and coherence between the historic areas and the urban agglomeration of the city. Nevertheless, there is a continuous concern that some new strategic urban projects taking place in Rabat may not take its historical centre into full consideration. In spite of the fact that the historic urban landscape as a whole is currently part of the planning process, there is no guarantee that the sustainability of heritage is fully explored or applied. Speculation or rushed megaprojects are sometimes over-­ influencing pre-established urban documents, which hinders conservation and development of these particular landscapes in the city of Rabat. For example, despite its importance as a piece of infrastructure, the new Rabat-Ville train station project is questionable. This project intended to upgrade the capacity of a historic train station positioned in a strategic area of the ville nouvelle. The design of the district was based on the creation of visual perspectives (Trabelsi 1988) that enforced special considerations to the human scale and a clear concern towards protecting the historic elements of Rabat. And despite the aesthetic value of its contemporary concept, the new train station project is out of scale and alters the heritage character of the whole historic district around it. This district, which is the centre area of the ville nouvelle, is highly important within the context of the wider high historic urban landscape.

The new LGV Rabat-Ville train station project

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To be more specific, this project put the whole registration of Rabat in the UNESCO World Heritage List under question. There is no doubt that the station would generate more economic and urban benefits in terms of increasing its capacity, but subtlety is required to select concepts that respect the historic urban cores and not the opposite. The projected monumental structure would overshadow all strategic historic landmarks around and create a disturbing contrast in the whole landscape of the historic ville nouvelle. An essential question to consider is where and when to draw the line when it comes to planning new projects in areas representative of a historic and aesthetic identity of the city. In this regard, the city of Rabat needs to be more delicate when it comes to designing its historic cores and pursue its long persistent conservation actions that sought to conserve while developing proportionally. Subsequently, the application of the HUL approach may help to define some guidelines in addressing the issue of intervening for architectural or urban development in such an important city, for its region and country.

24.6  Conclusion With all actions taken at the top and bottom level, it can be considered that the city of Rabat is the most preserved as it can be, within a territorial and urban scope, without freezing its medina and heritage sites. Sustaining a historic city and its heritage means reactivating its living memory through its community that is a proviso for cultivating landscape resilience. Despite financial constraints and slowness of implementation in the previous decades after independence, Rabat case remains a successful one in terms of how its conservation and development have pursued a comprehensive vision, besides the last critical train station project. This comprehensive vision could not be reached without the historic momentum of Rabat, which sustained and endured different urban changes with regard to preserving its inner social, cultural and environmental resilience. Nonetheless, what is essential in this case and other similar cases worldwide, where the human factor is still dynamic in a heritage landscape, is the capacity to retain an intrinsic dynamism in the conservation process that once was limited to physical maintenance. This process needs to embrace the living memory in order to continue generating heritage rather than confining it. Whatever terms may be used, such as sustainability, resilience or endurance, the new trend of conservation and development of historic urban landscape should underline further the genius of the place with its perpetual local human techne in order to not only preserve the past per se but also to anchor it in the future.

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Bibliography Agence Urbaine de Rabat-Salé. (2013, December). Plan d’Aménagement et de Sauvegarde de la Médina de Rabat. Retrieved from https://aurs.org.ma/Dossiers/20160801110837.pdf. Khaddi, N. (1988). Réamanégement de la zone Bab El Had à Rabat. Architecture dissertation, National School of Architecture of Rabat, Morocco. Morocco’s Ministry of Culture Wilaya de la Région Rabat-Salé-Zemmour-Zaër. (2011, January). Rabat, Capitale moderne et ville historique: Un patrimoine en partage. Retrieved from http:// whc.unesco.org/uploads/nominations/1401.pdf. Oualalou, F. (2014). Rabat, ville lumière et capitale culturelle. Metropolis: La parole des maires (25). Retrieved from https://www.metropolis.org/sites/default/files/media_root/voice_of_the_ mayors/25_la_voz_de_los_alcaldes_oualalou_rabat.pdf. Radoine, H. (2012). French territoriality and urbanism: General Lyautey and architect prost in Morocco (1912-1925). In F.  Demissie (Ed.), Colonial architecture and urbanism in Africa intertwined and contested histories (pp. 11–31). USA: DePaul University. Trabelsi, N. (1988). Le Boulevard Mohamed V Centre Urbain de Rabat. Architecture dissertation, National School of Architecture of Rabat, Morocco. United Nations Educational, Scientific and Cultural Organisation. (2016). Global report on culture for sustainable urban development. Paris: UNESCO.

Further Reading Agence Urbaine de Rabat-Salé, Atelier Parisien d’Urbanisme. (2010, January). Plan d’aménagement Unifié de la Ville de Rabat: Synthèse de l’analyse diagnostique thématique sectorielle. Retrieved from https://www.aurs.org.ma/Dossiers/20160801060807.pdf.

Chapter 25

Heritage-Based Urban Development: The Example of Regensburg Matthias Ripp, Susanne Hauer, and Meltem Cavdar

Abstract  The City of Regensburg was inscribed on the UNESCO World Heritage List in 2006. Long before, the process of urban regeneration and a dynamic urban development had already started and was based on an inventory of the historic building stock. With the participatory elaboration of an integrated heritage management plan, the direction for the upcoming years was recently set. Sustainability, resilience and the response to challenges and crises have been addressed following the six steps of the Historic Urban Landscape (HUL) approach, though the holistic approach to safeguard the historic urban landscape has been enhanced. Today, heritage is part of the citizens’ perception of Regensburg’s identity and is diligently coordinated and communicated through an integrated governance system. Keywords  Sustainable development · HUL approach · Heritage management · Participation · World Heritage Management Plan · Communication model · Identification

M. Ripp (*) · S. Hauer World Heritage Coordination of Regensburg, Regensburg, Germany e-mail: [email protected]; [email protected] M. Cavdar Faculty of Architecture, Technical University of Munich, Munich, Germany e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_25

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25.1  Introduction The Old Town of Regensburg with Stadtamhof was inscribed on the UNESCO World Heritage List in 2006. It is located on the Danube River in Bavaria and comprises a mediaeval historic urban landscape, which is still authentic and functional. Its tall buildings, dark and narrow lanes and fortification walls define the character of the city. A vast quantity of historic structures extended over a period of two millennia, including particularly the ancient Roman, the Romanesque and the Gothic era, illustrated by the Stone Bridge, the Old City Hall, the Cathedral of St. Peter and mediaeval patrician houses, whose towers are the landmarks of the city. The density of stone Romanesque and Gothic mansions, which are influenced by Italian architecture, is unique north of the Alps (Trapp 2008, p. 12). Regensburg incorporates an ensemble on both sides of the Stone Bridge: a mediaeval urban city, which can be experienced nearly as it was in mediaeval times. The entire modern City of Regensburg, with over 161,000 inhabitants, is the fourth-­ largest city in Bavaria after Munich, Nuremberg and Augsburg. In the core zone of the area designated as World Heritage live over 19,000 inhabitants (City of Regensburg – Department of Statistics 2014), and it contains approximately 1000 architectural monuments in an area of about 183 hectares. It is surrounded by a buffer zone that covers an area of approximately 776 hectares (City of Regensburg n.d.) (Fig. 25.1). Whilst the historic centres of Cologne, Nuremberg and many other German cities were destroyed or badly damaged in WW2, Regensburg’s cityscape survived almost untouched. This makes Regensburg an important witness to European history, shouldering the responsibility of this unique cultural heritage. The vision for Regensburg presented in this article is a collective vision focused on heritage-based urban development to enable both safeguarding of the World Heritage and facilitating its sustainable development (Mühlmann 2012, p. 47). Sustainability here focuses on more aspects than the Brundtland Report’s definition suggests: “Sustainable development is development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (Brundtland 1987). The integrated approach in Regensburg also adds capacity building, research and information as a fourth dimension, meaning, e.g. there is not only top-down communication but also empowerment of target groups to pass on advanced knowledge about the built heritage in situ.

25.2  Survey and Mapping The Historic Urban Landscape (HUL) approach sees the city as a multilayered structure in time and space. This layering includes a site’s topography, geomorphology, hydrology, built environment, infrastructures above and below the ground, open spaces and gardens, its spatial organization and visual relationships. Taken

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Fig. 25.1  World heritage core (pink), buffer zone (yellow) and listed buildings (red) of Regensburg. Scale, 1:15000. (© City Planning Office. From Mühlmann, R. (ed), (2012). p. 96–97)

into account are additionally all other elements of the urban structure such as social and cultural practices and values, economic processes and the intangible dimensions of heritage as related to diversity and identity (UNESCO 2011). Undoubtedly, in order to achieve a successful World Heritage management in Regensburg, one of the most critical steps is to understand this layering system of the city, and it starts with undertaking comprehensive surveys and mapping of the city’s natural, cultural and human resources. To provide a deep understanding of the protected area, an effective inventory consisted of historical studies, visual and formal analysis, mapping of cultural practices and identities, socio-economic and morphological analysis and more (Hosagrahar 2015, p. 251–255). Hosagrahar also states: “The global South, as much as the global North, is rich in heritage, both tangible and intangible, making the Heritage Target a key bridge for realizing the SDG’s aspiration of universal application, particularly in the urban areas”. In the direction of this purpose, many studies have been undertaken so far, e.g. whilst collecting data for the Regensburg urban plan. The documentation of built heritage already started in Regensburg at the end of the twentieth century. Throughout Bavaria, initial documentations of the m ­ onuments

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had been made comprehensively after the Bavarian Heritage Protection Law came into force in 1973. The data was published as a monument list, which contained information about monuments, ensembles and archaeological sites. Ten single volumes about listed heritage assets of Regensburg were printed between 1973 and 1993: Baualterspläne zur Stadtsanierung  – Regensburg I–X (Breuer and Petzet 1993, p. 7). The Bavarian Federal Office for the Preservation of Monuments and Historic Buildings updated this list in 2014, to ensure “everybody has access to this information”. It is currently accessible online (Fig. 25.2): The Bavarian Heritage Atlas is the online information portal of the federal state made specifically to create an authoritative and comprehensive inventory of all built heritage structures in Bavaria (Bavarian Heritage Atlas n.d.). Another interactive online platform is the Urban Plan Regensburg (Stadtplan Regensburg n.d.). It is a map addressing professionals at the municipality of the City of Regensburg as well as citizens and visitors. It offers information on a large scale from land-use plan, traffic and topography to culture, public facilities and more (Fig. 25.3). This service is offered by the Bavarian Agency for Surveying and Geo-information for the complete State of Bavaria. Just after Regensburg was inscribed on the UNESCO World Heritage List, the Regensburg Urban Atlas (Fig. 25.4) was published (Sedlmeier et al. 2006). In this city atlas, structure and architecture are analysed on the city scale, including mapping out inhabitants, residential situations and selected districts. It consists of a comprehensive chapter about thematic fields such as trade and services, commerce and transport. Maps for education, culture, leisure and nature show the multifunctional character of the city. Each map has both explanatory and advanced texts, which were co-written by 40 experts who covered the working fields from urban

Fig. 25.2  The Bavarian Heritage Atlas. (Screenshot from http://geoportal.bayern.de [30 December 2016])

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Fig. 25.3  Urban Plan Regensburg. (Screenshot from http://www.regensburg.de/stadtplan [30 December 2016])

Fig. 25.4  Urban Atlas of Regensburg. (© Verlag Friedrich Pustet. From Sedlmeier, A. & Vossen, J. (ed), (2006). Book cover)

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Fig. 25.5  Web site of the department of statistics. (Screenshot from http://www.statistik. regensburg.de/)

planning to archaeology, sociology and many more. The main data source for the city management is the Department of Statistics of the City of Regensburg, which releases periodical information and figures. It lists and visualizes numerous topics such as climate, building and housing, economy and the labour market, tourism and the demographic change in the city (Fig. 25.5). This information is essential to analyse tendencies in the city development in order to take due precautions and to make progress. These facts and figures support the decision process, as a fundamental basis, whilst clarifying the most imperative demands of the community. In order to involve citizenship in the development process and to facilitate the implementation of changes and adaptions, community involvement is crucial. In Regensburg, these participation processes are highly valued and effective tools to gain public approval and goodwill. Details of this approach will follow.

25.3  Actions and Priorities During the course of the preparation process of the World Heritage Management Plan, it became crucial that priority areas must be decided on and concrete action points must be identified. In this sense, eight issues were specified and defined as central fields of action:

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Tangible cultural heritage Culture and tourism Economic development Housing Mobility Urban planning and development Environment and leisure Awareness raising and research

The members of the Site Management Working Group formulated concrete principles, objectives and key measures for each field of action. The following fields of actions will be explained here in detail as examples for a successful implementation in practice: tangible cultural heritage, economic development and awareness raising and research.

25.3.1  Field of Action: Tangible Cultural Heritage In this field, the authenticity and integrity of the area designated as World Heritage must be preserved with sustainable development whilst taking changing requirements into account. In this respect, particular consideration must be given to the compatibility of the proposed changes with the area and its Outstanding Universal Value (Mühlmann 2012, p. 51) (Table 25.1)

Table 25.1  Objectives and measures related to tangible cultural heritage from the World Heritage Management Plan of Regensburg (Mühlmann 2012, p. 51f) Objectives Measures  Verification of laws 1. Safeguarding the tangible heritage The City of Regensburg develops effective tools to  Use of the funds for preservation of pursue the conservation of architectural heritage public and private building stock  Establishment of a support programme for private homeowners  Analysis of the urban development with 2. Safeguarding the urban landscape regard to visual integrity The visual integrity will be ensured by appropriate tools  Preparation of a silhouette studya  Establishment of a continual 4. Documentation and monitoring documentation, including informative Documentation of the building stock will be data preparation continued and improved 5. Protection from natural risks and “adaptation  Implementation of flood plan to climate change” This study will be explained in Box 25.1

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Box 25.1: The City Silhouette Study: Profile Characterizing Buildings and Monuments in Regensburg The elevation and perspectives are very important topics for urban heritage conservation, because silhouette and the spatial relationships contribute to the identity of a city (Kiesow 2000, p. 123). It is being discussed in many historic cities if high-rise buildings are compatible with the cityscape in the context of historical urban centres or not. To answer this question, it was necessary to make a study about the city’s silhouette in Regensburg. The City Silhouette of Regensburg (Fig. 25.6) has been developed in dialogue between representatives of the city administration, specialist authorities, private and public interest groups as well as with specialist planners. The study serves as a useful tool for dealing with profile characterizing buildings and monuments in Regensburg (City of Regensburg 2015a, b, p. 10). This study refers closely to the HUL step 4, which encourages cities “to integrate urban heritage values and their vulnerability status into a wider framework of city development, which shall provide indications of areas of heritage sensitivity that require careful attention to planning, design and implementation of development projects (UNESCO 2016, p.13)”.

Fig. 25.6  City Silhouette of Regensburg. (© City of Regensburg)

25.3.2  Field of Action: Economic Development Urban conservation is often assumed to withhold economic development, due to the usage limitations of protected environment and buildings (Hotz 2004, p. 195), but the Old Town is the shopping and commerce centre for Regensburg and the region, and that makes it significant. The objective here was to create a sensible balance between historical preservation and commercial interests. The Old Town is highly attractive for shoppers and offers a unique location for businesses and workshops, as well as retail outlets and multifaceted services for residents and visitors (Mühlmann 2012, p. 57). Supporting local business whilst safeguarding and communicating built heritage follows the HUL approach as it is described in step 6, because it links preservation motives with local bound retailers to create a unique selling point (UNESCO 2016, p.13) (Table 25.2).

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Table 25.2  Objectives and measures related to economic development from the World Heritage Management Plan of Regensburg (Mühlmann 2012, p. 57f) Objectives 1. Improvement of offers The Old City will be strengthened as the primary retail through the range and diversity of offers. Good quality of local supplies will be ensured

Measures  Ensuring compliance of the retail framework concept and the retail vision  Establishment of a grocery retailer in the south and east of the Old City  Expand the “the world Heritage 3. Building the feeling: “us together” shopping experience” campaign A sense of “community” will be upheld particularly among retailers. A common “Old City brand”  Preparation of a special shopping and will be established restaurant guide for the old towna  Continuation of the “Regensburger 5. Supporting start-ups Startkapital” start-up programme Small sized start-ups and new business ideas to be supported This project will be explained in Box 25.2

a

Box 25.2: The World Heritage Shopping Experience Revealing the Flair of History Within the campaign of the “the World Heritage shopping experience  – ­revealing the flair of history”, a special shopping and restaurant guide was developed. It included the information about the specific characteristics of the historical places and the respective retail business (Fig. 25.7). The participants in the campaign also followed certain quality criteria. This includes, for example, regular briefings of the salesperson in English.

Fig. 25.7  Brochure raising awareness on small shops in historic buildings copyright: city of Regensburg

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25.3.3  Field of Action: Awareness Raising and Research The City of Regensburg uses many tools to raise the awareness about the World Heritage Convention in general, as well as promoting its own World Heritage Site. The instruments used to inform the inhabitants and visitors are the frequently accessed website www.regensburg/welterbe and social media, brochures, flyers and organization of regular events such as the yearly World Heritage Day. These activities reach out to many different groups of interest, not only at local but also at regional, national and even international level. The visitor’s centre is again a very valuable tool to communicate heritage values as well as a sense of community and identity. This is one of the requirements needed to reach step 2 in the HUL approach (UNESCO 2016, p.13) (Table 25.3). Table 25.3  Objectives and measures related to awareness raising and research from the World Heritage Management Plan of Regensburg (Mühlmann 2012, p. 71f) Objectives 1. Information about benefits Residents and owners will be informed about the benefits of historical assets 2. Conveying the cultural value Citizens and visitors will be informed about the World Heritage Regensburg 3. Educational services for children Educational services will be developed for children and young people 4. Improvement of the legibility and ability to experience 5. Research Researchers and scientific institutions will be activated.

Measures  Leaflet for property owners in the World Heritage asset  Educating city guides  Hosting series of academic lectures  Visitor Centrea   Jugendbauhütte (Youth Mason’s Lodge)  Canvass for a school to become a UNESCO Project School  Develop GPS or internet-based mobile World Heritage city guide as well as a World Heritage audio guide  Develop a list of relevant research issues

This project will be explained in Box 25.3

a

Box 25.3: The Regensburg World Heritage Visitor Centre The main action to raise World Heritage awareness is the Regensburg World Heritage Visitor Centre in the historic salt barn. Opened in May 2011, it ­covers about 700 square metres, with particular sections designed to inform visitors about the UNESCO, the World Heritage Convention and the ­inscription of the Old Town of Regensburg with Stadtamhof on the UNESCO World Heritage List. The centre offers a multifunctional area for events and educational purposes. It is also an information point where people can get touristic and practical information, where the guided city tours can have a (continued)

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Box 25.3 (continued) quick start with reference to the city development (Ripp et al. 2011, p. 290). The idea to collect all information about World Heritage in one centre can be considered innovative. Also, the concept of interrelating different institutions that are active in the field of World Heritage is a relatively new principle (URBACT 2010, p.  8). Although it is not the only criteria, high visitor ­numbers are an indicator of success for the Visitor Centre. According to the latest data, visitor numbers reach 300,000 per year, which equals 3000 a day in the peak time. In 2017, the Regensburg World Heritage Visitor Centre is preparing to celebrate its two millionth visitor.

25.4  Civic Engagement Tools One of the main objectives in Regensburg is to facilitate the involvement of all stakeholders, such as citizens, local and municipal authorities and other relevant groups. The European Charter of the Architectural Heritage states, “Integrated conservation cannot succeed without the cooperation of all. Although the architectural heritage belongs to everyone, each of its parts is nevertheless at the mercy of any individual. The public should be properly informed because citizens are entitled to participate in decisions affecting their environment […]” (ICOMOS 1975). Safeguarding of the “Outstanding Universal Value” of the World Heritage cities over the long term is a shared responsibility, which requires an integrated approach that involves all stakeholders (Crouch et al. 2013, p. 10). Citizens can only take this responsibility, if they are also involved in decision-making processes. In the following chapter, the participation policy of the City of Regensburg and the role of the different parties are further explained.

25.4.1  Civic Participation Model of Regensburg Local administration has an important impact on the daily lives of people; therefore, civic community engagement should be not only an objective but the basis of all works of the City Council. The public participation process is clearly regulated in Germany with “public participation in the land-use planning procedure” in the Building Code (§3 Abs. 2 BauGB). Accordingly, inhabitants should be consulted before the City Council decides to prepare a new development plan, and/or a change in the urban land-use plan is legally fixed. Draft plans are to be available for public inspection at least twice for several weeks at the town hall, whilst the responsible officials are available to provide information and further explanation. Citizens are also invited to make suggestions, which the administration examines and presents to

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the City Council for consideration. The submission of the new plans and the schedule is announced in an official journal as well as in the local press. Though this legislation supports the protection of civil rights, it contributes only to a limited civic contribution to decision-making processes. Arnstein (1969, p.216) mentioned that without a real redistribution of the power between the parties, citizen participation is useless: “The bottom rungs of the ladder are (35) Manipulation and (36) Therapy”. As such, in order to realize a useful participation process, the City of Regensburg goes beyond the limits of laws to implement more interactive methods and processes. Examples of those efforts are architecture and urban planning events, public meetings, local workshops or design contests. To create a reliable civic contribution process, Regensburg developed the Communication Model for Built Heritage Assets (COBA model). The objective was to put living practice into a schematic frame that supports and stimulates a more useful communication and more efficient use of existing resources. The COBA model is based on the concept of identity, because without self-identification of citizens with the cultural heritage, active citizen participation is very hard to achieve. The COBA model is structured through five serial stages, in which each level is to be seen as a step towards more and intensified identification with the built asset. At the first level, the identification process only touches the social identity. Over the course of the next stages, citizens are to become more actively involved. Finally, at the expert level at stage five, the expert multiplier is enabled not only to communicate the heritage asset and its values, its characteristics and its context. The expert multiplier is also capable of making adequate decisions (Ripp et al. 2014, p. 24–25) (Fig. 25.8). Additionally, these stages should help to broaden the horizon of heritage practitioners and stimulate new ideas as well as unconventional ways of heritage communication (Ripp and Hauer 2017). Whilst applying the COBA model during a wide range of heritage activities in Regensburg, we found that some principles are important for a successful implementation, which correspond highly with the HUL approach: 1 . A holistic understanding of the heritage at stake. 2. A comprehensive understanding of what communication today is, rather systemic and multidirectional than linear. 3. An interdisciplinary team with different scientific and work-related backgrounds. 4. A flexible mindset rather than a rigorous linear step-by-step approach. 5. The willingness to fully put yourself in the position of the target groups to understand their needs, interests and motivation. 6. A systemic view of heritage with a readiness to combine different activities and cooperate with a wide range of different stakeholders. World Heritage Days, which are designed after the COBA model, happen to have more really good feedback from visitors than the earlier ones. This is also supported by the fact: “Communicating heritage is a rather complex task with many parameters involved. The most important ones are the members of the community, for whom we want heritage to put to use to improve their quality of life” (Ripp and Hauer 2017).

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Fig. 25.8 The COBA model: communication model for built heritage assets. (© City of Regensburg © Matthias Ripp)

25.4.2  Expert Consultancy Besides the open access public participation, expert consultancy plays an important role in decision-making processes, in the City of Regensburg. One of the consulting partners of the City, the architectural advisory board, is an independent committee of six appointed experts in the field of architecture that give advice about architectural and urban design projects with special relevance to the city development. Those architects not only share their expertise with the city’s officials but also with building owners, when a project requires more intensified consultancy. This board was introduced in 1998 and has been working successfully ever since (City of Regensburg n.d.). Another important and active advisory board is the ICOMOS World Heritage steering committee. In this committee; two ICOMOS consultants; a representative of the Standing Conference of the Ministers of Education and Cultural Affairs of the Länder; a representative of the Bavarian State Ministry of Sciences, Research and the Arts; the Head of the Bavarian State Office for the Preservation of Monuments and the Head of the City of Regensburg discuss all important building projects that

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might affect the area designated as World Heritage. The main objective of this committee is to avoid conflicts at a very early stage of planning. Moreover, the municipal experts give advice when issues of preservation occur (Ripp et al. 2011, p. 295).

25.4.3  Participation Practices 25.4.3.1  Site Management Plan and Citizen Participation The local authorities of the city have prepared the first version of Regensburg’s management plan, as part of the documents required by the UNESCO during the nomination process. Regensburg was inscribed in 2006. In 2008, the City Council decided to review the original rather rudimentary management plan and choose an integrated approach, including a participation process at a large scale to give more citizens the chance to get involved. This process was linked with the URBACT II Project HerO (Heritage as Opportunity), which started in 2009 (Ripp et al. 2011, p. 295). The participation of citizens was important for the development of the management plan, and in return, citizens identified themselves with the UNESCO World Heritage title. For the preparation process of the new management plan, a working group was created, which consisted of representatives from public and private institutions (see Box 25.4), led by an external expert. This expert had a chairmanship function and was responsible for the creation of an end analysis (Mühlmann 2012, p. 87). The first step of the external expert was to analyse the existing policies and concepts for their heritage-relevant content. The second step was to develop the principles and objectives for the individual field of action and to prepare an initial draft to supply a basis for the working group. Then, in a series of meetings during 2009, the Management Plan Working Group developed a list of achievable objectives and required measures for the identified fields of action. Each field of action was further developed by special small groups, including a leader, who would serve as a link between the municipality and the World Heritage Coordination (Mühlmann 2009, p. 23). Box 25.4: Participants of the Management Plan Working Group Internal participants: Records and Conservation Office, City Planning Office, Building Regulation Department, Office for Urban Development, Environmental and Legal Office, Office for Economic Promotion, Main Press and Public Relations Department, Regensburg Tourismus GmbH, and World Heritage Coordination External participants: Bavarian State Business Authority, Bavarian State Building Authority, Bavarian State Conservation Office, Government of the Oberpfalz, City Marketing Association Regensburg, Aktionsgemeinschaft Altstadt e.V., Chamber of Commerce and Industry Regensburg (IHK), and Weltkulturfonds Regensburg – Die Förderer

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Fig. 25.9  Heritage Dialog Workshop. (© City of Regensburg)

In 2010, after giving these leaders special training on moderation techniques, a public event called Heritage Dialogue for the citizens and more stakeholders was organized (Fig. 25.9). Around 70 persons attended the event, where they were split into six groups for the different fields of action. The working group leaders were the moderators for the sessions and guided the citizens to collect and prioritize their ideas for the discussed actions. The results of the event were a list of actions which are most favourable to the citizens. It was also decided to include two citizen representatives in the Management Plan Working Group: Dr. Rosa Micus, a specialist in German studies, and Dr. Peter Morsbach, an art historian. As advocates of the citizenship, they were able to participate in all working group meetings and contribute in particular the proposed actions of the citizenry to the process (Mühlmann 2010, p. 29). The actions identified by the community were implemented within the frame of the regular investment programme of the municipality. To realize the implementation of the developed action, financial resources from the local level, the Bavarian level, the national level and the European Union were used. In 2011, the World Heritage Management Plan was completed and submitted to the City Council for approval. On January 2012, it was made available online, in German and English language. The vivid public interest and engagement during the process have clearly shown the importance of civic participation especially in the field of heritage management and World Heritage in particular. Consequences of this innovation are varied, e.g. a follow-up event in 2017/2018, regular meetings of the working group and a steady communication between the relevant stakeholders, so the public stays informed about the implementation of the management plan and can also take part in its revision. All actions identified in the management plan refer to one of the six steps of the HUL approach.

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25.4.3.2  C  ivic Participation Practice in Field: Renovation of the Central Pedestrian Zone To improve the quality of this specific public space, the City of Regensburg plans to modernize some parts of the pedestrian zone in the city centre. According to this project, the central pedestrian zone will be renovated by approximately 2020. Besides the works on the road, a tunnel and channel construction, more trees, seating arrangements, bicycle stands and additional waste bins are also planned. During this process, maintaining communication with the public and the building civic participation is essential. Local workshops were held, in which inhabitants and local shopkeepers could actively contribute to the planning in nearly all aspects, e.g. design of the pavement in the pedestrian zone. Additionally, a design contest “Object-Art Competition, Seating Furniture” was organized for two specific squares in the project area. Original and innovative ideas should be supported and implemented. The jury of the design contest also was completed with two citizen representatives, who were selected during the local workshops (City of Regensburg 2015a, b, p. 10). 25.4.3.3  Specific Issue: Vulnerability Assessment The vulnerability and adaptation assessment are significant for local administrations working on World Heritage cities, as it provides them with the knowledge needed for the definition of priorities and integrating these priorities into regular programmes and budgets. In order to minimize the risk for the built heritage, it is necessary to analyse potentially affected areas. The following environmental forces are mentioned of particular significance by the Site Management Plan of Regensburg: flooding caused by the proximity to two rivers, the acid rain caused by air pollution which corrodes the limestone of the historical monuments and the global climate change which calls for action to adapt to changing climatic conditions (Mühlmann 2012, p.21). First of all, a 100-year flood (HW100) would have reached a level of five metres above the water level in Regensburg. It is called HW100 (Flood100), because a flood of this extent is likely to happen once in a 100 years. This could not only be dangerous for humans and animals but also for listed buildings and the historic urban landscape of Regensburg. The “Blue Plan” (Fig. 25.10) which was prepared by Water Management Office of Regensburg, making use of the most modern methods, shows all of the low-lying areas of Regensburg which risk being flooded during a 100-year flood (Lehner 2006, p. 158). This study provides the necessary basis to help in the preparation of a flood control system. Since 2000, the State of Bavaria, in conjunction with the City of Regensburg, has been working on a flood control system. As part of this project, an interdisciplinary idea and realization contest was held in 2003. The focus of the contest was to foster the creation of technical and design solutions for flood protection in the municipal area. After this contest, a subsequent “optimization phase” was organized. Eventually, two successful draft proposals were examined for concrete feasibility in 2005 and 2006. After another optimization phase, the development of the c­ onceptual

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Fig. 25.10  The blue plan of Regensburg. (© Verlag Friedrich Pustet. From Sedlmeier, A. & Vossen, J. (ed), (2006). p. 159)

foundation for a technical flood control of the City of Regensburg was completed (City of Regensburg – Water Management Office n.d.). The results focused primarily on stationary and/or mobile solutions (Fig. 25.11). Like step 3 of the HUL recommendation states, heritage cities are obliged “to assess the vulnerability of these attributes to socio-economic stresses and impacts of climate change” (Veldpaus et al. 2016, p.13). In Regensburg the serious debate about this issue began, as stated above, in the year 2000. In 2008, Regensburg hosted an international OWHC conference dealing with “Earth, Wind, Water, Fire  – Environmental Challenges to Urban World Heritage”. Experts from more than 15 European countries attended the Northwest-European Regional Conference. The conference participants jointly adopted the “Regensburg Recommendation”. The paper formulated basic strategies on the protection of historic towns and World Heritage cities against environmental risks and natural hazards (City of Regensburg, n.d.). The background of the conference’s discourses was the publications from Mechthild Rösseler World Heritage and Climate Change: Impacts on Cultural Sites and from Michael Petze Heritage at risk. Both give a good impression how urgent it is to take action. This was afterwards reflected in the so-called Regensburg Recommendation under Point 4: The World Heritage cities (are called on) to make risk preparedness and the impacts of climate change an integral part of the cities’ management of the World Heritage area and to develop proper emergency plans” (OWHC 2008, p.85). After the threats of flooding, air pollution is a quite special challenge in relation to the local communities, but also to limestone conservation of important listed

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Fig. 25.11  Mobile flood protection walls to the Danube. (© Available from http://www.hochwasserschutz-regensburg.de/mobile-elemente.html)

buildings and monuments. Over recent years, a new method of limestone conservation has been developed and successfully applied to three of the most significant historical structures – the Porta Praetoria, the Stone Bridge and St. Peter’s Cathedral. This method will continuously be used in the future (Mühlmann 2012, p. 22). Third, global climate change is also noticeable in Regensburg: In the last decade of the twentieth century, the annual average temperature rose from 7.9 °C to 8.9 °C (Dittmann 2006, p. 160). Although the city’s climate in the core and the surrounding of Regensburg is still comfortable, for the future of heritage management, the primary focus is on the following questions: How this pleasant micro-climate will remain? And how can the World Heritage area be adapted to the consequences of climate change? It seems to be important to protect and expand the green spaces in the first place. Secondly, it is essential to raise awareness within the community about the consequences of climate change and to promote a more environment-­ friendly lifestyle.

25.5  Networking Apart from a few objections before the inscription on the UNESCO World Heritage List, its label is not an obstacle for urban development. On the contrary, with a ­tailored management strategy, Regensburg defined a vision to use heritage and the

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UNESCO title as a driver for sustainable urban development. This vision was ­displayed in the management plan. Accordingly, “the unique UNESCO-World Heritage Site Old Town of Regensburg with Stadtamhof  – center of European ­history – must be safeguarded in its substance and be made accessible for all c­ itizens and guests to experience. And the unique UNESCO-World Heritage Site Old Town of Regensburg with Stadtamhof is to be preserved and further developed as a ­multifunctional and vibrant place for all citizens, businesses and guests” (Mühlmann 2012, p.  47). In other words, Regensburg appropriates the HUL approach and explores integrated urban heritage conservation strategies within the larger goals of overall sustainable development as a target (UNESCO 2011). Regensburg’s integrated management principles had been clarified and reflected in the “World Heritage Management Plan for the Old Town of Regensburg with Stadtamhof”. It is at the same time a fundamental basic text for the heritage-based urban development strategy of Regensburg. This strategy has a four-pillar basis: (35) integrated approach, (36) action-based orientation, (37) citizen participation and (38) continual improvement (Mühlmann 2012, p. 10). An integrated approach means, basically, both the combination of the consideration of preservation of the physical environment and the development of the World Heritage zone as a living, working and leisure area. Action-based orientation addresses the importance of prioritizing the concrete issues of the World Heritage Site, such as housing, public transportation, culture and tourism, for implementation of the heritage management strategy. Citizen participation, as well as the cross-sectional cooperation and stakeholder participation, is crucial to promote the identification as a World Heritage city. It is also needed to get necessary human and financial support for the further projects, and continual improvement refers to possible updates of the management plan according to changing demands and requirements over time. The City of Regensburg is aware of its main challenges and the obligatory strategy: to establish integration between conservation and change and between preservation and development. There is a popular historical quotation about Regensburg, and it is still valid: “Regensburg is old but new at the same time” (Morsbach 2016).1 Regensburg’s integrated management system has been supported by a broad range of different stakeholders with the higher objective of heritage conservation, including the World Heritage assets and its multifunctional quality, for a comprehensive urban commercial development (Ripp et al. 2011, p. 300). The next chapter presents the major fields of action in the World Heritage Management Plan and some examples from three different fields. For the City of Regensburg, regular engagement in several heritage-related ­networks became an important aspect of the urban agenda: The city takes part in networks at the national and international level, such as ARGE Historic Cities and the OWHC (Organization of World Heritage Cities). Moreover, a series of projects 1  This quotation comes from Otloh, a monk of the Regensburg monastery of St. Emmeram, from the middle of the eleventh century. With these words, Otloh described the mediaeval Imperial City of Regensburg.

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co-funded by the European Union has enabled Regensburg to cooperate directly with other cities facing similar challenges. The strategic use of networks includes the exchange on real-world solutions for specific problems, the development of model solutions that can be transferred to other cities with a significant part of urban heritage and the joint lobbying to improve the conditions (in terms of funding schemes, capacity building, increase awareness on higher political levels, etc.) (Crouch et al. 2013). The latest project was COMUS (Community-Led Urban Strategies in Historic Towns), which focuses on stimulating social and economic development by enhancing cultural heritage in nine historic towns in Armenia, Belarus, Georgia, the Republic of Moldova and Ukraine (Council of Europe 2016; Ripp and Stein 2018). Throughout the project, a methodology and principles for heritage-based urban development in countries of transition were developed. Within the OWHC network, member cities are represented by their mayors, which secure the involvement of the political level. More operational is the role of the heritage management specialists, who transform the strategies into actions. The OWHC’s headquarters are located in Québec City, which hosted the first International Symposium of World Heritage Cities in July 1991. There are eight regional secretariats that support the work of the general secretariat. The main achievements of the Region Northwest Europe and North America are an enhanced communication policy and a vivid exchange between the cities, which already shows great benefits for all parties. Networking, in general, is crucial for a successful work in heritage management not only because of the input from other experts but also to join forces to put urban heritage on the political agenda. Being part of networks enhances visibility and raises awareness, both of which are critical to gain access to funding and funded projects. Regensburg experienced that good networking eases considerably the development of an innovative heritage management.

25.6  Conclusion Though the World Heritage Management Plan of Regensburg was published in early 2012, it is not outdated. The whole process of the implementation was updated on a regular basis. Several meetings of the working group were settled, and in 2015 the interim report was published, which explained the status quo of the actions and measures: 75% of the proposed actions are either completed or are currently implemented as permanent tasks (City of Regensburg 2015a, b, p. 10). The rest will be implemented as soon as possible. Thus, the tool management plan develops in accordance to the heritage site as it was intended in the first place. Some adjustments, however, will be necessary in the upcoming months due to some structural and thematic changes within the municipality of Regensburg after the 2013 elections. The focus on the issue of integration must be reflected in the management plan as well as Regensburg’s orientation towards creative industries.

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It is also crucial to be aware that management plans are not management systems in the sense the HUL approach demands. They are structures in need of interpretation. Often to reach some objections, management plans provide the outcome but not the methodology and methods. Strategies of heritage interpretation though combined with a well-structured management plan could be a better way of approach here. “In short, effective governance in UNESCO World Heritage Sites demands a reframing of the role of management plans as a tool to significantly improve community engagement at local level and also to be aware of their limitations. Allied to this, a change of emphasis, especially in regional and national locations where they are more appropriate, in favour of the alternative provision that is set out in the Operational Guidelines, namely, management systems” (Ripp and Rodwell 2018). To manage a smooth integration of the topics and the stakeholders, the Management Plan Working Group will be extended and the working fields adjusted accordingly until the end of 2017. In this process, also new actions could be developed to meet the actual challenges. Heritage-based urban development in Regensburg means, therefore, an interactive system, which can respond to current effects and balances those fractions by integrating them into the system, based on good governance principles that are constantly implemented (Ripp et  al. 2011, p.  300). Following the HUL approach principles, Regensburg puts a strong emphasis on community engagement and the participation of interdisciplinary experts. The main objective though is not only to detect and analyse the City in the spirit of the historic urban landscape but also to entitle and capitalize on a governance system in which as many elements of the system as possible are considered.

References Arnstein, S. R. (1969, July). A ladder of citizen participation. Journal of the American Institute of Planners, 35(4), 216–224. Bavarian Heritage Atlas. http://www.blfd.bayern.de/denkmalerfassung/denkmalliste/bayernviewer/. Accessed 17 September 2018. Breuer, T., & Petzet, M. (1993). Vorwort. Baualtersplan zur Stadtsanierung Regensburg/10 Register und Nachträge (p. 7). München: BLfD. Brundtland, G.  H. (1987). Report of the world commission on sustainable development. Geneva: UN. City of Regensburg. (2015a). Zwischenbericht Management plan. Available from: http://www. regensburg.de/welterbe/welterbekoordination/service-downloads [07 December 2016]. City of Regensburg. (2015b). Beschlussvorlage/öffentlich: Neugestaltung “Zentrale Fußgängerzone”. Available from: www.regensburg.de [15 November 2016]. City of Regensburg. (n.d.). Facts and figures. Available from: http://www.regensburg.de/unescoworld-heritage/about-regensburg/facts-and-figures [09 December 2016]. City of Regensburg – Department of Statistics. (2014). Bevölkerungsstatistik der Stadt Regensburg. Available from: www.statistik.regensburg.de [16 November 2016]. City of Regensburg -Water Management Office. (n.d.). Wettbewerb/Optimierungsphase. Available from: http://www.hochwasserschutz-regensburg.de/wettbewerb-optimierungsphase. html [29 December 2016].

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Council of Europe. (2016). Available from: http://pjp-eu.coe.in/en/web/comus Crouch, T., Dumas, A., & Ripp, M. (2013). Safeguarding and further developing world heritage cities-position paper. The OWHC’s regional secretariat for Northwest Europe. Organisation of World Heritage Cities (OWHC). Available from: https://www.regensburg.de/sixcms/media. php/280/OWHC_Position_Paper_maximise_size.422368.pdf. 17 September 2018. Dittmann, C. (2006). Hochwasser in Regensburg: Nasse Füße laut Blauem Plan. In Stadtatlas Regensburg (p. 160). Regensburg: Friedrich Pustet Verlag. Hosagrahar, J.  (2015). Knowledge and planning tools. In Reconnecting the city. The historic urban landscape approach and the future of urban heritage (pp. 249–261). West Sussex: Wiley Blackwell. Hotz, C. (2004). Deutsche Städte und UNESCO-Welterbe. Probleme und Erfahrungen mit der Umsetzung eines globalisierten Denkmalschutzkonzeptes. Hamburg: Verlag Dr. Kovač. ICOMOS. (1975). European charter of the architectural heritage. Available from: http://www. icomos.org/en/charters-and-texts/179-articles-en-francais/ressources/charters-and-%20%20 standards/170-european-charter-of-the-architectural-heritage [09 December 2016]. Kiesow, G. (2000). Denkmalpflege in Deutschland. Eine Einführung. Theiss, Darmstadt. Lehner, C., (2006). Hochwasser in Regensburg: Nasse Füße laut Blauem Plan. Stadtatlas Regensburg (pp. 158). Regensburg: Friedrich Pustet Verlag. Morsbach, P. (2016). Regensburger Almanach 2016 – Regensburg ist alt und jung zugleich. Mühlmann, R. (2009). ‘Der Welterbe-Management plan: Ein integriertes Handlungskonzept für Regensburg‘ Jahresbericht 2009 der Welterbekoordination. (pp. 22–25). Regensburg, City of Regensburg. Mühlmann, R. (2010). ‘Welterbe-Management plan: Welterbe-Dialog am 5. und 6. Februar 2010′, Jahresbericht 2010 der Welterbekoordination. (pp. 29–30). Regensburg, City of Regensburg. Mühlmann, R. (Ed.). (2012). World heritage-management plan for the old town of Regensburg with Stadtamhof. Regensburg, City of Regensburg. Organization of World Heritage Cities. (2016). Available from: http://www.ovpm.org/en/ regional_secretariats/northwest_europe_and_north_america OWHC. (2008). Regensburg recommendation. In Proceedings EARTH WIND WATER FIRE. Environmental Challenges to Urban World Heritage. Organization of World Heritage Cities (OWHC). Northwest-European Regional Conference in Regensburg from September 16-18, p. 85. Ripp, M., & Hauer, S. (2017). Communication model for built heritage assets going from knowing to identification. Published: Built Heritage Issue 4. Available: https://www.built-heritage.net/ rippandhauer. Ripp, R., & Rodwell, D. (2018). Governance in UNESCO world heritage sites: Reframing the role of management plans as a tool to improve community engagement, in aspects of management planning for cultural world heritage sites (pp. 241–253). Cham: Springer. Ripp, M., & Stein, P. (2018). Applying the Faro convention principles to deliver heritage-based urban development: The COMUS-project. Community-led urban strategies in historic towns. In Council of Europe. Ripp, M., Eidenschink, U., & Milz, C. (2011). Strategies, policies and tools for an integrated world heritage management approach; experiences from the city of Regensburg. Facilities, 29(7/8), 286–302. Ripp, M., Hellmann T. R., & Hauer S (Eds.) (2014). Communicating heritage assets. In HerMan Final Brochure. p. 24/25. Sedlmeier, A., Vossen, J., & Maag, K. (2006). Stadtatlas Regensburg. Regensburg. Stadplan Regensburg: http://stadtplan.regensburg.de/tabs.php?tab=stadtplan. Accessed 17 September 2018. Stadplan Regensburg. Available from: https://www.regensburg.de/20/stadtplan/stadtplan-regensburg [31 January 2018]. Trapp, E. (2008). World heritage Regensburg: A guide to the history and art history of the old town of Regensburg with Stadtamhof. Regensburg: Verlag Schnell & Steiner.

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UNESCO. (2011). Recommendation on the historic urban landscape. Available from: http://whc. unesco.org/en/activities/638/ [06 December 2016]. UNESCO. (2016). The HUL Guidebook-Managing heritage in dynamic and constantly changing urban environments. A practical guide to Unesco’s Recommendation on the Historic Urban Landscape, p. 13 URBACT. (2010). Analytical case study. Visitor Centre World Heritage Regensburg. Available from: https://www.regensburg.de/sixcms/media.php/280/Regensburg_case_study.pdf Veldpaus, L., Fayad, S., Jian, Z., Rogers, A.-P., Juma, M., Re, A., Pérez, J., & Verdini, G. (2016). The HUL guidebook: Managing heritage in dynamic and constantly changing urban environments. §3 Abs. BauGB.  Baugesetzbuch in der Fassung der Bekanmachung vom 23. September 2004 (BGBl. I S. 2414), das zuletztdurch Artikel 6 des Gesetzes vom 20. Oktober 2015 (BGBl. I S. 1722) geändert worden ist. Available from: http://www.gesetze-im-internet.de [22 November 2016].

Chapter 26

Enhancing Rural-Urban Linkages Through the Historic Urban Landscape Approach: The Case of Shuang Wan Cun in the Jiangsu Province Giulio Verdini and Feiran Huang

Abstract  Shuang Wan Cun is a peri-urban village located in the Wujiang District of Suzhou, in China. During 2015–2016, the village experimented with the implementation of the Historic Urban Landscape (HUL) recommendation, being assisted in this process by the Research Institute of Urbanisation of Xi’an JiaotongLiverpool University. It was one of the pilot projects to implement the ‘Shanghai Agenda for HUL in China’ at WHITRAP (2015). Among those, it is one of the few cases of HUL application in China dealing with the challenges of an ordinary rural village affected by problems ascribable to the massive urbanization process. This case is particularly relevant because of the strong local political willingness to study alternative development strategies more considerate of local historic structures and to implement civic engagement tools with the local community. This has proven to be an engine for real transformation, and some tangible results have been achieved. The main aim of this chapter is to report on the process and the outcomes of this experiment, in the context of Suzhou, and focus on the enabling conditions for making implementation of HUL possible. The favourable context of a long-lasting history of urban conservation in Suzhou, as described in the paper, has been a fertile terrain to experiment new soft tools of conservation. While there are still some limits in its application, HUL has proven to be successful in reframing development priorities in more sustainable terms, reconnecting a locality to the opportunities of its surrounding urban context, which has been for years considered a source of negative impacts.

G. Verdini (*) Department of Urban Planning and Transport, University of Westminster, London, UK e-mail: [email protected] F. Huang College of Architecture and Urban Planning, Tongji University, Shanghai, China © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_26

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Keywords  Rural-urban linkages · Rural regeneration · Small settlements · Civic engagement · China

26.1  Introduction The conservation and utilization of cultural heritage in rural areas are usually confined, in the best scenario, to limited interventions of physical protection of buildings linked to unoriginal exploitative tourism strategies. This is primarily due to lack of resources, institutional weaknesses and, very often, to lack of local vision and effective regional development strategies. Therefore, the deficiency of suitable governance systems for rural settlements may reinforce their condition of isolation or dependency, preventing them from embarking autonomously on sustainable paths of local development. The enhancement of rural-urban linkages can instead help to develop complementary and synergic functions, between rural, peri-urban and urban areas, capable of reinforcing different localities, reshaping their identities and their development opportunities in a more creative and sustainable way (Verdini 2016a). The experience of Shuang Wan Cun has addressed some of the points raised for small settlements in the UNESCO Global Report ‘Culture Urban Futures’ (2016). At the time of the discussion with the local government of Shuang Wan Cun and then Wujiang District, the main local interest was to study ‘human-centred’ solutions to improve the urbanization of the area, by referring to the then recently released ‘New Urbanization Plan’ (2014). This national policy paved the way to research better urban-rural integration mechanisms to preserve the countryside and bottom-up forms of development. It further opened avenues of research into addressing urban sprawl and protecting agricultural land, alongside the scattered experimentation of rural village conservation (Verdini et al. 2016). In particular, Suzhou had been at the forefront of rural conservation, due to the safeguarding of some historic water towns such as Tongli, also located in Wujiang District. For this reason, the water towns of the Yangtze River received the UNESCO Asia-Pacific Heritage Award of Distinction in 2003. However, due to its proximity to Shanghai, some water towns have become famous tourism destinations with massive annual visitor flows and a series of negative externalities. The discussion in Shuang Wan has been instead, since the beginning, framed as an attempt to preserve the historic landscape of the area, traditionally linked to the complex water system and rich agricultural activities. The main aim was to deliberately explore place-based rural development paths complemented by soft tourism strategies. This was made possible by the relative scarcity of outstanding heritage structures in the village, which made a pure tourism strategy unviable. This paper provides a historical overview of the urban development trajectory of Suzhou, alongside the urban conservation attempts in the last decades. Later, the experience of research and HUL implementation in Shuang Wan is explored, showing its potential applicability in other cases in China and some of its limits.

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26.2  Suzhou and Its Region: Historical Overview Located in one of the most developed areas in China, the Yangtze River Delta, Suzhou has, historically, always been a prosperous city. The mild climate, fertile soil and the presence of the dense water network of the Tai Lake Plain have nurtured the development of rich agricultural production, including rice, tea and mulberries, together with a flourishing handicraft silk trade and industry. With the completion of the Grand Canal, Suzhou has become the hub of the waterway transport in the region and consequently the economic and the cultural centre of southern Yangtze region (Dong 2004). Its urban fabric is also seamlessly integrated with the dense water network. The so-called double-chessboard urban form is used to describe such special urban morphology of Suzhou as the waterway, an important part of the local transport system, goes parallel to the road system and forms a grid pattern. This unique urban form is already visible on a map of the thirteenth-century city, the so-called Pingjiang map. Its urban form, despite major modern changes, shows some correlations today (Fig. 26.1). Due to the dense network of canals, Suzhou is also known as the ‘Oriental Venice’. Since the thirteenth century, many private gardens have been built by local merchants and officials. They seek to recreate the natural landscape in the miniature and reflect the profound metaphysical importance of natural beauty in Chinese culture and are widely acknowledged as the masterpieces of the genre (UNESCO 1997). Representing the highest value of garden design and artistic merit, four gardens were inscribed as World Heritage in 1997, and five more were added in 2000 (Fig. 26.2).

Fig. 26.1  Suzhou City map in the thirteenth century (Xu 2000) and the aerial view today

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Fig. 26.2  Classical garden in Suzhou and the traditional urban landscape in the historic city centre

Besides the historic city centre, the part of the city stretching beyond the city wall also integrates with the surrounding natural environment, such as the lake and the hills, where many villages were also built. These settlements, paddy fields and fishponds form a unique rural landscape typical of the lower Yangtze region. This combination of land and water appeared already unique to the eyes of the Jesuit priest Matteo Ricci when in his travel accounts of China reported: This is one of the two towns which the Chinese have put into the proverb: “What in heaven is called the seat of blessed, on earth in Suzhou and Hangzhou”. It is one of the most important cities of this region and is known for its splendour and wealth, for its numerous population and about everything else that makes a city grand. It is situated on a calm river of fresh water, or one might more aptly say on a lake, swept by gentle winds. (reported in Marme’ 2005, p.20)

26.2.1  Industrial Innovation and Urban Conservation Since the nineteenth century, the city of Suzhou suffered from a severe decline, losing its position as the economic centre of the region. With the decline of the water transport as well as the rise of the railways in the late nineteenth century, Suzhou also lost its importance as the regional hub on the Grand Canal. This led to Shanghai soon replacing Suzhou as the economic centre (He 2007). Consequently, the built­up area of the city did not expand much until the 1980s (Fig. 26.3) Since the opening and reform in 1978, China has shifted from a planned economy to a market-oriented one. Not only has the economy developed remarkably since then, but also the urban area has expanded enormously, from 28.62 km2 in 1980 to 329.29 km2 in 2010, by 11.51 times (Wang et al. 2015). The administrative division of Suzhou has also changed during these years, and now the metropolitan city of Suzhou consists of five urban districts and four county-level cities. These five urban districts are Gusu District, Suzhou Industrial Park (SIP), Suzhou New District (SND), Xiangcheng District, Wuzhong District and Wujiang District and form a

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Fig. 26.3  Built-up area in Suzhou by 1982 (Wang 2005)

polycentric urban pattern (Fig. 26.4). Wujiang was granted the status of ‘urban district’ in 2012 with repercussions on the economic and urban dynamics of the area, as will be discussed later. With the approval of the Law on the Protection of the Cultural Relics in 1982, Suzhou was designated as China’s ‘Famous Historic and Cultural City’ in the same year. Since then, conservation of the historic urban fabrics and important sites has become the first development priority of the historic city centre, and mass construction has been prohibited. Commercial, cultural and tourism activities have become the pillar of the economy of the historic city, while other functions have to seek other areas to be allocated. Conversely, the boom of local state-led township and village enterprises since the 1980s has significantly boosted the local economic development. This unique approach of countryside industrialization has ensured wide economic and social benefits while threatening the quality of the surrounding natural environment and rural landscape (Friedmann 2005). Overall, in the last 20 years, the GDP of Suzhou City has rapidly increased and accounts now for 20.7% of the total GDP of Jiangsu Province, ranking 1st in Jiangsu Province and 7th in the country (SSB 2016). Since the release of the master plan of Suzhou of 1986, the local government decided to expand the city towards the west first, building a new district (SND) for industrial development, while preventing large-scale construction in the centre to

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Fig. 26.4  Suzhou urban districts and county-level cities with the location of Shuang Wan Cun

preserve the historic city. The city has then been increasingly driven by foreign direct investments with an important spatial reconfiguration of the city. In 1994, the openness of the city of Suzhou reached a new height with the establishment of the Sino-Singapore Industrial Park (Wang et al. 2015). To facilitate the transformation of Suzhou from a productive city to an innovative city, in 2002, the local government established a higher education town, the Dushu Lake Higher Education Town. Suzhou has now consolidated its east-west development axis, and the new master plan (2011–2020) is fostering urbanization along the north-south axis. While the north of the city is becoming increasingly competitive and equipped with modern and efficient infrastructure, like the new high-speed train Beijing-­ Shanghai, the south has retained a more rural and tourism-oriented vocation. In Wuzhong District, the Suzhou Tai Lake National Tourism Vacation Zone was established in 1993 taking advantage of the proximity to the Tai Lake with its beautiful natural scenery, where many historic villages and towns are located. This area is also famous for its special local agricultural products like tea and fruits. Therefore, priority has been given to the conservation of the natural landscape and historic settlements for tourism development. In contrast to the mass sightseeing tourism in the historic city centre, the local government has adopted a strategy that encourages soft tourism, which is more ecologically and socially friendly. Today, Wuzhong District attracts tourists from the surrounding cities, especially people from Suzhou

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City and Shanghai, and has become a popular place for events such as Tour of Tai Lake (cycling race). As the capacity of the urban area of Suzhou has been almost reached, the city has been seeking new areas to expand into. In 2012, the county-level city, Wujiang, was redesignated as Wujiang District and became part of the Suzhou urban area.

26.2.2  Suzhou Peri-urbanity: Diversity and Dynamics The countryside and the peri-urban area of Suzhou are very diverse and dynamic. Unlike the suburbs in the western country where the land use is dominated by residential function, the urban fringe area of Suzhou is a dense rural region and a complex and polycentric urban system. It is characterized by a special typology of rural landscape, a mixed form of local economy, as well as small settlements with strong vernacular local features. The formation of such special morphology originated from local agricultural activities, developed in response to the scarcity of cultivated land due to the high population density. This unique morphology has been under the threat of the rapid urban growth in the Yangtze River Delta. Besides being well-­ known for paddy fields, fishponds, vegetable gardens and orchards, another agriculture-­related economic activity is the textile industry of this region, which dates back to silk production in ancient times. Besides agriculture, the small-scale and family-based silk production used to be the main income source of local people during the 1930s, and it could be, to some extent, seen as the proto-textile industry of this region (Fei 1939). Today, the tradition of engaging in the textile industry still remains in this region, especially in south Suzhou, although in a quite different form. In the past, the families produced the silk starting from the breeding of the silkworm, while today many places just process raw materials imported from outside. For instance, some areas in the peri-urban area of Wujiang District accommodate many home-based workshops and small enterprises for sweater production. Influenced by the flourishing of local state-led township and village enterprises and the rapid urban sprawl, nonagricultural jobs have become a major income source for local people. Instead of engaging in agricultural production, local farmers also work temporarily in the factories nearby or on the construction sites during the offseason of farming. In some cases, some farmers even lease their farmland to contractors and commute every day to the nearby industries, where they work full-­ time. For instance, in a village in SND by Tai Lake, half of the local villagers’ income is derived from the activities taking place outside the village, such as working in the factories, while home-based embroidery accounts for the largest proportion of local people’s income derived inside the village (Verdini 2014). This representative case indicates that although the sprawling city and industrialization have significantly changed the structure of the local economy, local-based activities still maintain their importance. From agriculture to tourism, the variety of activities indicate that the peri-urban area of Suzhou is a diverse place which is able to adapt itself to the changing regional

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context. However, the current policy framework functions inadequately in conserving this complex and dynamic system. On the contrary, it may even accelerate the disappearance of this special peri-urbanity.

26.2.3  Peri-urbanity: Challenges and Opportunities In the metropolitan city of Suzhou, the diverse urban fringe area is threatened by the urban sprawl of the city. Although there are several policies tackling urban growth that protect the rural area, especially the arable land, they function inadequately in protecting the peri-urban area. The policies targeting the rural area favour simplified solutions for this complex situation, instead of addressing its diversity. The central problem of the current urban sprawl issue is the land finance model in urban development. After the reform of the finance system, the local government no longer has economic support from the central government. Therefore, the local government has to seek other sources of revenue to finance public projects, such as infrastructure construction. Leasing public land to private developers has become the fastest and most straightforward solution to local financial problems, resulting in aggressive actions on the rural land, especially the peri-urban area. Rural land is simply redesignated as urban land, allowing the local government to purchase the land from the farmers at a low price, while leasing it to developers at a high price. To some extent, policies attempting to control the urban sprawl cannot work without a major change to this land-financing system (Verdini 2016b). One of the major policies for the rural area is the so-called relocation and centralization of the villages. The main rationale of this policy is to tackle the issues of inefficient land use in the rural area and to mitigate the problem of land scarcity. It involves relocating the villagers who live in small villages, scattered throughout the countryside, to bigger towns, and then the village land can be reclaimed for agricultural or other use (Ren and Yao 2000). However, this simplified solution is not able to address the diversity of the rural area and focuses solely on the quantitative aspects, while ignoring many other precious qualities of the rural area. Commitments have also been made to protect the scarce arable land and guarantee the food supply. The most productive land has been designated as basic arable land, and any type of developments is strictly prohibited according to the Law on the Protection of the Basic Arable Land. However, the law still compromised on urban development by introducing the mechanism of the ‘dynamic balance’ which means that if any development is made on basic arable land, the same amount of farmland must be reclaimed elsewhere. By introducing this mechanism, one of the strongest barriers for urban sprawl has gone, and the local government has been acting more aggressively on the rural area. At the local level, Suzhou City has been adapting the policy ‘4 Million Mu Project’, which aims to create/conserve one million mu productive basic arable land for rice production, one million mu aqua-­ product breeding, one million mu gardening and vegetable fields and one million mu ecological woodland. The effort of the local government to protect the e­ cological

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value of the countryside and, at the same time, guarantee the food supply can be seen from this policy. However, when the policy is implemented at the district, town and village levels, the quotas imposed locally on villages do not often take into consideration the complex local context, as described later.

26.3  Report from Shuang Wan Cun Case Study Located in south Wujiang District, the village of Shuang Wan could be seen as a typical case reflecting the current issues in the peri-urban/rural area of the metropolitan area of Suzhou. Like many other villages in the area, Shuang Wan Village is characterized by dense water network which consists of canals, small rivers and fishponds, and the houses stretch along the main watercourse (Fig. 26.5). Local people’s income mainly derives from family-based small textile industries, breeding of fish and leasing the village land for rice cultivation, and these economic activities are embedded in the built environment and rural landscape. Moreover, such a combination also has a place-based cultural meaning, representing a typical lifestyle of such settlements in the Yangtze River Delta region. The village has been designated as a settlement with the vernacular style of the region indicating that it can be protected from relocation and demolition in the urbanization process. However, as mentioned above, it has been threatened by the imposed upper-level

Fig. 26.5  Aerial view of Shuang Wan Village and its surrounding landscape

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government policy, which intends to change the land use. Almost 50% of the total fishponds in the village have to be reclaimed and changed to arable land to meet the quota in the four Million Mu Project. This will result in not only a change in the rural landscape but also a decrease in the local people’s income. In light of this background, local leaders have consulted the Research Institute of Urbanisation at XJTLU to research alternative solutions to the current challenges brought by the new policy and to implement strategies for sustainable local development. The main concerns expressed were the reduction of the local people’s income and the change in rural landscape but also the willingness to conserve the heritage that shapes the local cultural identity (Verdini et al. 2017). In this case, the approach of Historic Urban Landscape has been applied to find a balance between the urban development and the conservation of the landscape. In practical terms, a preliminary reseaech has been conducted and a participatory design workshop has been organised  to define potential future development  scenarios together  with local stakeholders. As a result, three main strategies have been agreed and presented in front of the village committee in a public hearing session. These three strategies are introducing the cultivation of rose to mitigate the negative effect of the incoming change to the rural landscape, improving the public space and network of mobility for not only the local people but also the potential rural tourism development in the future and the conservation of the historic built environment to keep the local cultural identity. Based on the outlined strategies, during the workshop, researchers and students from different universities have researched the topics reported in Table 26.1, coming out with a 3-year programme of actions 2016–2019 and a master plan for sustainable local development. The main idea behind the master plan is to gradually insert new agricultural products, such as roses (this is a preliminary proposal which will be subject to a feasibility study), in the eastern and western parts of the village, retaining the fishponds at the two main entrances of the village (north and south). The time frame is

Table 26.1  Topics and target outcomes discussed during a participatory design workshop held in July 2015 in Shuang Wan. Topic 1: Fishponds vs farmlands

Action To balance fishponds and reclaimed land by introducing new activities 2: Open space To redesign open spaces and create possible green nodes 3: Household To rethink/redesign the typologies household typologies 4: Heritage To list heritage areas and conservation preserve specific sites/houses 5: New mobility To redefine the road system

Target outcomes To increase the area’s economic output and to reduce the overall water pollution To improve the local landscape To provide new houses that match the local identity and residents’ needs To maintain the historical footprints and preserve the local heritage To improve the mobility, create a new road hierarchy and foster ‘slow mobility’ for pedestrians and bicycles by limiting car access

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linked with the agricultural contracts, which will expire during the period 2016– 2019, and is associated with the construction of a system of green roads (within the village) connected by a regional bicycle path, the building of two new pedestrian bridges, the conservation plan for the south part of the village, the upgrading of a central area for retail development and the construction of two rose gardens in the core of the village. In this respect, the new agricultural project is an opportunity to rethink the entire village morphology and the future economic activities in modern terms (Fig. 26.6). More detailed and related proposals have been developed during the workshop (Fig. 26.7), for example, on how to utilize the bay area and the public space for showcasing the local products (e.g. rose exhibitions and rose fireworks); on how to develop a related creative industry, reconciling the dual economy, which is now entirely separate (rose cultivations and textile activities); and on how to design two rose gardens with leisure functions related to the conservation of the south area for tourism purposes.

Fig. 26.6  The master plan which was presented to local officials and local people in a public session on the 12 July 2015

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Fig. 26.7  The residential Charette. Meetings with the local community

26.4  Discussion and Conclusion With more than three decades’ development since the opening and reform, Suzhou has already become the most economically developed city in Jiangsu Province. However, the great achievement in terms of ‘numbers’ has brought a number of problems. The spatial function division of the city, namely, the cultural-touristic historic city centre and the surrounding industrial parks, such as SIP and SND, is damaging the diversity and vitality of the city, traditionally featuring mixed land use pattern and profound rural-urban linkages as in many Chinese cities (Xu 2000). The historic city centre, as well as the ancient water towns such as Tongli, is suffering from the huge tourism fluxes, and they are on the edge of ‘venetianization’, risking to become de facto ‘amusement parks’, while other more sustainable development alternatives have been often neglected (Verdini and Huang 2017). Similarly, the sprawling urban development has affected the surrounding countryside, which could instead be conceived as an opportunity for alternative rural development strategies. In this context, tourism is a complementary asset and not necessarily the ultimate aim. The HUL approach implemented in Shuang Wan has been primarily focused on suggesting new planning tools (a strategic master plan) and development options, based on a careful assessment of local needs via civic engagement. In particular, the

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involvement of local stakeholders in the scenario exercise has been instrumental to legitimatize a shared vision of development, resolving some local conflicts. For example, the perceived risk of losing village’s income due to fishponds reclaiming has been overcome by the consensus found around the introduction of new cultivations (roses for tea, in this case), due to its increasing urban demand, where the interests of various economic stakeholders converged. This has reinforced a proposal of village rebranding (the village of the roses) where both the enhancement of rural landscape and the conservation of vernacular architecture could coexist with a viable economic development option. Not all actors have been directly involved, but there has been an attempt to also give voice to the marginalized ones, such as migrants so to ensure an inclusive development scenario (Verdini et al. 2017). The enthusiastic response of the local community has been acknowledged by the Wujiang District, which has granted Shuang Wan Cun the title of ‘China Beautiful village’ in September 2015. This has been accompanied by the allocation of funding for starting a rural regeneration process, materialized in the improvement of the public realm, a few months later in early 2016. The case of Shuang Wan demonstrates the suitability of HUL to provide a set of integrated tools to reconnect the historic identity of a place to various innovative and more sustainable development scenarios. Particularly, when applied to small settlements, this means defining a place-based rural strategy for localities often directly or indirectly threatened by the urbanization process. However, it is by enhancing their sustainable linkages with the urban realm (and the quality demand of the new Chinese middle class) and by redefining their new identity, coherent with the past and shared with local stakeholders, that small settlements and their unique historic landscapes have the chance to survive. Acknowledgements  A preliminary version of part 2 of this chapter ‘Suzhou and its Region: Historical Overview’ has been published in Italian (Verdini and Huang 2017).

References Dong, J. (2004). Zhong Guo Cheng Shi Jian She Shi [The history of city construction in China]. Beijing: China Architecture & Building Press. Fei, H.-T. (1939). Peasant life in China. London: G. Routledge. Friedmann, J.  (2005). China’s urban transition. Minneapolis/London: University of Minnesota Press. He, Y. (2007). Zhong Guo Chuan Tong Gong Shang Ye Cheng Shi Zai Jin Dai De Shuai Luo—Yi Suzhou, Hangzhou, Yangzhou Wei Li. [The decay of the traditional merchant cities in China during the late 19th century and early 20th century—the case of Suzhou, Hangzhou and Yangzhou.]. Journal of the Southwest University for Nationalities, 28(4), 1–11. Marme’, M. (2005). Suzhou. Where the goods of all provinces converge. Stanford: Stanford University Press. Ren, C., & Yao, W. (2000). Guan Yu Qian Cun Bing Dian Zheng Ce De Fen Xi [Analysis on the policy of ‘Relocation and Centralisation of Villages’]. Urban Problems, 2000(6), 45–49.

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Suzhou Planning Bureau (SPB). (2016). Suzhou city master plan 2011–2020. http://www.szghj. gov.cn/szghj/ghcg/002001/. Accessed 17 May 2017. Suzhou Statistical Bureau (SSB). (2016). Suzhou statistical yearbook (p. 2016). Beijing: China Statistics Press. UNESCO (Ed.). (2016). Global report on culture for sustainable urban development. Culture urban future. Paris: UNESCO. UNESCO. (1997). Inscription: The classical gardens of Suzhou (China). Decision: CONF 208 VIII.C. Paris: UNESCO. http://whc.unesco.org/en/decisions/2872. Accessed 20 Dec 2017. Verdini, G. (2014). The costs of urban growth at the fringe of a Chinese city: Evidence from Jinshi Village in Suzhou. International Development Planning Review, 36(4), 413–434. Verdini, G. (2016a). Culture as a tool for harmonious territorial development. In UNESCO (Ed.), Global report on culture for sustainable urban development. Culture urban future (pp. 212– 219). Paris: UNESCO. Verdini, G. (2016b). The rural fringe in China: Existing conflicts and prospective urban-rural synergies. In G.  Verdini, W.  Yiwen, & Z.  Xiaonan (Eds.), Urban China’s rural fringe: Actors, dimensions and management challenges. London: Routledge. Verdini, G., Wang, Y., & Xiaonan, Z. (Eds.). (2016). Urban China’s rural fringe: Actors, dimensions and management challenges. London: Routledge. Verdini, G., Frassoldati, F., & Nolf, C. (2017). Reframing China’s heritage conservation discourse. Learning by testing civic engagement tools in a historic rural village. International Journal of Heritage Studies, 23(4), 317–334. Verdini, G., & Huang F. (2017), La maniera di Suzhou: Innovazione urbana e continuita’ urbano-­ rurale, Urbanistica Informazioni, 272. Available online at: http://www.urbanisticainformazioni. it/Suzhou.html Wang, D. (2005). Zhong Guo Cheng Shi Gui Hua Shi Gang [The History of Urban Planning in China]. Nanjing: Southeast University Press. Wang, L., Shen, J., & Chung, C. K. L. (2015). City profile: Suzhou – a Chinese city under transformation. Cities, 44(2015), 60–72. Xu, Y. (2000). The Chinese city in space and time. The development of urban form in Suzhou. Honolulu: University of Hawai’i Press.

Chapter 27

Actual and Intangible in Tel Aviv: A Reexamination of Conservation Strategies in a Modern City Rachel Gottesman and Jeremie Hoffmann

Abstract  In 2003, the “White City of Tel Aviv, the Modern Movement,” was inscribed on UNESCO’s World Heritage List. Thus, the historic city of Tel Aviv received international recognition as a distinct representative of modern architecture and urban planning. The international recognition led to a conservation surge in the city and to large-scale entrepreneurship, which, alongside the rapid growth of the city, presented new challenges and dilemmas – a need to provide a broader cultural and social infrastructure for the “White City” area in particular and Tel Aviv in general. This article reviews the foundation of the “White City Center” at Liebling House, which constitutes a center for modern urban heritage, with its tangible and intangible layers. The center focuses on research, education, and community networking according to the HUL approach, understanding the city as a result of a historic layering of cultural and natural values and attributes, extending beyond the notion of “historic center” or “ensemble” to include the broader urban and cultural context. Keywords  Tel Aviv · Modernism · White City · HUL · White City Center · Conservation · Conservation department · Community · Research lab

R. Gottesman (*) White City Center, Tel Aviv–Yafo, Israel J. Hoffmann Conservation Department, Tel Aviv-Yafo. Focal point, White city of Tel Aviv, Israel © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_27

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27.1  Introduction For the men, not the walls nor the empty galleys, are the city. (Thucydides, History of the Peloponnesian War, 7.77) The Historic Urban Landscape approach moves beyond the preservation of the physical environment and focuses on the entire human environment with all of its tangible and intangible qualities. It seeks to increase the sustainability of planning and design interventions by taking into account the existing built environment, intangible heritage, cultural diversity, socio-economic and environmental factors along with local community values. (UNESCO 2013).

In recent years, Tel Aviv has established its status as a city with a modern heritage and was recognized by UNESCO as a World Heritage Site (World Heritage Committee 2003). However, concurrent with the success of this move and the extraordinary urban momentum that it brought, an increasing need to expand the urban discourse has occurred, which had so far focused on the actual, physical, and architectural aspects of the city. The Historic Urban Landscape approach deepens the concept of urban preservation and also encompasses the areas of culture, community, and sustainability. This approach begins with the physical and tangible layers of the city and moves away from them into the realm of the intangible, tracing the special spirit dwelling in urban spaces laden with people, memories, and traditions. In recent years, the need to create platforms to investigate, plan, and manage Tel Aviv has grown stronger, taking into account the interrelations existing between the physical urban space, the people living in it, and their culture. This article reviews the establishment of Tel Aviv as a modern heritage site and the construction of the “White City Center” at Liebling House, constituting a center for modern urban heritage and aiming to provide solutions for research, culture, and education approaches in the HUL’s spirit.

27.2  White City: A Modern City In 2003, the “White City of Tel Aviv – the Modern Movement” was inscribed on the World Heritage List. Thus, the historic city of Tel Aviv – with its textures, complexes, and buildings at the city center, established in the 1930s in the international style – received international recognition as a distinct representative of architecture and modern urban planning. The inscription has led to a conservation surge in the city, to municipal and private investments, to large-scale entrepreneurship, and to a promotion of tourism. Today, the status of Tel Aviv as one of eight modern heritage cities, with international recognition, is strong. The concept of conservation and its importance were assimilated into the city’s urban, administrative, and economic discourse, and the “White City” brand became a mark of architectural quality and design purity. Since the inscription, conservation in Tel Aviv has focused on the architectural aspects of

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buildings identified for preservation, and the successes of this enterprise are evident in the streets of Tel Aviv. Immediately after the inscription of the “White City” as a World Heritage Site, the city council adopted a precedent-setting decision: high-rise buildings would no longer be built in the city center or its immediate vicinity. This history-making decision necessitated the adoption of a new planning policy, one that considers a wide range of values in the modern urban fabric. The municipal conservation plan included more than a thousand international style buildings and provided various types of incentives encouraging the buildings’ owners to carry out conservation processes. Since the inscription, hundreds of buildings have been restored and preserved, and Tel Aviv is slowly renewing its facade while exposing the heritage of the modern architecture that characterizes it. At the same time, the public attitude toward the city also changed; domestic and foreign tourism following the architecture of the White City has begun; owners of buildings, entrepreneurs, and residents started taking pride in their homes built in the international style; and the demand for housing in the city center rose. In the past decade, the center of the city has blossomed, as well as that the “White City” concept has been assimilated: architecture exhibitions and books have been introduced on the subject, luxury boutique hotels have been opened in the heart of the historic urban fabric, ornaments and works of art were branded through the images of the White City, and it seems like the city had undergone some kind of revival. At the same time, many municipal functions have been pushed into the buffer zones, in order to serve the inscribed area in the heart of the city and to maintain Tel Aviv’s function as a vibrant city with a wide variety of needs. The use of buffer zones enabled the city’s active and organic existence and prevented the city from turning into an “open museum.” Such a development would have hindered the daily activities of the inhabitants and caused it to stagnate, as was the case in Toledo, Spain, or Carcassonne, France (Berkowitz and Hoffmann 2008).

27.3  The Dialects of Tangible and Intangible The assimilation of the “White City” concept and the many successes associated with the recognition of Tel Aviv as a modern architecture heritage site led to a recognition of the value of conservation by the city’s authorities, entrepreneurs, and residents. This played a part in the urban, economic, and cultural momentum characterizing Tel Aviv in the last decade. However, alongside the many accomplishments, the limitations of the contemporary conservation discourse, which focused mainly on the physical and formal aspects of architecture in the city and even provided a narrow, and at times, conservative interpretation of the concept of conservation, became evident. Over the years, a need arose, to provide a broader cultural and social infrastructure for the “White City” area in particular and Tel Aviv in general. One of the many examples for this can be found in the understanding of the concept of the “White City,” which had

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been defined as such in the nomination documents due to the large number of international style buildings built in the 1930s and 1940s and is characterized by specific structural elements. However, behind the style and form of the buildings stood the cultural, political, and social values of the architects of the 1930s. The so-called international style architecture is, in fact, only the formal aspect of a comprehensive worldview and a whole set of values. These are architects who: Believed architecture could influence the social order and it was their ambition to create a new world for a secular, free socialist society. (UNESCO 2002. p. 8)

The buildings in the international style now scattered throughout Tel Aviv express a historical, cultural, and political moment that has many meanings. These buildings are more than a design style or type of plaster. However, contemporary conservation does not engage in these aspects, which concern themselves with social justice and the community, but rather focuses meticulously on the physical aspects of the building and the style. Gradually, and simultaneously with the conventional conservation processes, the understanding grew that in order to preserve the “White City,” we must preserve not only the architectural structure but also give room to the values and communities that stand behind it and underline the facades of the houses and the streets. The urban landscape of Tel Aviv is actually a dialectical interaction between physical space and society, between matter and values and between the actual and the intangible. The case of the international style is one of many in the city, and as the conservation activities in Tel Aviv expanded, so did the feeling that a managerial and research approach should be formulated to address the various layers of the city, its development over time, and the people and communities living in it. There is a need to reexamine the concept of conservation and expand on the way we perceive Tel Aviv, as an urban center with a multifaceted historical, cultural, and communal heritage that must be preserved while encouraging its growth and renewal. We must not only relate to the city center as a historical space that expresses the “ideal modern city” of the 1930s but also examine how the idea of a modern city continues to exist within the ever developing, changing, and progressing city. Instead of asking what the modern city was, we must also ask about the city’s future. How are the values and forms of modernism relevant to Tel Aviv today? What is the future of modernity in Tel Aviv? Moreover, branding the heart of the city as the “White City” and the momentum of conservation that followed drove gentrification processes and the increase of the real estate value in the city center, a process that led to the exclusion of young people, artists, and creators, who are forced into peripheral neighborhoods or satellite cities. The heart of the city has indeed been renovated and enjoys an economic boom but at the expense of some of the creative and young forces, who can no longer afford the housing prices. In light of the above, we realized that focusing on architectural preservation is important and necessary but is hardly sufficient. Concepts of conservation should be expanded to include the urban evolution since the establishment of Tel Aviv in 1909 to this day, the city’s transformation, the various communities living in it, and its

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cultural and intangible values, the importance of which often outweighs one building style or another. Precisely due to the success of the White City preservation process, the understanding arose that the time has come to rethink the historical heritage of the urban space and to have it include elements other than the mere physical ones. There was a realization that action should be taken to preserve the spirit of the place and the shared values of the people living in it while recognizing the significance of social, economic, and cultural processes and taking into consideration the interrelations between them. This broadening of the perception in regard to the historical urban space is consistent with the HUL approach, which provides an ideological basis for a new kind of urban sustainability perception. We apply this urban perception at the White City Center in Liebling House.

27.4  The White City Center at Liebling House The White City Center at Liebling House was established as a response to the need to expand and deepen the urban heritage perception of Tel Aviv. The center is a collaboration between the Tel Aviv-Jaffa Municipality and the German Government Federal Ministry of Construction, and it constitutes a center that is engaged with the heritage of modernism in Tel Aviv as an architectural heritage site and with the ways in which this heritage had taken an active part in local culture in the past and how it continues to do so at present. The center at Liebling House is working to deepen and expand the concept of urban conservation and address the approaches that see the urban heritage as a multifaceted theme reflecting both the built-up area of the city and its cultural layers. Liebling House is located at 29 Idelson Street, Tel Aviv, in a building built in the international style, which is currently undergoing a comprehensive renovation to turn the building from a residential building into a public center. During the renovation work, the center operates in an alternative building and maintains a public program (see below). The Liebling Center operates through four interrelated divisions: research, culture, education, and management. Each of the divisions operates from an urban perspective that focuses on the conceptual, formal, and cultural fabric of the modern heritage of Tel Aviv:

27.4.1  Research The White City Center at Liebling House has set up a research lab, which constitutes the research body of the center. It engages in research on conservation, architecture, urbanism, and the historical and cultural heritage of Tel Aviv. The lab works in close cooperation with the Tel Aviv-Jaffa Municipality Conservation Department, and its research covers a broad range of topics, starting from wide-scope surveys of architectural styles, characterization of typologies, analysis of public and green

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spaces in the city, definition of urban zones of historical values, conducting research of historical and cultural nature, and collaborations with artists and writers who trace intangible elements in the city. The lab’s research approach is consistent with the HUL agenda, and the research projects it conducts aim to combine the physical aspects of the urban space with its cultural and communal aspects, creating a deep understanding of the reciprocal relations between environment, culture, and society in the unique modern space of Tel Aviv. The lab cooperates with various conservation entities in Israel and sustains regular work connections with other urban research labs around the world and with UNESCO’s HUL centers. The lab’s agenda and activities relate to step V of the recommendation on the Historic Urban Landscape (capacity, building, research, information and communication). Later, in Section 5 below, two case studies from the lab’s work are presented, illustrating how the HUL approach is applied in the framework of concrete studies.

27.4.2  Culture The White City Center in Liebling House has set the goal of becoming a cultural center: a home for lectures, permanent and changing exhibitions, and various types of public activity that engages with the values of modernism and the urban space of Tel Aviv. During the period of the renovation work at Liebling House, the center will carry out an “open renovation” program – Liebling House is an example of a typical Tel Aviv apartment building that reflects the modern way of life in Israel – from building materials to the way spaces are organized and utilized. During the renovation, the construction processes will be revealed while discussing repair, maintenance, and living in Tel Aviv apartments in the past and today. The building will become an educational construction site which allows practical experience in various crafts such as the restoration of building carpentry, plaster casting, and many others. The building will host expert craftsmen and trainees, local architects, and conservators, in order to expand the dialogue and mutual learning around the physical activity, as well as conduct tours of the construction site, led by a preservation expert that will illuminate fundamental and ethical issues that arise during the process of renovating a historic building. Every month the building will open for a weekend of activities around a monthly theme, in which the preservation process will be presented as part of tours, hands-on workshops, lectures, and exhibitions. At the completion of the renovations and at the opening of the center in 2019, Liebling House will carry out an ongoing program of activities engaging with various aspects of the modern heritage of Tel Aviv and urban life in general: urbanism, environment, architecture, design, art, culture, community, and memory. The public program is interdisciplinary and includes lectures, exhibitions, cultural activities, and reading groups, as well as hosting experts from various fields: architects, preservation experts, city planners, designers, historians, educators, curators, plastic artists, and stage performers. The purpose of the public program is to conduct a lively dialogue with the community and to deepen the interaction between the urban space and cultural heritage in Tel Aviv.

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All these activities relate to steps V and VI of the recommendation on the Historic Urban Landscape (capacity, building, research, information and communication, and international cooperation).

27.4.3  Education The educational program of the White City Center focuses on the community. The program’s goal is to offer a variety of learning options on topics the center engages in: the White City, modernism, urbanism, crafts, and sustainability. The center’s educational division operates workshops, classes, summer schools, tours, and activities at the center itself, as well as collaborations with elementary schools throughout the city, where the center’s educational staff organizes weekly workshops for children on the topic of urbanism and habitation in Tel Aviv. At the completion of the renovation work at Liebling House in 2019, the center will offer visitors, adults, young people, and children various opportunities for learning and creation. Our training programs are based on experiential observation of the city through a variety of means – theoretical, practical, artistic, and playful – which seek to inspire the students’ curiosity, criticism, pleasure, and creativity. In addition to the children-oriented content, Liebling House hosts hands-on workshops in the field of crafts. These workshops aim to preserve the professional knowledge of traditional skills and crafts and to encourage exchange of knowledge, restoring knowledge of lost crafts and expanding the community of people engaged in preservation of building traditions. These activities, concerning education and community, relate to step V of the recommendation on the Historic Urban Landscape (capacity, building, research, information and communication).

27.4.4  Site Management The White City Center in Liebling House operates in close cooperation with the Tel Aviv Municipality Conservation Department, with the aim of improving and deepening the managerial tools of municipal conservation and assisting in the documentation and mapping of actual and intangible urban elements. Once in a quarter, the center hosts a meeting of researchers, including the staff of the lab and staff of the municipality conservation department, in order to create an ongoing and productive dialogue between the center and the municipal institutions. When the renovation of Liebling House is completed and the building will be open to the public, the municipality’s conservation department will keep a weekly reception open to the public in the center. The cooperation with the Tel Aviv municipality relates to step III of the recommendation on the Historic Urban Landscape (policies).

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27.5  Case Studies The activity of the research lab is focused on conducting research on a broad range of topics and includes different approaches to conservation issues. In addition to the research and engagement with the architectural and spatial aspects of Tel Aviv, the lab aims to promote research on the cultural aspects of Tel Aviv’s modern heritage and explore the intangible components of history and society in the city. In this framework, two ongoing researches being conducted by the laboratory are presented as case studies below. These case studies offer cultural analysis and context to the historical urban landscape of Tel Aviv. (a) Une ville Blanche on the shores of the Levant: The presence of Middle Eastern, French-speaking architects and French Mediterranean architectural modernism, in Tel Aviv of the 1930s and 1940s. Dr. Arch. Tzafrir Fainholtz. The study examines the architectural biography of Middle Eastern, French-speaking architects, who were active in Tel Aviv in the 1930s and 1940s. As a study of the genealogy of architectural knowledge, it follows the professional path of these architects and examines how their architectural training and the cultural background influenced their work and their status as professionals in Tel Aviv. The study examines the influence of modern Mediterranean architecture on the work of these architects, presents their work in Tel Aviv side by side with contemporary architecture in the Maghreb and the Levant, and shows how their work represents a unique architectural “modernism” in the city and an expression of deep-rooted societies in the Mediterranean area. In general, modern-style construction in Tel Aviv is mostly attributed to the waves of immigration that came from Germany to the Land of Israel in the wake of the Nazi Party coming to power and World War II and especially to the legacy of the Bauhaus school. Fainholz’s study, which is conducted under the supervision of Jean-Louis Cohen, sheds light on the Middle Eastern and Mediterranean context of the Tel Aviv architecture of the 1930s. This is a subject that has not yet been studied, and it enriches and deepens our understanding of the Jewish immigrant society in Israel and the cultural heritage it left behind in the city. The research relates to step V of the recommendation on the Historic Urban Landscape (capacity, building, research, information and communication) and views the architectural heritage of the city as a complex, multilayered social and economic entity. (b) POMO TLV: Post Modern architecture in Tel Aviv Dr. Arch. Jeremie Hoffman & Arch. Orit Rosenthal Postmodern is a general term usually referring to an intellectual movement which gained popularity during the 1970s and as a result had many manifestations in political, social, and cultural processes (Lyotard 1993). The postmodern movement also had a distinct expression in Tel Aviv. The POMO TLV study examines the postmodern aspect of the city, the spirit of the period, the economic and social changes

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experienced by the city during these years, and its physical and architectural expressions. The study engages with the transformation and development of the city over a period of about two decades and defines the social and cultural effects of postmodernism in Tel Aviv. It analyzes the processes that preceded and led to new postmodern approaches regarding the city, examining the influences of the conservation system on the transformation of the city’s facade, as well as observing and examining the city today in its post-post-modern state. The uniqueness of the study lies in its dialectical method, ranging from analysis of socioeconomic processes (starting at the level of the individual and up to the level of the general society, its values, and the mechanisms that operate it) to the analysis of architectural products and urban effects that took place in Tel Aviv during those years. The roots of the postmodern era in Israel and Tel Aviv can be found in the 1970s. This decade saw the destruction of the utopic social and political attitudes toward the state, attitudes that accompanied Israel from its establishment in 1948, as well as the decline of the “Sabra” ethos and the disintegration of social and collective solidarity in favor of the development of a new ethos, based on capitalism and individualism. During these years, Israeli society underwent a process of social disintegration into ethnical, ideological, and cultural congregations and groups. The social and economic ideal of solidarity and collectivity shifted into a new ethos, focusing on individualism – the joint efforts put into building the state evolved and became a private effort aimed at personal gain. Concurrently, Tel Aviv underwent a radical change in these years, mainly a massive abandonment and neglect of the city center. In terms of its image, Tel Aviv was transformed and was perceived as a neglected, dangerous, and ugly city. Tel Aviv was abandoned by both its managers and its residents (Hoffman 2014). However, beginning in the late 1980s, the municipal policy changed, and a massive urban renewal process began, including the restoration of the city center, the definition of the historic city and its values, a new construction boom, and a branding process that created a far-reaching change in the image of the city. Though this was a slow process, it ultimately led to positive immigration and reinforcement of the city as the cultural and business center of the country. As a result, new urban phenomenon began to appear throughout the city – phenomenon which represents the ideas and values of the postmodern era and reinforces a glamorous and prestigious image of Tel Aviv. These are expressed in the creation of urban heterotopies such as enclosed residential complexes, luxury towers, and penthouses on the roofs of buildings designated for conservation (as construction extensions). The POMO TLV study examines the interaction between architectural and spatial effects and the deep economic, social, and cultural processes that Tel Aviv underwent during this period. POMO TLV relates to step V of the recommendation on the Historic Urban Landscape (capacity, building, research, information and communication).

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27.6  Summary and Conclusion The HUL approach poses new and complex challenges to the management of historic cities, an approach which combines matter with spirit, actual with intangible. Thucydides, in the fifth century BCE, wrote that “men, not the walls nor the empty galleys, are the city” (Thucydides, History of the Peloponnesian War, 7.77). Today, like Thucydides, we too begin to acknowledge that it is not the walls, streets, and buildings that make the city or ensure its long-term sustainability but the people and communities living in it and their frequent adaptation to the changes of the city as a complex system. As stated in the recommendation on the Historic Urban Landscape, urban heritage, including its tangible and intangible components, constitutes a key resource in enhancing the livability of urban areas and fosters economic development and social cohesion in a changing global environment. The White City Center at Liebling House provides an exceptional opportunity to examine and implement new urban conservation approaches and social sustainability principles. The center allows for a deeper understanding of the historical “White City” while at the same time expands on conservation concepts to include urban evolution, communities, and the cultural and intangible values of the city. The center in Liebling House acts for the heritage of the “modern city,” as it was conceived and built in the 1930s while preserving the spirit of the place, the common values of the people living in it, and the diverse cultural assets it produces.

References Berkowitz, C., & Hoffmann, J. (2008). The White City of Tel Aviv. In O. Martin & G. Piatti (Eds.), World heritage and buffer zones, World Heritage Papers, no. 25. Davos: UNESCO p. 124. Hoffmann, J.  (2014). History of the White City of Tel-Aviv  – Evolution of a Modern site and its architecture, Phd dissertation, Sorbonne-Paris1 INHA, Chapter 3: Une ville surelevee, pp. 332–427. Lyotard, J.  F. (1993). Le Postmoderne Expliqué aux Enfants Correspondance, 1982–1985. UNESCO, 2002. Statement of significance, in: ‘White city of Tel Aviv- the Modern Movement’, nomination file, January 2002. p. 8. UNESCO. (2013). Historic urban landscape approach explained. http://whc.unesco.org/en/ news/1026/. Accessed 25 Jan 2018. World Heritage Committee. (2003). Decision 27 COM 8C.23, Paris, July.

Chapter 28

The Circular Economy as a Model to Implement the Historic Urban Landscape Approach: Which Integrated Evaluation Method? Mariarosaria Angrisano and Luigi Fusco Girard

Abstract  The UNESCO Recommendations on Historic Urban Landscape (2011) recognises the fundamental role of cultural heritage and landscape for sustainable local development. The operative tool available for the assessment of the impacts of requalification projects on historic urban landscape is the heritage impact assessment (HIA). In this research, HIA has been applied to evaluate the impacts of a requalification project for Torre Annunziata waterfront. The aim is to demonstrate that this method is a fundamental tool to understand the impacts on the integrity and authenticity of heritage resources, but not enough to define the tangible and intangible values of the cultural heritage, that assume different features in the different international urban areas. This tool lacks an economic and social perspective and a certain evaluation of the impacts for different planning strategies. In this paper, a new tool has been proposed to assess the economic and social impacts of cultural heritage conservation/transformation/regeneration, allowing interdisciplinary research and collaboration among stakeholders, capable of defining some guidelines to improve requalification projects in a win-win perspective. The results of this new method have been used to define a new project for Torre Annunziata waterfront based on the principles of the “circular economy”. Subsequently some key indicators have been identified to measure the economic, social and environmental performance of the project. The circular economy is capable of restoring the city’s identity and increasing the tangible and intangible value, according to the UNESCO recommendations. M. Angrisano (*) Pegaso University, Naples, Italy e-mail: [email protected] L. F. Girard Luigi Fusco Girard, University of Federico II Naples, Naples, Italy e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_28

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M. Angrisano and L. F. Girard

Keywords  Circular economy · Participative method · Waterfront regeneration · Historic urban landscape · Cultural heritage · Maritime identity · Sustainable planning · Heritage impact assessment

28.1  Introduction The definition of historic urban landscape (HUL) proposed by the UNESCO Recommendation in 2011 represents the most recent contribution to the international debate on the identification, conservation, enhancement and management of cultural heritage. The HUL recommendations aim to guide, to improve and to ensure the preservation of the cultural heritage. It is a tool that stimulates local authorities to emphasise the HUL approach in local planning, especially for the requalification of historical centres (UNESCO, 2011). In this paper, the impacts of a requalification project for the Torre Annunziata waterfront have been analysed using the heritage impact assessment (HIA).1 Torre Annunziata is a coastal city, in part a UNESCO site, in the Gulf of Naples that suffers from abandoned areas along the waterfront that have become no-go areas. Before using HIA, some examples of good practice were analysed, such as Liverpool, Hedon Haven, Stockholm and Warsaw, where the tool was applied. Liverpool has been chosen as an example to follow. The impact of the Liverpool Waters project on a UNESCO site was evaluated (De Figueiredo 2011; Lisitzin, 2012; Calder et al. 2014; Furrer 2013). The HIA was applied progressively in our case study, and the results were analysed. The weaknesses and the strengths of the evaluation method were examined. The first weak point of the HIA is the identification of the real value of the cultural heritage. There is a wide margin of interpretation in Appendix 3A (Example Guide for Assessing Value of Heritage Assets) (ICOMOS, 2011). The fundamental basis of this process is the interpretation of these values, the significance of the attributes (tangibles and intangibles) and their relationships with the context. In particular, it is clear that the ICOMOS Guide focuses on the efficiency of the procedure rather than on the expected results in terms of protection of the heritage attributes (Pereira Roders et al., 2013). The need for a comprehensive approach to 1  The Historic Urban Landscape recommendations and the operating tools promoted by the ICOMOS “Guidance on Heritage Impact Assessments for Cultural World Heritage Properties” of 2011 configure the most recent dispositions regarding the preservation, protection and enhancement of the cultural heritage (Fusco Girard, 2010). The ICOMOS Guide was considered the most suitable tool for evaluating the impacts of the big requalification project of the urban waterfront on cultural heritage.

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the historic urban landscape that is more objective still needs to be addressed. This would consider the relationship between attributes and values in different contexts. For this reason, a participatory method (Facebook for Urban Facelift) has been identified to improve the HIA approach. It is based on a research project proposed by Annet Smit for the requalification of some neighbourhoods in the Netherlands (Smit 2011). This method was important in identifying the real values (tangible and intangible) of the heritage and in defining the priority actions for the requalification project, according to the wishes of the different stakeholders involved. When the results were achieved, the HIA was applied again to define the real values of cultural heritage. The new application is being elaborated, following strictly the UNESCO recommendations of the HUL, to satisfy these aims: 1 . To adapt the HIA to different contexts 2. To promote social participation 3. To understand what are the “attributes” and the “heritage values” relating to the context in which they are integrated (World Heritage Properties). The results of this second step have been analysed to define the priority actions for the new functions to build along the waterfront according to the principles of the circular economy. The inhabitants of a city demand a liveable city, a city that invests in the green economy, in the use of photovoltaic panels and in the reuse and recycling of resources. The aim of this new project is to enhance the social and economic regeneration of the port area, through the reorganisation of new business activities, and to enhance the symbiosis between the city and harbour. The strategy is to improve the symbiosis between the different districts endowed with different economic, social, cultural and landscape characteristics. Circular economy systems are gaining increasing attention in Europe and around the world because they represent a potential way to increase prosperity and to reduce the use of primary materials and energy (Rizos et al., 2015). Circular economies, social cohesion and the civil and collaborative/sharing economy are considered to be an integral part of the evaluation framework, as they are able to produce positive impacts both in the economic and the conservation perspective. Cultural heritage conservation is a priority, but economic resources to invest in restoration projects are limited. Therefore, demonstrations of the economic benefits of conservation become extremely important (European Commission, 2014). A circular economy is able to increase “real estate value” because it reduces the requalification costs through sustainable choices such as the reuse of materials, components and elements, as proposed in the third step (see paragraph 3).

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28.2  T  he Heritage Impact Assessment to Evaluate the Torre Annunziata Waterfront Requalification Project 28.2.1  The Case Study The heritage impact assessment was applied to evaluate the impacts of the Torre Annunziata waterfront project. The city of Torre Annunziata is classified as a medium-large urban centre (20,000 to 50,000 inhabitants) and covers an area of about 7.33 square km and 6 square km of waterfront. The Port of Torre Annunziata is one of the most important seaports in the Campania region, famous for the storage of grain. The abandoned areas along the waterfront suffered from a situation of lawlessness, which allowed the port to be used for illicit trafficking. The waterfront is now perceived as a space without identity, consisting of unpaved areas, warehouses, disused factories, disorderly productive activities and residential units (cf. Fig. 28.1). Torre Annunziata represents the most depressed coastal municipality in metropolitan Naples (Gravagnuolo and Angrisano, 2013). This degraded situation is confirmed by the real estate value of the buildings near the port area: about €1300/m2 for the historic centre, €1700/m2 for the north area of the port and €1100/m2 for the buildings located in the industrial area (cf. Table 28.1) (borsinoimmobiliare.it). Despite this, the charming landscape represents a strong factor of great attractiveness.

Fig. 28.1  The figure shows the project sketch for the requalification of Torre Annunziata waterfront. It was defined in the guidelines of “Pompeii Great Project” (Source: Russo 2011)

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Table 28.1  Residence real estate value along historic centre, port and industrial area of the waterfront Real estate values historic centre 1300 €/m2

Real estate values port area 1700 €/m2

Real estate values waterfront 1100 €/m2

Source: borsinoimmobiliare.it

Torre Annunziata has been a UNESCO World Heritage site since 1997. It is located 3.5  km from the Pompeii archaeological area and 6  km from Vesuvius National Park. It is very near to Sorrento, the Amalfi Coast and Capri. In 2011, a project was proposed for the requalification of the Torre Annunziata waterfront within the Pompeii Great Project that provides substantial private investment for the requalification of the UNESCO buffer zone. This is a sustainable development project, with the aim of transforming the waterfront into a cultural district (Russo 2011). The guidelines of the project aim: 1 . To connect the archaeological areas to the waterfront. 2. To promote the reuse of abandoned areas in the buffer zone. 3. To valorise the landscape and the cultural heritage. A reception area will be built on a surface of about 1000/1500  m2 that will include a leisure area and some hotels with more than 1500 rooms. An area of 45,000 m2 will be designated for theatres, didactic laboratories, experimental museums, reception areas and green spaces (cf. Fig. 28.1). These new functions and the impacts of this project on the cultural heritage and landscape have been defined and evaluated, through the HIA. The Liverpool example of good practice has been considered as the most significant model where HIA was applied. The Liverpool Waters project involves the requalification of the docks along the River Mersey, in an area declared a World Heritage site in 2004. For this reason, English Heritage and the Peel Group considered it necessary to perform an environmental impact assessment (EIA) and a heritage impact assessment (HIA) to evaluate the impact of the project on the UNESCO site. After this analysis, the different steps used to apply the HIA were defined. The first step is to produce a reconnaissance of the Torre Annunziata UNESCO heritage. The second step is to define the project actions and to evaluate the impact using this methodology: 1. Evaluate the direct and indirect impact on the cultural heritage along the waterfront (12 buildings, some of them of industrial archaeology interest) 2. Develop a summary matrix of direct and indirect impact on the cultural heritage 3. Evaluate the visual impact on the key views 4. Develop a summary matrix of the impact on the key views (15 key views) 5. Analyse the results 6. Define the mitigation actions and the future recommendations.

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The heritage (12 buildings) along the waterfront (endowed with OUV) has been identified. In this area, there are many historic buildings such as the Villa Filangieri (built in 1872), the spa where the temperature of the waters varies thanks to the proximity of Vesuvius. There are canals that connect the thermal area with the villa of Oplontis that suggest a hypothetical connection with the old Roman city. The Real Fabbrica d’Armi was one of the most important factories in the South of Italy. It was built in 1758 by Carlo of Bourbon. The Bourbon Bridge, 12 km long, was part of the first railway line in the Campania region. Then the direct and indirect impacts and some key views were evaluated, following two key indicators (cf. Table 28.2 and Table 28.3): 1. Building and fabric 2. Setting and context The impact is graded with a 1–9 rating scale with 1 corresponding to “major adverse” and 9 to “major beneficial” (9, major beneficial; 8, moderate beneficial; 7, minor beneficial; 6, negligible beneficial; 5, neutral; 4, negligible adverse; 3, minor adverse; 2, moderate adverse; 1, major adverse) (ICOMOS, 2011). Then the impacts on the key views were identified (cf. Table 28.3). To identify the cultural value, the HIA suggests a rating scale of 1–5 with 1 corresponding to “very high” and 5 to “negligible”. Also for the identification of the impact, there is a rating scale 1–5, with 1 corresponding to “neutral” and 5 to “very large” (ICOMOS, 2011). Then the results and the mitigation actions were analysed (cf. Table 28.4). It will be necessary to be careful when the volume and the height of new buildings are decided. They could have potentially negative effects on the perception of the historical centre and the national park. It is important to preserve the particular skyline of the city with the sea and Vesuvius. Another weak point is that the HIA cannot evaluate different scenarios and define different mitigation actions promptly (Appendino et al., 2016). The same application of the HIA conducted by English Heritage and the Peel Group had different results, probably due to the absence of criteria that enable an objective assessment of the tangible and intangible values that characterise the examined area (Angrisano, 2015). The tool left a wide margin for the subjective interpretation of results and the definition of the cultural heritage values provided by the OUV. For this reason, our attention was focused on the identification of the strengths and weaknesses of the HIA to propose some integrations. The HUL recommendations of 2011 (UNESCO 2011) point out that this instrument must be adapted to the different international contexts that have different characteristics in culture, tradition and urban stratification. The archaeology, culture and landscapes of different countries are placed in completely different contexts, and, for this reason, the tool provided by ICOMOS cannot be applied in the same way to different international contexts.

Cultural heritage

Source: www.bicentenario.pro vincia.napoli.it

1 Italtubi Torre Annunziata

The history of the metalworking industry of Torre Annunziata begins with the arms factory founded by the Bourbon in the eighteenth century. The first industrial installation of this type, dating back to the 1980s of the nineteenth century, when some entrepreneurs and financiers in France (A. Natanson, R. Duche, M. Gaugnat, F. D’ Hautpoul) founded a modern iron and steel plant devoted exclusively to the processing of scrap metal, called before Natanson-Duche and C. and then Ferriere of the Vesuvius

Description of the heritage

Other buildings or urban landscape of recognised international importance

Very high

Value of cultural heritage Built heritage or historic urban landscape

Table 28.2  Heritage impact assessment about direct and indirect impacts on Torre Annunziata

 Experience area  Botanical garden  Equipped waterfront  Light train  Underground parking  Navigable canal

Redevelopment project

Impacts on the environment Built heritage or historic urban landscape

Significance of effect or overall impact

Change to key historic building elements that contribute to OUV, such that the resource is totally altered

Comprehensive changes to the setting

(continued)

Very large beneficial (9)

Major beneficial (9) Major beneficial (9) Major beneficial (9)

Impacts on buildings Built heritage or historic urban landscape (Major beneficial)

Source: Angrisano Mariarosaria

Source: Google earth

3 Dalmine Torre Annunziata

Source: http://www.lostrillone.tv/

2 Deriver Torre Annunziata

Cultural heritage

Table 28.2 (continued)

The area Dalmine can be considered as a former industrial engineering of Torre Annunziata, located in via Terragneta. A small factory, next to the coastline, which has undergone many changes in function over time

Deriver Torre Annunziata The deriver, former big engineering industry, was connected directly to the station of Central Torre Annunziata. Within the industry the tracks were also used to interchange between trains and ships thanks to a pier equipped with tracks that wind into the sea. To transport, the cars were used as small electric locomotives. The terminal part of the pier was in iron, while the initial part was made of reinforced concrete

Description of the heritage

Historic (unlisted) Buildings of modest Quality in their fabric or Historical associations

Low

Other buildings or urban landscape of recognised international importance

Very high

Value of cultural heritage Built heritage or historic urban landscape

 Experience area  Botanical garden  Equipped waterfront  Light train  Underground parking  Navigable canal

 Experience area  Botanical garden  Equipped waterfront  Light train  Underground parking  Navigable canal

Redevelopment project

Impacts on the environment Built heritage or historic urban landscape

Significance of effect or overall impact

Comprehensive changes to the setting

Change to key historic building elements that contribute to OUV, such that the resource is totally altered

No change on setting

Major beneficial (9) Neutral (5)

Change to key historic building elements that contribute to OUV, such that the resource is totally altered

Neutral beneficial

Minor beneficial (7)

Very large beneficial (9)

Major beneficial (9) Major beneficial (9) Major beneficial (9)

Impacts on buildings Built heritage or historic urban landscape (Major beneficial)

Source: Http://.Comuni-italiani. It

2 Harbour view from downtown

Source: Angrisano Mariarosaria

Key views in the waterfront 1 Torre Annunziata view of the port

Port of Torre Annunziata

Historic buildings in these key views Sanctuary of Spirit Torre Annunziata Bridge Bourbon Historical pasta manufacturing Basilica SS. Mary snow Port of Torre Annunziata

Sites or structures of acknowledged international importance inscribed as of universal importance as WH property

Very high

Historic landscapes of international value, whether designated or not

Value of cultural historic landscape Very high

Table 28.3  Table heritage impact assessment key views on Torre Annunziata

Waterfront equipped port redevelopment

Redevelopment project Waterfront equipped port redevelopment

Very minor changes to key historic landscape elements, parcels or components; virtually unchanged visual effects; very slight changes in noise levels or sound quality; very slight changes to use or access; resulting in a very small change to historic landscape character

Negligible beneficial

Very minor changes to key historic landscape elements, parcels or components; virtually unchanged visual effects; very slight changes in Noise levels or sound quality; very slight changes to use or access; resulting in a very small change to historic landscape character

Impacts on the landscape historic landscape Negligible beneficial

(continued)

Slight beneficial

Importance of impact or impact comprehensive Slight beneficial

Source: Angrisano Mariarosaria

Historic buildings Key views in the waterfront in these key views 3 Vesuvius view from the sea Sanctuary of Spirit Torre Annunziata Bridge Bourbon Historical pasta manufacturing; Basilica SS. Mary snow Port of Torre Source: Angrisano Mariarosaria Annunziata

Table 28.3 (continued)

Landscapes of acknowledged international importance inscribed as WH property

Value of cultural historic landscape Very high

Redevelopment project Waterfront equipped port redevelopment No change to elements, parcels or components; no visual or audible changes; no changes in amenity or community factors

Impacts on the landscape historic landscape No change

Importance of impact or impact comprehensive Neutral

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Table 28.4  Impacts of the projects and mitigation actions Impacts Mitigating actions Evaluation direct and indirect impacts on cultural heritage along the waterfront 1 They were found negative impacts arising These effects can be mitigated by providing appropriate “urban standards” to regulate the from the construction of too high height of new buildings buildings along the waterfront, which could obscure the perception of the old town behind it, hiding the iconic buildings These impacts can be mitigated through the 2 They were found negative impacts, provision, already in the planning stage, of new resulting from the few links between the strategic links between the sea and the old town old town, the area of the waterfront and harbour This area very close to the waterfront can be 3 The redevelopment of Dalmine area of Torre Annunziata has a neutral impact that valorised through the definition of new functions can be achieved through a dedicated project, increasing the existing few activities The redevelopment of the baths is capable of 4 They were found neutral impacts for the improving the city’s tourism through a redevelopment of the Oplontis thermal “dedicated project” baths. The project does not involve the redevelopment of these areas These negative effects can be mitigated through a 5 The redevelopment of the pasta factory near the waterfront of Torre Annunziata is project to restore the historic building, reconverting its functions not included in the present project Visual impact assessment key views – Waterfront 1 View of the Vesuvius from the harbour These effects can be regulated with the height of and waterfront new buildings 2 View from the waterfront of the shipyards These effects can be mitigated through appropriate redevelopment of shipbuilding activities in order to improve their visual perception 3 View of the church of SS. Mary of the These effects can be mitigated, with appropriate snow “urban standards” to regulate the height of new buildings. In particular, we should be very careful to not deny the view from the scenic waterfront of the church and behind Vesuvius 4 View of the Villa Filangieri These impacts can be mitigated through the enhancement of the eighteenth-century villa from the seaside also providing guided tours along the sea to reach a small bay that is very impressive 5 View of the old town from the port These effects can be mitigated by providing appropriate height of new buildings 6 View of Oplontis Spa from the waterfront These negative impacts can be mitigated through the upgrading of spas located along the waterfront. The visual perception of a very important historical building can help to improve the waterfront Source: Angrisano Mariarosaria

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Therefore, the ICOMOS Guide was applied again with the aim of dealing with some weak points, first of all, evaluating the social participation role in the process of the heritage impact assessment. In particular, the participatory approach allows us to achieve good knowledge of places through a perception of the immaterial values of a different urban area, to understand the real problems of a site, to identify the priority actions of a requalification project and to understand the real values of the cultural heritage.

28.2.2  H  eritage Impact Assessment and the Participative Method In relation to the weak points that have been found, our research seeks to understand how to adapt the ICOMOS Guide to different international contexts and to identify the tools capable of supporting social participation. A cultural good, endowed with outstanding universal value, is made of values and attributes that have been stratified and consolidated over time. The most important contribution of the participatory method is the enhancement of social and civil capital that it identifies as an intangible form of energy, able to reflect collective community spirit, which promotes social cohesion and relational values that can increase the resilience of cities (Fusco Girard 2003). Therefore, in order to implement HIA, a participative method, called “Facebook for Urban Facelift,” has been proposed. It is capable of supporting the ICOMOS tool and guiding the design choices for the regeneration of the waterfront area. This methodology began with Smit’s research paper: “The Influence of District Visual Quality on Location Decisions of Creative Entrepreneurs” (2011). This research gave direction to western world cities that had many abandoned or neglected districts.2 The method provides full answers to the historic urban landscape recommendations, 2011. It is a tool capable of promoting knowledge of a place and encouraging social participation. This tool is able to formulate strategies that encourage the economic growth of cities, giving a key role to the participation of decision makers (entrepreneurs, politicians, people, architects, agencies, associations, etc.). The participative process is based on two important phases. The first one is the cognitive analysis of the city, and the second one is the identification of priority actions for the future development of the urban areas. Both phases expect the participation of the stakeholders. 2  In this project, a lot of interviews were conducted with entrepreneurs in three abandoned industrial districts: the Eastern Dockland in Amsterdam, the Lloyd Quarter in Rotterdam and the Hortus Quarter in Groningen. This research demonstrates a significant relationship between “district visual quality” and the “investment of entrepreneurs”. The visual quality of the district contributes to increased productivity and the sustainable planning (Smit A., 2011).

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Therefore, the method started with an analytical study to understand all the waterfront characteristics. The most important historic buildings and the economic activities were identified. Then, the safety conditions of the district were analysed along with relations to the UNESCO sites of Pompeii and Oplontis. When this information was acquired, a SWOT analysis was done to understand the weaknesses, the strengths, the opportunities and the threats. This process is fundamental in defining, in a better way, new strategies for the future of cities. Some stakeholders were involved (entrepreneurs, residents, shopkeepers, different professionals, associations and municipal employees) to understand better the city problems and to define future regeneration strategies. For these reasons, a questionnaire was designed to be administered to the stakeholders in two parts. In the first part, five aspects of the services present along the waterfront were incorporated: architecture and urban design, cultural and relational, energy and environment, economic activities and transport and services. For each aspect, the respondents are asked what is their visual perception and what is the intrinsic value that they attribute to the different functions. For example, in architecture and urban design, they were asked what is the perception of the buildings along the waterfront and how they recognise their historical value. The answers were rated on a 5-point scale, where 1 is very bad and 5 is excellent. This is a very important phase because the needs and the problems are identified. Subsequently, according to their needs, they were asked what are the priority aspects in which it is necessary to intervene for the waterfront regeneration, defining different actions for each aspect, thus making it possible to express their preferences in a sequential way (cf. Table 28.5). In the second part of the questionnaire, four future perspectives (the urban face) for the city development project by 2050 were proposed. These images are the “entrepreneurial city”, the “connective city”, the “pioneer city” and the “liveable city”. Then, each stakeholder chose his/her favourite city image. Ultimately, for each image, the respondents chose three types of intervention: new urbanisation (radical reorganisation of the waterfront), targeted intervention (reuse of cultural heritage and enhancement of existing functions) and revitalisation (valorisation of existing functions). An analysis of the results of the questionnaires shows that the perception of the waterfront architecture is strongly influenced by the current situation of degradation. The port area is considered to be abandoned but, at the same time, to have significant intrinsic value. The greater infrastructure (the port) is evaluated negatively, due to the lack of sufficient services. The presence of an existing structure was perceived positively, but the quality and usefulness of the services offered were considered insufficient. The data relating to energy and the environment show the pollution problems of the city. The average marks emphasised the perception of environmental quality as very low. The “winning future image” is the “liveable city”, meant as a safe city, rich in green areas, where the landscape and the investment in the green economy will be

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Table 28.5  Identification of priority interventions PriorityOrganise the aspects according to the Priority – componentsMark with an priorities of intervention X the component that you believe is Analysed a priority for each aspect analysed from 1 to 5 aspects Architecture and Public/identity space urban design Visualised space Perceived space Green areas Waterfront Cultural and Cultural activities and events relational Sports equipment Cultural equipment Perception of safety Social cohesion Recycling and reuse Energy and environment Renewable energies Pollution Energy efficiency Economic Productive activities activities Environment activities Business activities Tourism/hospitality Spa activities Activity/viability waterfront Transport and Health and education services services Administrative services Education/university Transport The big infrastructure

Advice, designs, ideas

Source: Angrisano Mariarosaria

able to attract workers and residents. People who live in this city can walk and use bikes or public transport, without any problems. It is a city that promotes the use of renewable energies. From these results, a need arises to identify the intervention priorities for the requalification project of Torre Annunziata waterfront, through the criteria of a liveable city. These results encourage the development of a participatory methodology as a tool capable of supporting urban planning, of identifying public policies for sustainable and shared urban development (Fusco Girard and Nijkamp 2003). The results of the participatory approach were used to reapply the HIA to the case study, in particular, to identify the real value of the cultural heritage with the support of the stakeholders. They know the real city problems and the tangible and intangible values of the waterfront.

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The participatory method can be used to adapt the ICOMOS Guide to different international contexts, characterised by different values in culture, traditions and urban stratification. Subsequently, new tables have been developed to define the different criteria to identify the real value of the heritage (very high, high, medium, etc.) and the nature of the impact. The results obtained are useful in understanding what are the real characteristics of the heritage (its value and attributes), combining historic research and the sensitivity of the residents. Therefore, the direct and indirect impacts have been evaluated through the formula that we proposed in the questionnaire. The 12 buildings were considered for specific aspects: 1 . Architecture and urban design 2. Cultural and relational 3. Energy and environment 4. Economic activities 5. Transport and services (cf. Table 28.6). The results of this second application were analysed, and the most important results indicate a satisfying identification of the heritage real value, thanks to the perception of the inhabitants. The second HIA application established a shared vision for waterfront requalification by 2050, through the implementation of shared decisional process. This is a missing element in the Liverpool case study and in the first application in Torre Annunziata. The most important difference between the two applications is the participative method defining the real value of the heritage (observing the perception of the residents) and the possibility of applying the ICOMOS Guide in a more responsible way. The participatory method that supports the HIA is able to identify priority actions, to promote the well-being of the residents and the common good. The new functions were defined according to the objectives of the liveable city (deduced from the questionnaire results) (cf. Table 28.7). After the analysis of these two applications, it is clear that the combination of the cultural economy and the green economy is the answer to the problems of Torre Annunziata.

Architecture and urban design Public and identity spaces, visualised space, space lived perceived, green areas, waterfront Site heritage of acknowledged international importance inscribed as of universal importance as WH properties

Table 28.6 (continued)

Architecture and urban design Public and identity spaces, visualised space, space lived perceived, green areas, waterfront Site heritage of acknowledged international importance inscribed as of universal importance as WH properties Impacts on Value of cultural buildings built heritage built heritage or heritage or historic urban historic urban Redevelopment Description of the landscape landscape project Cultural heritage heritage Major High  Equipped 1. Teatro Moderno This building is an beneficial9) waterfront example of Italian theatre.  Requalification of It represents another port “iconic building” for the areaRestoration of city. Today it is historic buildings abandoned. It was built in facades the twentieth century and Source: Angrisano Mariarosaria symbolises the culture and art of the belle Époque period Second application Medium Moderate change (7)

Table 28.6  Architecture and urban design

Minor change (6)

Impacts on the environmental Built heritage or historic urban landscape Moderate beneficial (8)

Slight beneficial (6,5)

Significance of effect or overall impact Moderate beneficial (5) Large beneficial

Source: Angrisano Mariarosaria

Second application

Source: Angrisano Mariarosaria

Medium

Very high

3. Villa Filangieri

This villa is located on “Punta Oncino” and was realised in 1872 by an aristocrat Naples family. Nowadays there are different architectural styles, probably for different interventions occurred in different period

Very high

Second application

Source: Angrisano Mariarosaria

Cultural heritage 2. Borbonic bridge

Description of the heritage This is an historic bridge that originate in Naples and finish in Castellammare; it was 12 km long; it represents the first railway line of the Campania region, nowadays still in use

Value of cultural heritage built heritage or historic urban landscape Very high

 Equipped waterfront  Requalification of port area

Redevelopment project  Equipped waterfront  Requalification of port area

Moderate change (7)

Major beneficial (9) Major beneficial (9)

Impacts on buildings built heritage or historic urban landscape Major beneficial

Slight (6)

Neutral (5)

Major beneficial (9)

Impacts on the environmental Built heritage or historic urban landscape Major beneficial (9)

Moderate beneficial (6,5)

Very large beneficial (9) Minor change (7) Large beneficial

Significance of effect or overall impact Major beneficial (9) Very large beneficial

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Table 28.7  Architecture and urban design The needs of citizens New jobs

Maintain the identity of the city and don’t modify its skyline with a new project More cultural functions Assign new functions to the port

New libraries, new theatre, new restaurants, new educative functions, new commercial functions Promote recycling of waste, the use of photovoltaic panels Valorisation of cultural and landscape heritage Enhance the safety of the city New public space Enhance the real estate value and realised new houses New the touristic functions

The new functions 1. Improve the existing factory, especially in the maritime cluster 2. Enhance the handcraft productions 3. Enhance the existing industry of the port New function along the waterfront controlling the height of new buildings Increase the service sector Realise a terminal cruise in the port to allow cruise passengers to visit Pompeii, Oplontis and the Vesuvius National Park Develop new cultural, economic functions along the waterfront Enhance the circular economy principles Promote the reuse of existing buildings and enhance the scenic areas of the city Enhance the security of the city Redevelop in a sustainable way the existing public space and realise new parks and new squares Enhance the real estate value thought the circular economy principles 1. Improve the Pompeii and Oplontis UNESCO site 2. Connect the Oplontis UNESCO site with the waterfront and Pompeii excavation

Source: Angrisano Mariarosaria

28.3  T  he Circular Economy as a Tool to Implement the HUL Approach 28.3.1  A  Circular Project for the Requalification of Torre Annunziata Waterfront The results of the heritage impact assessment second step can be considered sufficient if the aim is to improve the evaluation method but not sufficient if we want to promote a new conservation and valorisation programme of a historic urban landscape based on the principles of the circular economy. To develop the liveable city is necessary to use a highly innovative approach based on the circular economy. A review of literature shows that the circular economy model can be deduced from a number of basic concepts: the green economy, natural capitalism, the fundamental economy, the creating of shared value principles, the resource and energy efficiency gap and the ecological transition (Ezzat 2016).

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The circularisation processes and synergies, which promote resilience and creativity and then sustainability (Fusco Girard 2010), should be transferred from a sectorial approach (waste management, etc.) to the whole organisation of the city, its economy, its social system and its governance in order to improve urban productivity (Fusco Girard 2014). In the New Urban Agenda, the circular economy model is considered a fundamental strategy to manage resources like land, water, energy, materials and food. It is able to resolve the problems related to the emission of greenhouse gases and air pollutants. It is very important to evaluate the environmental impact and the sustainability of a new project and to strive to transition to a circular economy while facilitating ecosystem conservation, regeneration, restoration and resilience in the face of new and emerging challenges (Habitat III 2017). Many examples of best practice, where circular economy strategies were applied, have been analysed, for example, the city of Paris3 (Hidalgo and Guhl 2015); Amsterdam,4 Vienna (Fellner et al. 2017); Rotterdam (Martin van der Does et al. 2015); Helsinki (Sitra 2015); Barcelona (Ellen MacArthur Foundation 2016); Brussels (Markus Zils 2015); Peterborough (Peterborough City Council 2016); and Bologna.5 The requalification project of the Torre Annunziata waterfront has been thus rethought in relation to the results of the two applications of HIA according to the principles of the circular economy. Therefore, new functions for the waterfront have been defined to enhance the social and economic regeneration of the port area and to increase the symbiotic processes between the city and the harbour. The project foresees an overall increase in the functional surfaces relative to all port activities guaranteeing each of them maximum efficiency through reorganisation of space and relocation of functions; improvement of accessibility and permeability port-city by replacing the small sidewalks with pedestrian-cycle paths and the ones of shipbuilding activities in the east of the port returned to the city; redesign of waterfront provision of urban services; reclamation of affected areas; and project strategies aimed at reducing energy consumption and waste. According to the aims of the liveable city, the project has been divided into setting areas (cf. Fig. 28.2):

3  In 2014, the municipality of Paris launched a call for innovative urban projects with the aim to rethink 23 Parisian sites. The strategy is founded on circular economy and promotes social, economic and environmental challenges (Hidalgo et al., 2015). 4  The approach of the circular economy in Amsterdam is based on the reuse of all the materials that enter into an infinite technical or biological cycle. All energy comes from renewable sources; the resources are used to generate (financial or other) value (Klaske, 2015). 5  In the city of Bologna, it was experimented in the community rooftop garden of a public housing building, where we produced and grew lettuce, tomato, chilli, pepper, eggplant and melon. The city is conceived as a living organism where the raw materials are transformed for a specific use. Watermelon on soils and leafy vegetables use three techniques: nutrient film, floating hydroponic and soil cultivation (Sanyé-Mengual et al., 2015).

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Fig. 28.2  The new project for Torre Annunziata waterfront based on the circular economy principles (Source: Angrisano 2016)

1 . Setting 1: tourism port 2. Setting 2: commercial port 3. Setting 3: cruise port In the first area, a tourism port will be designed serving different functions: docks with 1119 berths, a slipway, port authorities and executive offices, parking for sailing enthusiasts, fish market with some restaurants, sailing school for sailing sports and rowing activities. In the second setting, there will be an area for a commercial port with Solacem silos, shipyards with warehouses and wharves. The cruise port will be in the third setting. It will be divided into different functions for cruise ships, a cruise terminal, a big reception area, a trade fair centre for wine and food, restaurants, a composting centre, a logistic hub, an open-air car park, walking trails, green areas and new roads. The aim of the driveway and pedestrian road redevelopment is to connect the waterfront with the archaeological areas of Oplontis and Pompeii creating a cycle path in two-way traffic, lined with trees. This new project is based on circular economy principles. All living systems are characterised by circular processes, with no waste. They are able to conserve and reproduce themselves. Circular processes, through reuse, recycling and regeneration of components and energy, make cities regenerative. To satisfy this concept, different strategies have been chosen to build a synergic symbiosis between the city and the port: 1. Sustainable illumination 2. Recovery and reuse of rainwater

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3. Management and recycling of waste, through the design of a composting plant 4. Uptake of marine energy 5. Electrification of the docks, cold ironing 6. Greening of surfaces and roofs. 7. Use of photovoltaic panels. 8. Electric mobility The efficiency of public illumination sector was followed through with the installation along the waterfront of 1130 lights that guarantee an annual saving of €135,300 (cf. Table 28.8). Cold ironing has been adopted as a solution for the port, as a result of other positive experiences in this sector, through the electrification of the docks using renewable sources that guarantee 43% of the energy needs of the harbour (cf. Table 28.8) (Angrisano and Fusco Girard 2017). The photovoltaic panels will provide 2119 families with electricity, assuming an energy requirement of 3300 kWh/year per family. The panels will be installed on all the new buildings along the waterfront (cf. Table 28.8) (Angrisano and Fusco Girard 2017). A sustainable management of the cycle of the waters has been chosen based on the exploitation of less noble waters and on the use of high quality water exclusively where the characteristics of quality are really needed (cf. Table 28.8). The green roofs on 110,000 square metres of buildings have been chosen to improve the environmental components (air, ground and microclimate) (cf. Table 28.8) (Angrisano and Fusco Girard 2017). An aerobic composting plant will produce consumable products (quality compost and organic mulches) using the putrescible waste from the cruise ships, the waterfront activities and organic waste from the diversified refuse collections of the municipalities of Torre Annunziata, Torre del Greco and Castellammare di Stabia (cf. Table 28.8). This strategy starts a symbiotic process between the city and the port. The quality compost produced will be employed as a fertiliser for the Vesuvius agricultural area and for the terraced hills near Sorrento and the Amalfi Coast (cf. Fig. 7) (Angrisano and Fusco Girard 2017). The impact of the project has been evaluated through the analysis of economic benefits identifying five economic sectors: touristic economy, creative and cultural economy, industrial economy, environmental economy and social and civil economy (cf. Table 28.8). The significant positive impact of this new project relates to economic, environmental and social aspects. The most important results involve the creation of new jobs as a result of the proposal of new activities. The redevelopment of this area is necessary to rebuild the historical and cultural landscape and identity of the city, in accordance with the UNESCO recommendations.

1829 m2

New nautical school

New parks New areas along the docks New playground

Cruise terminal New berths New restaurants

Trade fair Centre 3434 m2 for wine and food Requalification of 29,839 m2 the ancient pasta factories as creative laboratories New shops 24 shops (1500 m2) New services for 250 m2 the floating Environmental economy 7 km Waterfront coastline for the requalification 416 m2 3182.51 m2

Skate park Sea amphitheatre

Environmental economy: Green areas Green areas 108,540 m2 Lawn and realised shrubs newly designed

1000 m2

17,603 m2

New trade fair Centre for wine and food Yacht club

1998 m2 3182.5 m2 1,232m2

29,839 m2

New laboratories

1000 m2 1433 740 m2

600 m2

Cultural and creative economy New offices

Economic benefits Touristic economy New beds in 1200 hotels 2700 m2 Area for the construction of new hotels Port of Pompeii 10,761.63 m2

Table 28.8  The impacts of the Torre Annunziata requalification project

108,540 m2

1350 m2

17,129 m2 1150 m2 4000 m2

35,565.03 m2

181,137.2 m2

Uptake marine energy Uptake marine 8.850.825 kWh/year energy

Solacem industry Shipyards Port of Pompeii Composting Centre Fish market

Touristic port

Industrial economy Fishing port 5749.70 m2

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27.970.654 l/year (that satisfies the water demand for 225 WC 5854,20,017 and the irrigation of 108,540 m2) Production of compost 4278.9 on 42,789 Quantity of inhabitants (100 kg/ organic waste produced by the inhabitants) city of Torre Annunziata 6646.6 on 66,466 Quantity of inhabitants (100 kg/ organic waste produced by the inhabitants) city of Castellammare 8627.5 on 86,275 Quantity of (100 kg/ inhabitants) organic waste produced by the city of Torre del Greco Total quantity of 19,592.9 tons/year on 195.530 organic waste produced by the inhabitants three cities

Reuse of rainwater

Economic benefits No. of collecting 55,021 m2 rainwater

Table 28.8 (continued) 1270 trees

36,180 people

6,602,850 m3

Energy cruise ship requested a year

Social and civil economy New jobs

884

Cold ironing

20 No. of electric vehicles to transport tourists to Pompeii and Oplontis archaeological area

(continued)

8,640,000 kWh/year for 4 days in a month

761 kWh/anno

Sustainable illumination Nr. points LED 1130 light

Total of energy Total area of produced photovoltaic 367,585.32 kW/year panel used 38,812 m2 (245 kWp)

Photovoltaic panels

Energy saving

982,872 kWh/year

Production of C02 by lawn and shrubs Requirements C02 per year

Sustainable transport

Marine capture system Energy produced from marine capture system

Production 184,291 m3/year of CO2 with the new tree

Number of new trees

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No. of internet point

8000 tons/year

3000 tons/year

5000 tons/year

Reduced travel times to reach 800 m the sea Oplontis excavations Population which benefits of the 20,622 people new waterfront areas Direct annual revenue for each 1300 € new worker

20,000.01 tons/year

2 out of 10 stations

3.5 km

Reduced travel times to reach the sea Pompeii

40 tons/year (48 day/ year)

2.1%

22,986 m2

Reduction in the unemployment rate

Square metres destined to the creation of new jobs

374.8 tons/year

Source: Angrisano, Bosone 2016

Quantity of organic waste produced from cuttings and prunings Quantity of organic waste from cruise ships Composting plant capacity Good product: Quality compost Good product: Organic mulching Total good product

Economic benefits Fish market 33.2 tons/year

Table 28.8 (continued) 43% Covered requirement for the electrification of docks by renewable sources 8.850.825 kWh/year Percentage of energy covered from renewable sources

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The last contribution of the project proposal is about the possibility of increasing real estate value, reducing the cost of requalification and restoring quality to the landscape through the principles of the circular economy. A market survey puts the cost of requalification at about €1200/m2 (Municipality of Torre Annunziata). This requalification costs can be reduced and optimised by promoting circular economy strategies as demonstrated by the good European practices that we have identified (Markkanen 2016). Recently, the circular economy in real estate had some positive effects, for example, in Finland (Markkanen 2016). The use of new technologies and innovative business models, including sharing, modular construction, 3D printing and smart management, might reduce costs for the reuse of buildings, thus enhancing profit (Angrisano and Fusco Girard 2017). There are different strategies to reduce the cost of requalification of the existing buildings, for example, the use of renewable energy, which allows us to use the incentives for the installation of the panels; the purchase of recycled material has a lower cost than conventional material (Ellen MacArthur Foundation 2016). In the city of Helsinki today, there are many companies that invest in the real estate sector. They worked hard to define the concept of the circular economy in the real estate industry to adapt the theoretical perspective framework in a more concrete way (Markkanen 2016). It is important to reuse the materials that come from the excavations/ demolition of other buildings. The real estate companies made profits from these activities. There should be an industrial symbiosis between different factories that exchange resources. This area can become an economic hub of a circular and sharing economy: this process is called sharing industrial symbiosis. Circular economy for new construction and renovation projects should focus on the minimisation of virgin material usage, on the removal and recycling of waste from the construction process and on designing a resource-efficient plan for building (Markkanen 2016). Therefore, if the principles of the circular economy are applied, both in the design of new buildings and in renovating buildings, many positive impacts occur, especially because the interventions on an area have been focused on a pleasant view overlooking the sea, an added value of great importance. Indeed, the circular economy model evokes a new notion of economic value: a “circular economic value”, in which the intrinsic value (e.g. cultural/symbolic) generates specific use values, and this, in turn, increases market value and provides better protection of the spatial physical quality (environmental values). It is a “relational” value that connects, reconnects, regenerates and glues, and as such, it represents the heart of the circular economy. Therefore, the economic value that emerges in the circular economy model connects the different use values with the independent use value (intrinsic value). This complex notion of value is absolutely coherent with the historic urban landscape notion that represents the reflection of a landscape systemic interpretation.

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This value notion could be seen in a multidimensional and complex perspective in which each value, in a certain dimension, becomes the generator/regenerator of other values ​​in other dimensions.

28.4  Conclusion and Recommendation The HUL approach represents a new perspective sector for the cultural heritage conservation, to combine “contemporary interventions” into the historic urban fabric (paragraph 22 HUL, 2011). The intrinsic value of cultural heritage can be exploited through the adoption of innovative cultural-led business, governance models and evaluation tools (Angrisano et al. 2016). The HIA should be a tool capable of supporting the urban planning and evaluating the impacts of the regeneration projects. Some changes are necessary for applying this tool. One of them is the modification of the criteria for the identification ​​of the cultural heritage values. The participative methods reduce this weakness. The community is considered the principal actors of the sustainable development, as mentioned in the III/V/VI section of the UNESCO document (UNESCO 2011). The participative methods are able to interpret the urban habitat and their natural and cultural resources. The proposed method is based on a participative process able to build a shared long-term strategy for the enhancement of spatial quality of port areas. The results highlight the potential of this participative tool to evaluate different scenarios for the future of waterfronts development (Gravagnuolo et al. 2015). The “management of the change”, introduced by the HUL approach, requests the integration of specific integrated evaluation tools (paragraph 24 HUL, 2011). The experience conducted in Torre Annunziata has allowed the HIA to be used to deduce the volumetric project plan, resulting in an hypothesis of functional organisation of the waterfront. This proposal has been verified through some interviews with various stakeholders: they have highlighted their perception about the needs, the functions and the new activities to be localised along the waterfront. The evaluation process underwent then a strict “participative phase”, to verify the project’s economic sustainability. The assessment of complex relationships and values can be implemented only through a multidimensional and integrated evaluation perspective (Gravagnuolo and Fusco Girard 2017). The “circular economy perspective” has allowed, on the basis of the comparison between demand and supply, the activation of short loops between the port-city and the extra-urban territory, thus reducing some economic costs as well as ecologic and environmental ones and creating new employment (jobs). In other words, through this subsequent evaluation processes, the “waterfront project” has been progressively refined so as to identify an overall “satisfying” ­solution, capable of guaranteeing the economic, social, environmental and cultural impacts.

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Also, the participative method supports the “circular economy approach”, because all the projects are shared with the community. This approach reinforces the network of sharing and knowledge, encouraging the social responsibility. The historic urban landscape can reveal the comprehensive “wealth” of the city and, thus, can enhance the well-being of communities. Thus, a new tool to assess the social, environmental and economic impacts of cultural heritage conservation/transformation/regeneration has been proposed. Interdisciplinary research and collaboration among stakeholders can use the historic urban landscape as a complex indicator of urban sustainability.

References Angrisano, M. (2015). Economic heritage impact assessment as a tool for evaluating the impacts on the great requalification project of the coastal cities, UNESCO sites. The case study of Torre Annunziata, in the gulf of Naples. Territorio Italia, 2015(2), 71–94. Angrisano, M., Biancamano, P. F., Bosone, M., Carone, P., Daldanise, G., De Rosa, F., Franciosa, A., Gravagnuolo, A., Iodice, S., Nocca, F., Onesti, A., Panaro, S., Ragozino, S., Sannicandro, V., & Fusco Girard, L. (2016). Towards operationalizing UNESCO recommendations on “Historic Urban Landscape”: A position paper. In Aestimum. Angrisano, M., Fusco Girard, L. (2017). The circular economy approach for the regeneration of Torre Annunziata port area (pp 11–22). In BDC Bollettino del Centro Calza Bini, n.1. Appendino, F., Giliberto, F., & Labadi, S. (2016). Il ruolo delle valutazioni di Impatto Ambientale e di impatto sul Patrimonio Culturale: il caso Liverpool sito UNESCO. In Valori e valutazioni n. 17 (pp. 57–57). Calder, A., Jones, A., Roe, A. (2014). Cultural heritage impact assessment. East riding of Yorkshire council. East Riding of Yorkshire Council. De Figueiredo, P.(2011). Liverpool waters heritage impact assessment. Assessment of potential effects on the Liverpool World Heritage Sites. www.liverpoolwaters. Ellen MacArthur Foundation (2016). Growth within: A circular economy vision for a competitive Europe. Ezzat, A.  M. (2016). Sustainable development of seaport cities through circular economy: A comparative study with implications to Suez Canal corridor project. European Journal of Sustainable Development, 5. European Commission (2014). Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions  – Towards an integrated approach to cultural heritage for Europe, COM 477 final, Brussels, 22.7.2014. Fellner, J, Lederer, J., Scharff, C., Laner, D. (2017). Present potentials and limitations of a circular economy with respect to primary raw material demand. Available at: http://www.cec4europe. eu/fileadmin. Furrer, B. (2013). Report on the ICOMOS advisory mission to historic centre of Warsaw. The Historic Centre of Warsaw (Poland) Advisory Mission, Report. Fusco Girard, L. (2010). Sustainability, creativity, resilience: Toward new development strategies of port areas through evaluation processes. International Journal of Sustainable Development, 13(1). Fusco Girard, L. (2014). The role of cultural urban landscape towards a new urban economics: New structural assets for increasing economic productivity through hybrid processes. HOPUE, 1(1), 3–27.

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Fusco Girard, L., & Nijkamp, P. (2003). Le valutazioni per lo sviluppo sostenibile della città e del territorio. Milano: Franco Angeli. Gravagnuolo, A., & Angrisano, M. (2013). Assessment of urban attractiveness of port cities in southern Italy—A case study of Torre Annunziata. Sustainability, 5(9), 3906–3925. Gravagnuolo, A., & Fusco Girard, L. (2017). Multicriteria tools for the implementation of historic urban landscape. Qual Innov Prosper, 21, 186–201. Gravagnuolo, A., Biancamano, P.  F., Angrisano, M., & Cancelliere, A. (2015). Assessment of waterfront attractiveness in port cities  – Facebook 4 urban facelifts. J Glob Environ Issues, 14, 56–88. HABITAT III (2017). United Nations New Urban Agenda: Adopted by the UN general assembly, 25 January 2017, New York, USA. Hidalgo, A., & Guhl, A. (2015). On the circular economy of greater Paris. In: Direction regional Ile De France. ICOMOS. (2011). Guidance on heritage impact assessments for cultural world heritage properties. Paris: ICOMOS. Klaske, K. (2015) Circular Amsterdam: A vision and action agenda for the city and metropolitan area. Geemente Amsterdam: Circle Economy. Lisitzin, K. (2012). The potential impact of the Stockholm bypass and Ekerö road project on the outstanding universal value of the world heritage property of Royal Domain of Drottningholm Sweden. In: The Swedish National Heritage Board. Markkanen, J.  (2016). Circular economy in real estate investment companies  – case study: Suomen Yliopistokiinteistöt Oy, Kampusareena. In: Helsinki Metropolia University of Applied Sciences. Rizos, V., Behrens, A., Kafyeke, T., Hirschnitz-Garbers M., & Ioannou, A. (2015). The circular economy: Barriers and opportunities for SMEs. In: CEPS working document, n. 412. Pereira Roders, A., Bond A., & Teller J.  (2013). Determining effectiveness in heritage impact assessments. In: IAIA13 Conference Proceedings, 33rd Annual Meeting of the International Association for Impact Assessment, Impact Assessment the Next Generation, Calgary Stampede BMO Centre | Calgary, Alberta, Canada, May, 13–16. Peterborough City Council. (2016) Peterborough preliminary draft local plan. Russo, P. (2011) Ridare vita a Pompei: un progetto di sviluppo sostenibile per l’area vesuviana. In: Unione Industriali Napoli, Camera di commercio Napoli. Sanyé-Mengual, E., Orsini, F., Oliver-Solà, J., Rieradevall, J., Ignacio Montero, J., & Gianquinto, G. (2015). Techniques and crops for efficient rooftop gardens in Bologna, Italy. Agronomy Sustainable, 35, 1477. Sitra (2015). The opportunities of a circular economy for Finland. Available at: https://media. sitra.fi. Smit, A. (2011). The influence of district visual quality on location decisions of creative entrepreneurs. Journal of the American Planning Association, 77, 167. UNESCO. (2011). Recommendation on the historic urban landscape, including a glossary of definitions. In: Available at: http://portal.unesco.org. Van der Does de Bye, M., Van der Vusse, R., & Van Tilborg C. (2015). Roadmap circular economy Rotterdam. In: Available at: http://www.rotterdamclimateinitiative.nl/documents. Zils, M. (2015). Towards a circular economy rethinking value chains to boost resource productivity. In: Available at: http://www.environnement.brussels. http://www.reinventer.paris/en/sites.

Chapter 29

Operationalizing the HUL Recommendation in Urban River Corridors: Challenges and Perspectives Manal Ginzarly and Jacques Teller

Abstract  This article proposes to consider urban river corridors as historic landscapes and an integral component of our common heritage and collective memory. It acknowledges the range of cultural values associated with urban rivers as well as the role of the latter in shaping the city through history, thereby contributing to our identity and sense of place. It reflects on the application of the historic urban landscape (HUL) recommendation in urban river corridors. The article focuses on a double-lens approach that combines morphological/ecological analysis on one hand and cognitive representations of everyday landscapes and practices on the other hand. This paper further proposes an assessment of the efficiency of current legislative and institutional framework for heritage conservation. It takes the historic core in the city of Tripoli, Lebanon, as a case study where conservation practices have followed a monument-centric approach, neglecting the cultural value of the Abu Ali River flowing through the city. It concludes with a SWOT analysis to highlight how best to operationalize the HUL recommendation in urban river corridors. Keywords  Historic urban landscape (HUL) · Everyday landscapes · Urban river corridors · Heritage conservation · Morphological analysis · Ecological analysis · Regulatory system · Tripoli · Lebanon

29.1  Introduction Over the centuries, the relationship between cities and water bodies (rivers, lakes, seas, and oceans) has been largely influenced by changes in urban design and planning approaches to cities. Throughout the history of civilization, water bodies have been the foci of most urban developments because they offer key resources and services, including drinking water, fertile agricultural lands, fishing, power production, and transportation links (Guillerme 1983; Grimm et  al. 2008). Today, most M. Ginzarly (*) · J. Teller LEMA, Urban & Environmental Engineering dpt, University of Liège, Liège, Belgium e-mail: [email protected]; [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_29

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river corridors do not only have important ecological roles within urban landscapes but, similarly, have key societal, cultural, and economic values (Francis 2012; Lundy and Wade 2011 and Cengiz 2013). In the late nineteenth century and early twentieth century, western cities were in a process of development at a speed that was beyond the capacity of incremental urbanism. Rapid urbanization and intensive industrial activities have largely affected urban form, and means were developed to facilitate movement within cities (Otto et al. 2004). Accordingly, transportation shifted from water to streets and rails, and engineering projects have contributed to extensive changes in rivers’ functions and structure. For instance, most urban river-edge lands were filled to accommodate new infrastructures, and many river channels were straightened, completely disconnecting them from their floodplains (Pedroli et al. 2002). These developments did not only harm the ecological function of rivers (Groffman et al. 2003; Everard and Moggridge 2012) but also disconnected the rivers physically from their urban context and spiritually from the urban life since the river edge became less important as a social and retail space (Otto et al. 2004). In the early twenty-first century, ecological studies have grown tremendously and have begun to influence theoretical thinking about the shape and the development of cities (Spirn 2014). Consequently, a radical shift took place toward thinking about cities as biological rather than solely physical systems (Wu and Hobbs 2002; Pickett et al. 2004). Consequently, river corridors are now recognized as important ecological and social components of urban systems. Within the context of cities with historic urban cores, cultural heritage policies primarily focused on the built urban fabric, neglecting natural elements, like rivers, that gave reason for their location. In many cities, conservation practices followed a monument-centric approach, which focused on the restoration of heritage buildings and sites and neglected the cultural value of ecosystems at large and especially rivers. Still, a number of morphological studies highlighted the influence of river networks on streets, plots, blocks, and building structures (Borie et al. 1981; Castonguay and Evenden 2012). The historic urban landscape (HUL) recommendation expands our understanding of historic environments. HUL deliberately encompasses the ensemble of urban structures and natural features as an integral entity that cannot be dissected into fragments and that jointly contributes to creating a sense of place and identity (O’Donnell and Turner 2012; UNESCO 2016). Following the HUL recommendation, our article stresses the need for integrating river systems into cultural heritage conservation policies. It is hereby considered that the river influences the physical and social patterns of human settlements contributing to form the very specific character of the latter (Guillerme 1983). To elucidate the socio-spatial relationship between cities and rivers, this paper takes the Mamluk core in Tripoli, Lebanon, as a case study. This article is structured as follows: Sect. 29.1 provides details about the heritage value of river corridors. Section 29.2 focuses on the need to conduct a comprehensive analysis of the relationship between the built and natural environment to reveal the character of the historic urban landscape. Accordingly, it illustrates

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the ­multidimensional morphological method of analysis of the socio-spatial relationship between the river and the city. Section 29.3 applies the proposed methodology to the city of Tripoli. Section 29.4 reflects on the application of the HUL recommendation through a critical assessment of existing laws and regulations and conservation practices in relation to the HUL framework. Finally, this paper concludes with a comparative SWOT analysis on the application of the HUL recommendation in general and, more specifically, in urban river corridors and in Tripoli, Lebanon.

29.2  River Corridors as Historic Urban Landscapes In 1925, the geographer Carl Sauer introduced the term “cultural geography” into American geography discipline (Price and Lewis 1993). Sauer (1925) argued that the cultural aspects of the landscape and its material remains are created over a long period by human activity. In other words, a cultural landscape is “fashioned from a natural landscape by a cultural group. Culture is the agent, the natural area is the medium, cultural landscapes the result” (Sauer 1925, p. 22). Urban river corridors are paradigmatic examples of such historic cultural landscapes, especially in those cases where urban settlements developed along the river and contributed to the evolution of its structure. Many scholars have addressed the wide range of cultural values and contributions to ecosystem services associated with urban rivers (Baschak and Brown 1995; Forman and Collinge 1996; Everard and Moggridge 2012; Francis 2012; Kerr and Swaffield 2012; Vollmer et al. 2015). In these studies, river corridors have been recognized as having significant ecological, social, aesthetic, historic, and economic values. Even when they are not associated with outstanding scenic values, river corridors usually form part of the “everyday landscapes” of the citizens (Preece 1991; Groth and Bressi 1997). They always contribute to shaping the local identity of a place and should hence be taken into consideration by heritage conservation policies. Different urban planning and design approaches have been applied to restore damaged urban rivers (Marshall 2001; Otto et al. 2004). It is crucial to mention that such projects do not aim to restore rivers to a pristine condition but to provide new scenarios that are suitable for site specification and context. This article proposes a multidimensional approach to capture the influence of rivers on urban settlement patterns, the changes that occur in the physical structure of the city and the river, and the changing role of the river and cultural values associated with it over time. The article reflects on the application of the HUL recommendation on urban river corridors where conservation practices should include river conservation as a key element of heritage policies.

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29.3  Methodology The core issue of this paper is to identify the different attributes contributing to the character and cultural significance of historic landscapes in urban river corridors through time and to reflect on the application of the HUL recommendation for the conservation of these values and attributes. To achieve its goals, it proposes a multidimensional method for the analysis of urban form that does not only target the morphological configuration of urban landscape but also the historical and cultural values attributed to it. This method follows three inquiries: the first is an archival review to analyze the riverside settlement at different historical periods. The second involves on-site structured interviews to reveal the community perception of the study area and different cultural values attributed by the public to the river corridor. The third is an assessment of the application of the HUL recommendation. This assessment is based on a review of different pieces of legislation for managing heritage, listing, and cultural heritage conservation projects in the historic core to critically evaluate how concepts and tools offered by the HUL approach could be translated into the existing regulatory framework in Tripoli. The first investigation is a morphological analysis of the urban form based on the cadastral maps of the city dating back to 1937. The street pattern during the early urban settlement in the historic core in relation to the river corridor is analyzed, as well as changes that occurred through time in the physical structure of both urban and natural systems. A party wall map has been outlined for the city. A party wall map is a two-dimensional plan that shows nodes of attraction in the city through drawing one edge of each building (see Sect. 29.5.1). This method has been applied in different projects to understand urban development through establishing a comprehensive relationship between the alignment of the building fabric and the city’s physical features such as street pattern, natural features, and open spaces (Hallaj 2000; Giulia 2010). The second investigation is an on-site survey based on a structured questionnaire. The questionnaire contains two sections. The first part is oriented toward the interviewees’ mental image to reveal how they perceive the study area, and the second section consists of an open-ended question about heritage preferences. Fifty persons participated in the questionnaire survey. Interviewees included shoppers, shops owners, and households. Interviews were completed in the street, in shops, and in houses. They were conducted during February and March 2014. The different elements represented in every image were subsequently extracted so as to illustrate in a schematic way the perceived spatial attributes of the urban river corridor. Second, the various positions toward the river revitalization were analyzed in order to elicit the cultural values attributed to it. The third investigation is a review of heritage regulations, listing, and conservation practices in relation to the HUL recommendation. This will help us to highlight how tools proposed by the HUL recommendation can be translated into the local system of urban management. Urban heritage regulations available at the international and local levels are assessed in this perspective. Three heritage listings are

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further reviewed: the UNESCO listing in 1953; the 1995 survey done by the Association for the Preservation of the Archaeological Heritage of Tripoli, the municipality, and local historians; and the 2002 cultural heritage and urban development project of the city.

29.4  Study Area Situated 85 km north of Beirut along the Mediterranean coast, Tripoli is considered Lebanon’s second capital. The city was founded on the Mediterranean seaside during the fourteenth century BCE. It was not until the Middle Ages that Tripoli became a city with two poles: the marine city (El-Mina), on the original site of Tripoli, and the Medina, currently the Mamluk historic core (Gulick 1967). In 1289, the Mamluks conquered the Crusader City that was situated on the peninsula, razed it to the ground, and built a city at the foot of the Crusader citadel and along the Abu Ali River around 3 km to the west (Fig. 29.1).

Fig. 29.1  Upper left, the east bank of the river. Upper right, the west bank of the river. Lower, the Mamluk core and the urban extension outside its periphery

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Fig. 29.2  Tripoli, Lebanon, and different urban zones in the city

The two poles of the city remained separated by citrus fields until the beginning of the twentieth century. In 1516, the Ottomans occupied the city until the beginning of the French mandate in 1918. It was during the late Ottoman period that urban extension outside the city’s gates started. Urbanization started along the roads constructed between El-Mina and the Medina in the beginning of the twentieth century during the Ottoman period, as well as along the two banks of the Abu Ali River. By the end of the twentieth century, urban sprawl took over most of the agricultural fields (Fig. 29.2). In the second half of the twentieth century, the city experienced a spectacular population growth under the influence of new urban developments and rural exodus from the neighboring north regions (Le Thomas 2009).

29.5  A Double-Lens Approach to HUL Documentation The historic urban landscape recommendation requires the application of an all-­ inclusive value-based approach to heritage conservation. It considers the historic layering of cultural and natural values and attributes in a city. This approach should be based on a comprehensive documentation of the city’s natural systems and built structure as well as the intangible heritage associated with the tangible heritage (UNESCO 2011; Van Oers 2013). This documentation is crucial to identify the overall character of the historic urban landscape and the values and attributes that

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need to be conserved for future generations through a bottom-up participatory process (UNESCO 2011). Therefore, the application of traditional and innovative tools, adapted to local contexts, is recommended. These should typically include civic engagement tools, knowledge and planning, regulatory systems, and financial tools (Van Oers and Pereira Roders 2013; Rodwell 2015). This paper suggests addressing Tripoli river corridor through a double lens: a morphological/ecological approach on the one hand and a cognitive map centered on practices and representations on the other hand. Such a double-lens perspective calls for realigning traditional desk-­ based analyses with more personal, intersubjective interpretations of heritage.

29.5.1  A Combined Morphological/Ecological Approach The character of historic landscapes in urban river corridors is intrinsically linked with the reciprocal relationship between the river and the built environment and how one influences and adapts to the other. Morphological analyses should consider the evolution of urban form in relation to the river layout and its gradual changes over time. In the case of Tripoli, the continuous axis that extends from the southwest to the northeast constitutes the main spine of the Mamluk core and has been maintained through time (Fig. 29.3). It stretches along the hill where the citadel is situated and then continues parallel to the Abu Ali River following the structure of the natural landscape. All east-west streets are connected to this spine, and two bridges connected the two sides of the river. This grid was in accordance with the natural flow of the river corridor, and they both followed the topographical characteristics of the area. During this period, the river was at the core of the urban settlement. The water

Fig. 29.3  Left, the street pattern of the medieval core in 1937. Right, the streets pattern of the medieval core after 1971

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resource was used for domestic as well as agricultural supply for citrus fields on the coast and olive fields in surrounding villages. Riverine zones along the river were used as social spaces for gathering and interacting with the natural environment and as a green corridor that forms a transitional zone between the city and the river. The upland on the west bank of the river was saved for the citadel that overlooks the entire city. Between 1955 and 1971, different factors contributed to changes in the structure of the river (Fig. 29.3). First, in 1955, the Abu Ali River flooded the city. By the end of 1968, the downstream river course was hence straightened in order to reduce the risk of flooding, and an artificial concrete channel was constructed with vertical lateral retaining walls. The river was further surrounded by a 24-m-wide avenue on each side. These avenues were rapidly transformed into major circulation axes. With regard to the riverfront and the river system, these interventions transformed the river from an ecological corridor to an infrastructural artifact. The floodplain, where the riparian vegetation originally developed, was no more a place for social gathering providing the city with a public amenity. The river was no more a source of water supply or biodiversity as wetlands and other habitats were dried up. Moreover, in 1971, a master plan was developed for the city. It intervened in the Mamluk core by constructing two vehicular arteries to connect the new developments with the core and the new boulevards along the river. In between these arteries, the central spine of the city and the inherited urban pattern maintained their original shape. The party wall map of the Mamluk core (Fig. 29.4) shows how the historic urban landscape was built in coherence with the natural landscape. Most buildings are slanted toward the river stressing on the latter as the dynamic of urban development. Moreover, newly constructed buildings along the river, after its canalization, conserved the pattern of urban development through time and respected previous spatial configurations.

29.5.2  Cultural Values Associated with Urban River Corridors People ascribe different values to a heritage asset depending on their personal interests and interactions with their environment. Mental maps are based on local inhabitant’s perceptions of their city as well as their daily experience of the network of places, streets, and buildings. Conceived as such, they help to reveal everyday landscapes, i.e., the set of tangible attributes that contribute to their image of the city. When asked to illustrate their perception of Tripoli, most interviewees did not represent all the study area. Instead, they drew a small section of it according to their personal experience and reflections. By contrast, the river and the monuments along it were represented in all maps. Most importantly the stairs that link the east and west banks of the river were one of the most common elements in the different interviewees’ mental images (Fig. 29.5). Forty-two out of 50 interviewees chose the revitalization of the river corridor instead of the citadel as their priority in terms of urban renewal. They attributed an

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Fig. 29.4  Party wall map of the Mamluk core. This strong structure can clearly be seen as a form of heritage that largely determines a cultural urban landscape. This cultural heritage landscape is intimately related to the river and its influence on street patterns. Even though altered after the transformation of the 1960s, it keeps structuring the area as a whole

aesthetic value to the river. In their opinion, the river reflects the identity of the historic core, and its pollution is affecting liveability in the city. Most interviewees mentioned that their houses overlook the river, and its degradation is hence affecting their everyday landscape. The river appears as a major component of the residents’ memory and common identity.

29.6  Urban Heritage Policies and Management On the institutional and legal level, three main challenges could be highlighted for the application of the HUL recommendation in Lebanese cities. First is the lack of expertise and know-how in adapting international frameworks to the local level. For

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Fig. 29.5  Two examples of respondents’ mental image of the city. Left: the river, the stairs and residential neighborhoods on the east bank of the river, two pedestrian bridges, and the citadel. Right: polluted river, cars, roads, the stairs and residential neighborhoods on the east bank of the river, and school

instance, even though Lebanon has ratified the 1983 UNESCO convention for the protection of cultural and natural heritage and the 2003 convention for the safeguarding of intangible heritage, the integration of these international laws and concepts into the national legislative framework is fragmentary. Second, the legislation, when existing, is not always applicable in the field. Although an updated law for heritage conservation was issued in 2008, the 1933 law is still in force because decrees for the operation and application of the 2008 law were never issued. Still, according to the 1933 law, those buildings that were built after the nineteenth century are not considered as heritage. Moreover, whereas the HUL approach considers cultural heritage as a main pillar for achieving sustainable development, in Lebanon the sustainable development framework is mainly based on the social, economic, and environmental assets and does not include cultural dimensions. Consequently, the 444 law for Environmental Impact Assessment (EIA) excludes cultural heritage from its scope. Third, at the operational level, the government and administrations are very restrictive when listing urban heritage. This practice is related to a number of issues, among which are persistent controversies about the value of some historical remains related to divergences between communities (Saliba 2013). Still, such a lack of designation increases the risk of demolition for some significant heritage assets. In this context, heritage listing in Tripoli remains mainly based on the age value of heritage assets. In 1953, the Directorate General of Antiquity (DGA) in Lebanon asked UNESCO to conduct an urban study about the Mamluk core in Tripoli. They delineated the historic core and identified 44 monuments that should be conserved (Fig. 29.6). Historic neighborhoods on the west bank of the river were not given a heritage value. The delineation of the historic core was limited to the west bank of the river. Moreover, the survey was very punctual and was centered on specific

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Fig. 29.6  The periphery of the historic core and the classified monuments based on the report of the mission sent by UNESCO in 1953

buildings treating them as frozen icons that stand alone in the landscape without looking at different social and spatial relationships between the built and the natural environment. The selection of listed buildings was mainly based on age, function, and architectural characteristics of the buildings (UNESCO 1953). The selected buildings are religious and public buildings. They include the citadel, churches, mosques, khans, schools, and public baths. The mission recognized the historical significance of residential houses and their role in constituting the specific character of the city, but it did not include these on the list. It did not recognize the cultural and historic value of the Abu Ali River and focused mainly on built structures without studying the relation between these and their surrounding landscape. In 1995, under the surveillance of the Association for the Preservation of the Archaeological Heritage of Tripoli, a new heritage survey was conducted. This time the scope of heritage was extended to include sites, comprising cemeteries, gardens, residential blocks, and pedestrian commercial streets. This time the east bank of the river had its portion of listed monuments as well as the early Ottoman developments outside the boundary of the Mamluk core. Different Ottoman buildings and sites were identified as cultural heritage, such as a public garden (Al Manshiyeh), the municipality and the serail with and the Nawfal Palace. Even though the east bank was included, the historic elements were still concentrated on the west bank of the river, where most of the classified monuments are situated (Fig.  29.7). The

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Fig. 29.7  The periphery of the historic core and the classified monuments and sites based on the survey done in 1995 and on the delineation of the historic core specified by the CHUD project

r­ecognition of heritage value embedded in the commercial streets in this phase is crucial. In 1996, most of the listed monuments and streets were nationally registered. This review shows how the concept of heritage is still associated with constructions that are treated separately and has never been integrated into the wider urban context that encompasses different historical, cultural, and social values. A project initiative that tried to integrate urban development and cultural heritage conservation ended up applying punctual interventions and focusing on facades instead of approaching the city as an entity. In 2002, the Lebanese government requested assistance from the World Bank to scale up dispersed urban heritage rehabilitation efforts to a national level by assisting five secondary cities (Tripoli, Byblos, Baalbek, Saida, and Tyre). The project was entitled ‘Cultural Heritage and Urban Development (CHUD)’. It aimed to invest in the cultural heritage of Tripoli to integrate it into the life of the community and achieve local growth (Saba from Al-Harithy 2005). Although the goals of the project were promising, interventions were restricted to facades and some open spaces and to the construction of a platform above the Abu Ali River to host the informal vegetable market that used to be along the river. The project did not recognize the river as part of the community shared memory and identity. Instead, the construction of the platform came to ignore the significance of the river in the composition and structure of the city.

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29.7  A SWOT Analysis for HUL Operationalization The following SWOT analysis highlights the strengths, weaknesses, opportunities, and threats concerning the operationalization of the HUL recommendation and its application in urban river corridors as well as in the city of Tripoli, Lebanon (Table 29.1). When cultural heritage is reduced to built components and the age value of buildings, the regulatory and institutional systems contribute to increasing pressure on cultural heritage that is not listed. Appropriation hence appears a key factor for the Table 29.1  SWOT analysis of the HUL recommendation operationalization Strengths -Inclusive approach considering both desk-based documentation of urban heritage and perception/ practices -Value-based assessment, encompassing the divergent heritage values promoted by the stakeholders -Combination of substantive and normative dimensions, so as to support goal-oriented implementation of policies Balance between Urban cultural and river corridors natural assets of river corridor landscapes

General

Weaknesses Orthogonal with existing normative framework in many countries

Opportunities Greater consideration of heritage by appropriation and integration of social practices in cultural heritage values -Integration with Lack of funding for supporting operational strategic urban planning policies application and generalization beyond case study sites

-Lack of connection with street-level initiatives

-Integration into the institutional and regulatory systems

Capacity building at the local level oriented toward cities instead of focusing on national actors Consideration for Complexity regarding Development of a specific HUL decisions on what the three-­ methodology attributes and values dimensional adapted to river nature of heritage to protect corridor cities perception typical based on of urban river international best corridors practices Lack of precise guidance for balancing different heritage values

Threats Development of top-down initiatives poorly connected with the field

Unstable political regimes unfavorable to soft law implementation, experimentation, and diffusion Growing resistance to adaptation of frameworks issued from international bodies in Global South countries

Overrepresentation of visual aesthetic dimensions usually associated with landscape considerations, especially in urban river corridors

(continued)

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Table 29.1 (continued) Strengths Tripoli, Better Lebanon consideration for diversity of urban fabric and heterogeneity especially values related with everyday landscapes and informal settlements Empowerment of the civic community and public institutions

Weaknesses Coming too late in the regeneration process (what about corrective measures in already degraded contexts?)

Opportunities Appropriation by socioeconomic groups in their daily relations with local authorities and the pursuit of the integration of cultural heritage into planning

Threats Increased resistance from local actors against such a framework if there is inappropriate funding or policy support for its application on the field

Not integrated into the local regulatory system Lack of horizontal and vertical coordination between stakeholders

integration of cultural heritage conservation concerns into urban planning. The empowerment of the civil society and the application of innovative civic engagement should be triggered as a way to conserve urban heritage that is not designated. It can further foster awareness and dialogue about everyday landscapes, which are associated with daily practices (Preece 1991), cultural expressions, and economic and political processes. The HUL recommendation provides a toolkit to consider heritage more fully, through appropriation and the range of heritage values promoted by the stakeholders. In river corridor cities, the documentation and mapping of the historic urban landscapes based on a double-lens approach that is morphological/ecological and cognitive at the same time would allow integrating sociocultural and ecological values of rivers as genuine conservation concerns and acknowledging the significance of everyday landscape in articulating people’s common heritage and identity. Moreover, it provides an opportunity for the development of a case-specific methodology, based on lessons learned from good practices at the international level. Many projects that revitalize and reintegrate river corridors into city life have been successfully applied in the past. Examples of these include the Los Angeles River revitalization (USA); the Cheonggyecheon Stream Restoration Project in Seoul (Korea); the Rouge River Gateway Project, Michigan (USA); the Isar Munich River restoration project, Munich (Germany); and Madrid Rio project, Manzanares River (Spain). Furthermore, on the operational level, the application of the HUL recommendation in a local context is largely related to the efficiency of current legislative and institutional frameworks for heritage conservation. Consequently, the main challenge in cities of the Global South is to adopt an international law to local contexts and to translate concepts into practice.

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29.8  Conclusion Cultural heritage conservation remains challenging in those countries that suffer from political instability, sectarianism, social segregation, bad economic condition, and increasing informality. Although at the international level, cultural heritage has been recognized as an enabler for sustainable socioeconomic development (UNESCO 2016), the adoption of this agenda by institutional and legislative bodies involved in urban management initiatives is still pending in many countries. When urban development projects focus on local economic needs in isolation from the social, cultural, and environmental issues, the potential value of cultural heritage remains underexploited. The HUL recommendation emphasizes the opportunities of integrating heritage conservation concerns with economic and social ones. A road map for the application of the tools provided by the HUL recommendation should be developed. This study highlights that urban river corridors are characterized by specific morphological structures that reflect the changing social and spatial relationships between the city and the river over time. This structure plays an important role in the identity and common heritage of local inhabitants. In the case of Tripoli, our study highlighted that heritage designation keeps playing a major role in the definition of heritage. Civic engagement is not yet fully acknowledged as a way to elicit cultural values associated with historic urban landscapes. Existing regulations should be updated in order to match the definitions and guidelines provided by the HUL recommendation. The lack of expertise in the bodies involved in the daily urban development and heritage conservation is a challenge to be addressed in this respect.

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Giulia, N. (2010). The forma Urbis of Aleppo(Syria) during the middle ages. In Studies in the archaeology of the Medieval Mediterranean (pp. 115–154). Leiden/Boston: BRILL. Grimm, N. B., Faeth, S. H., Golubiewski, N. E., Redman, C. L., Wu, J., Bai, X., & Briggs, J. M. (2008). Global Change and the Ecology of Cities. Science, 319(5864), 756–760. Groffman, P. M., Bain, D. J., Band, L. E., Belt, K. T., Brush, G. S., Grove, J. M., Pouyat, R. V., Yesilonis, I.  C., & Zipperer, W.  C. (2003). Down by the riverside: urban riparian ecology. Frontiers in Ecology and the Environment, 1(6), 315–321. Groth, P. E., & Bressi, T. W. (1997). Understanding ordinary landscapes. New Haven/London: Yale University Press. Guillerme, A. (1983). Les temps de l’eau: la cité, l’eau et les techniques : nord de la France : fin IIIe-début XIXe siècle. Editions Champ Vallon. Gulick, J. (1967). Tripoli: A modern Arab city. Cambridge, MA: Harvard University Press. Hallaj, O.  A. (2000). Mankali Bugha Moschee. In B.  Bollmann (Ed.), Damascus  – Aleppo: 5000 Jahre Stadtentwicklung in Syrien, Oldenburg: Staatliches Museum fur Naturkunde und Vorgeschichte. Kerr, G.  N., & Swaffield, S.  R. (2012). Identifying cultural service values of a small river in the agricultural landscape of Canterbury, New Zealand, using combined methods. Society & Natural Resources, 25(12), 1330–1339. Le Thomas, C. (2009). Pauvreté et conditions socio-économiques à Al-Fayhâ’a : Diagnostic et éléments de stratégie Catherine Le Thomas Décembre. l’Agence française de Développement pour la Fédération des municipalités de Tripoli Al-Fayhâ’a. Lundy, L., & Wade, R. (2011). Integrating sciences to sustain urban ecosystem services. Progress in Physical Geography, 35(5), 653–669. Marshall, R. (2001). Contemporary urban space-making at the water’s edge. In Waterfronts in post-industrial cities (pp. 3–14). Taylor & Francis. O’Donnell, P., & Turner, M. (2012). The historic urban landscape recommendation: A new UNESCO tool for a sustainable future (p. 16). Cape Town: IFLA. Otto, B., McCormick, K., & Leccese, M. (2004). Ecological riverfront design: Restoring rivers, connecting communities. Chicago: American Planning Association. Pedroli, B., de Blust, G., van Looy, K., & van Rooij, S. (2002). Setting targets in strategies for river restoration. Landscape Ecology, 17(Suppl 1), 5–18. Pickett, S. T. A., Cadenasso, M. L., & Grove, J. M. (2004). Resilient cities: meaning, models, and metaphor for integrating the ecological, socio-economic, and planning realms. Landscape and Urban Planning, 69(4), 369–384. Preece, R. A. (1991). Designs on the landscape: Everyday landscapes, values, and practice. ROY ALAN PREECE. Price, M., & Lewis, M. (1993). The reinvention of cultural geography. Annals of the Association of American Geographers, 83(1), 1. Rodwell, D. (2015). Reconnecting the city: the historic landscape approach and the future of urban heritage. Journal of Architectural Conservation, 21(2), 136–138. Saliba, R. (2013). Historicizing early modernity  – Decolonizing heritage: Conservation design strategies in postwar Beirut. Traditional Dwellings and Settlements Review, 25(1), 724. Sauer, C. O. (1925). The morphology of landscape. Berkeley: University of California Press. Spirn, A. W. (2014). Ecological urbanism: A framework for the design of resilient cities. In The ecological design and planning reader (pp. 557–571). Washington, DC: Island Press/Center for Resource Economicsm. UNESCO. (1953). Lebanon: suggestions for the plan of Tripoli and for the surroundings of the Baalbek Acropolis. Report of the UNESCO mission of 1953, Paul Collart, Head of Mission, Emir Maurice Chehab and Armando Dillon. UNESCO. (2011). Recommendation on the historic urban landscape. Paris: UNESCO World Heritage Center. Retrieved from http://www.stellenboschheritage.co.za/wp-content/uploads/ UNESCO-Historic-Urban Landscapes-Recommendation-Short-Nov 2011.pdf. Accessed on 8 May 2017.

29  Operationalizing the HUL Recommendation in Urban River Corridors: Challenges… 527 UNESCO. (2016). The historic urban landscape guidebook: Managing heritage in dynamic and constantly changing urban environments. Retrieved from http://www.hulballarat.org.au/ resources/HUL%20Guidebook_2016_FINALWEB.pdf. Accessed on 8 May 2017. Van Oers, R. (2013). Stone Town Of Zanzibar United Republic Of Tanzania. Presented at the Swahili historic urban landscape. Report on the historic urban landscape workshops and field activities on the Swahili Coast in East Africa, UNESCO. Van Oers, R., & Pereira Roders, A. (2013). Road map for application of the HUL approach in China. Journal of Cultural Heritage Management and Sustainable Development, 3(1), 4–17. Vollmer, D., Prescott, M. F., Padawangi, R., Girot, C., & Grêt-Regamey, A. (2015). Understanding the value of urban riparian corridors: Considerations in planning for cultural services along an Indonesian river. Landscape and Urban Planning, 138, 144–154. Wu, J., & Hobbs, R. (2002). Key issues and research priorities in landscape ecology: An idiosyncratic synthesis. Landscape Ecology, 17, 355–365.

Chapter 30

Zanzibar: The HUL Approach Explored Muhammad Juma and Michael Turner

Abstract  The Stone Town of Zanzibar has been a major case study for the development of the HUL recommendation providing a continuous interaction since 2009 when the drafting group met to validate the approach in the African context. The threats identified in the State of Conservation reporting and accompanying missions have required new approaches to resolving these issues. Together with support from outside funding and academic institutions, the wider context of cultural heritage inscription has been developed and integrated into the planning processes of the island. However, the integrated long-term planning approach changes have not been matched by the level of management needed to address short-term local development projects in a climate of urban poverty and unemployment. This paper traces the steps of these interactions and evaluates the effectiveness of the various stakeholders identified in the Historic Urban Landscape approach in achieving the targets of the Sustainable Development Goals and New Urban Agenda. Keywords  World heritage · Historic urban landscape · Zanzibar · Ng’ambo · Urban heritage · Integrative development strategy · Sustainable development goals · New urban agenda

30.1  The Islands of Zanzibar: Background The Islands of Zanzibar were historically an integral part of the East African city-­ states and of the wide network of “dhow culture” that encompassed the Indian Ocean rim, dominated by Arabs, Portuguese and British for over half a millennium

M. Juma (*) Department of Urban and Rural planning, Zanzibar, Tanzania M. Turner Bezalel Academy of Arts and Design, Jerusalem, Israel e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2_30

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Fig. 30.1  Map of Zanzibar 1896 after the Heligoland-Zanzibar Treaty and the Anglo-Zanzibar War; start of the British Protectorate

(Sheriff 2010). This network influenced a cosmopolitan culture in the Islands that constitutes one of the most important testimonies of multiple heritages (Strandes 1961). After more than 70  years as a British protectorate (Fig.  30.1), Zanzibar acquired its independence in 1963, and following the Revolution of 1964, the young People’s Republic of Zanzibar signed the union with Tanganyika becoming the United Republic of Tanzania. Since then, the Islands have maintained autonomy in some portfolios, including planning and heritage, and shared others. These city-states played the important role of the “middleman”, in the triangle of commercial activities that involved many partners from the Indian subcontinent, Persian Gulf and Asia. Taking advantage of its geographic position, Zanzibar was also an important gateway to the African continent and a port to the mainland, a role which was diminished due to social and economic transformations (Middleton 1992). At the time of independence, the economy of Zanzibar depended mostly on the agricultural export of cloves. However, the competition of the clove market in

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the 1970s with new producers such as Indonesia and Seychelles and price ­fluctuation left the public authorities in the Islands no choice but to diversify its economic base. In the early 1980s, Zanzibar embraced an economic liberalisation policy with the tourism industry becoming an alternate source of economy. Physically, the British influenced the planning history of Zanzibar, with the first Master Plan of the town prepared in 1923 by H. V. Lanchester (Lanchester 1923). This plan concentrated mainly on the area covering the Stone Town of Zanzibar today, which then had a population of 36,000. Its main influences were in the construction of the seafront and port and the reclamation of the Creek Road. A second Master Plan, under the leadership of Henry Kendall in 1958, proposed for 60,000 inhabitants, expanded the historic Stone Town to cover the suburban area of Ng’ambo (Zanzibar Government 1958), also rationalising a road network in the town (Fig. 30.2). For the first and second plans, the Stone Town was still the centre of Zanzibar town.

Fig. 30.2  World heritage nomination

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In 1968, Zanzibar Town, with a total population of 68,000, prepared its third Master Plan under the direction of Hubert Scholz when the government first decided to shift the centre of the Zanzibar town from Stone Town to Ng’ambo (Zanzibar Government 1968). However, it was in 1982, within the fourth Master Plan, prepared by Chinese planners to accommodate the predicted 300,000 inhabitants by 2000 that the role of tourism became important with the Stone Town designated as a tourism area (Zanzibar Government 1982). This policy was further developed by a team of experts from the United Nations Centre for Human Settlement (UNCHS), arriving during the same period to advise the Government of Zanzibar on how to protect the historic buildings of the Stone Town (United Nations Centre for Human Settlement 1983). These decisions accentuated the discontinuity between the Stone Town and its hinterland. Subsequently in 1983, the World Tourism Organization (WTO) prepared a Master Plan for tourism development in the Islands (World Tourism Organization 1983). The plan proposed two types of tourism development, in the historic Stone Town and along the beach areas in the coastal zones. Although the two types emerged from the same initiative, for a long time they developed independently, before converging on the growing heritage significance of the Stone Town. Parallel to the development within the Stone Town, and with the support from the Finnish government, in 1995 a National Land Use Plan (NLUP) was prepared to include the coastal areas (Commission of Land and Environment 1995). The NLUP integrated an earlier 1993 Tourism Zoning Plan, thus forming a comprehensive National Land Use Plan, as the spatial framework of the islands for the following 20  years with its main emphases on tourism and settlement (Ali and Sulaiman 2002). With time, the government also realised the key role of the historic and cultural significance of the Stone Town in the development of the tourism industry. Zanzibar has made huge steps in developing the tourism industry from only 7827 arrivals in 1980; the number reached 376,242 in 2016. Again, while in 1982, there were only 7 hotels with 285 beds, these figures jumped to 354 hotels and 13,037 beds by 2015.1 Currently, tourism is the most important contributor of the foreign exchange in Zanzibar and Tanzania nationally. This social and economic transformation not only reorientated the spatial framework of the islands but also influenced a new linkage between urban and rural territories. It was the UNCHS report that leads to the establishment of the Stone Town Conservation and Development Authority (STCDA) in 1985 and the preservation of the historic town and which finally received recognition in the preparation of the Master Plan of the historic Stone Town in 1996, by the Aga Khan team (Siravo 1996). They adopted the concept of “conservation areas”, derived from the 1983 report of UNCHS, with the concept further isolating the Stone Town from its extended territory. This situation was accentuated by the fact that STCDA, being responsible for the management of the conservation area, was not involved in the planning processes of the extended territory of the urban area, under the Zanzibar 1  Zanzibar Government, Zanzibar Tourism Commission, 2015, and the Office of the Chief Government Statistician, Zanzibar Figures 2016, Zanzibar, 2017.

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Municipal Council (ZMC). Yet, it was under the enthusiastic guidance of the STCDA that the Stone Town of Zanzibar, in 2000, was successfully inscribed on the UNESCO World Heritage List. It should be noted that the inscribed area included a large buffer zone on land and sea2 (Fig. 30.2).

30.2  W  orld Heritage and the Evolving Historic Urban Landscape Recommendation The World Heritage inscription not only had influenced the development of the inscribed property but also increased the role of Zanzibar town within the changes on the Islands. These development pressures had started to weaken the management system of the Stone Town as emerged in 2006 during the first ICOMOS monitoring mission. Then the new port construction sounded a “wake-up call” to the heritage community, with the seafront development proposals triggering concerns that were well expressed in the 2008 second monitoring mission (Bakker and Eloundou 2008).3 With further economic growth, influenced mostly by the tourism industry, a management system was produced through a consultative approach under the supervision of STCDA. However, this management plan approved in 2008 failed to mitigate development pressures. Moreover, based on the decisions of the World Heritage Committee in 2007 and 2008, an Environmental Impact Assessment (EIA) was requested for the Malindi Port, with ICOMOS specifying an Environmental and Cultural Impact Assessment in 2008. This request changed to an Environmental and Social Impact Assessment in 2010 (emphasis added) which was answered with the submission of a Heritage Impact Assessment (HIA) document prepared in 2011. This was followed by further reactive comments indicating “that there are major threats that still need to be addressed” and that the World Heritage Committee requested a report “with a view to considering, in the case of confirmation of the

2  Further to the inscription of the Stone Town of Zanzibar as a fine example of the Swahili coastal trading towns of East Africa in 2000, a Retrospective Statement of Outstanding Universal Value was adopted in 2015:

Criterion (ii): The Stone Town of Zanzibar is an outstanding material manifestation of cultural fusion and harmonisation. Criterion (iii): For many centuries there was intense seaborne trading activity between Asia and Africa, and this is illustrated in an exceptional manner by the architecture and urban structure of the Stone Town. Criterion (vi): Zanzibar has great symbolic importance in the suppression of slavery, since it was one of the main slave-trading ports in East Africa and also the base from which its opponents, such as David Livingstone, conducted their campaign. 3  This report and subsequent missions identified among the threats: (a) Development pressures, (b) environmental pressures in relation with the Malindi port project, (c) natural disasters and lack of risk preparedness, (d) visitors/ tourist pressures, (e) lack of resources, (f) lack of legal framework and (g) weak urban/heritage governance

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ascertained or potential danger to Outstanding Universal Value, the possible inscription of the property on the World Heritage List in Danger”.4 As it can be understood, threats such as development pressure, traffic and mobility, weak urban governance and natural disasters related to a broader urban context outside the parametre of World Heritage Site and  the scope of the STCDA.  Furthermore, these threats needed comprehensive solutions beyond the jurisdiction of the UNESCO-inscribed property boundaries. In reality, they could also be interpreted as challenges to the management system of the property because the historic city could no longer sustain the increasing pressure of urban change and development. The case of the Stone Town of Zanzibar was not unique but yet another example of challenges faced by historic cities. It however underlines the importance of understanding the historic environment within the wider urban context. This is well reflected in the changing attitudes of the World Heritage Committee to urban heritage since the 2005 Vienna Memorandum. In 2009, Zanzibar became the venue for one of the preliminary discussions in the process of preparing the final texts of the HUL Recommendation, highlighting the African context on one hand and the issues that were being faced in Zanzibar on the other. During these discussions, the Stone Town provided a case study to better understand the urban heritage processes and was analysed to offer the local authorities an input for an improved management system and integrated development of the historic city within large urban context. They recommended that the STCDA “develop implementation strategies for its comprehensive management system and prioritized action plan, with the relevant authorities and stakeholders”,5 including policies, decision-making and actions. Although the HUL Recommendation was not yet formulated, it was clear to the participants that Stone Town required an innovative comprehensive approach towards development guidelines and management processes. This meeting brought new ideas on the meanings of urban heritage, influenced the revision of the whole planning system of the Islands and provided new insights to the HUL Recommendation.

30.3  T  he New Zanzibar Planning Process and the HUL Approach In 2011, a fully fledged Department of Urban and Rural Planning (DoURP) was established, and the NLUP was reviewed in order to formulate a new spatial framework of the islands (Fig.  30.3). The process of this revision coincided with the involvement of Zanzibar in the consultation meetings to discuss the application of the HUL Recommendations in the African context. It was clear to the Zanzibar 4  World Heritage Committee Decision: 35 COM 7B.45; Stone Town of Zanzibar (United Republic of Tanzania) (C 173rev) 5  Zanzibar Recommendation on the Application of the Concept of the Historic Urban Landscape In The African Context, Zanzibar, 30 November–3 December 2009.

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Fig. 30.3  Evolution of the planning documents for Zanzibar, columns from left to right, National Plans for the Island, Master Plans for the City, Plans for the Stone Town  – tourism, heritage ­including HUL workshops and World Heritage missions The future plans include a National Plan for 2030 and a NUP for the City which should engage the NUA and the HUL Recommendation

decision-makers that for the economic role to be sustainable, the relationships between the Stone Town, its hinterland and coastal areas need to be enhanced. The importance of the HUL approach was very well understood, as the strategy to anchor the Stone Town in its wider territory. This HUL workshop, as the title suggested, addressed the application of the HUL approach so that the gathering intended not only to go beyond the 2009 meeting but also to test the four tools proposed in the draft recommendation. One clear

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c­ onclusion of the meeting was that the participants encouraged the local authority to promote public-private partnerships and cooperation for identifying and testing tools and procedures adapted to the context of Zanzibar. For that and since 2012, several initiatives aiming to influence a heritage-based urban regeneration to achieve sustainable urbanisation were sponsored with the support of the City of Amsterdam, the Stadsherstel and the Swiss Landscape Architecture Association. Exchanges with various universities in Tanzania and abroad were encouraged to attract students to conduct HUL-related research with Zanzibar as the case study. These initiatives brought on board Swedish and Dutch expertise together with student input from Minnesota, Sheffield, Chalmers and Amsterdam Universities and were an important part of the process to integrate culture in spatial planning and to enhance the role of urban heritage into a new planning system. It also had far-reaching consequences by raising awareness, especially in the academic world. The functions of the newly established DoURP, with its function as facilitator and main advocate, were significant, and the innovating changes must be attributed to the key local players. Their first tasks were to address the decisions of the World Heritage Committee of 2010 (34COM 7B.54) in preparing an EIA/HIA document in 2011. This was followed by further reactive comments indicating “that there are major threats that still need to be addressed”. Subsequently, in 2013, the ICOMOS mission added an independent Visual Impact Assessment (emphasis added). The different nomenclatures of the impact assessments required cause confusion in the application of assessments in the diverse planning regimes. Perhaps, it was for this reason the joint 2014 Reactive Monitoring Report determined that “an integrated and sustainable conservation and development approaches are urgently needed in order to develop practical sustainable management strategies to ensure that the overall coherence of the town and its highly distinctive town planning, architecture and traditional methods and materials of construction are sustained” (UNESCO, ICCROM, ICOMOS 2014). The need to enhance the role of culture as driver and enabler of socio-economic development of the Islands was appreciated as a strategy to reinforce urban and rural linkage. Consequently, instead of reviewing the NLUP of 1995, DoURP decided to formulate a new spatial framework, the National Spatial Development Strategy (NSDS). The most important decision was to completely modify the vision and objectives, firstly, through the direction of development to strengthen urban-­ rural linkages, and enhance cultural tourism with an emphasis on urban heritage. Secondly, the role of urbanisation for economic growth was emphasised, with particular attention on the need to look at sustainable urbanisation. The NSDS was officially adopted in 2015 reforming the planning system to allow for a continuous urban development between the historic city and its wider territory. This strategy, in 2015 and 2016, added to the existing STCDA Board a group of new players, including the Development Control Unit (DCU), the Stakeholders’ Forum and the Heritage Board of Zanzibar. For that reason, the NSDS supported the idea to create a new city centre of the Zanzibar town, in the buffer zone, as had emerged from the research work in 2015 for the fifth Master Plan (structural plan) of Zanzibar. It was also seen as a

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reasonable solution to the challenges faced by the management system of the Stone Town, which was functioning as the Zanzibar town centre and offered little opportunities for growth due to physical constraints. The development of a new city centre in the buffer zone would potentially generate “an added layer of protection” of the Outstanding Universal Value by reducing the economic heat in the historic centre and with a potential to vitalise the social and economic components of Zanzibar town. Hence, the change of the status of the Ng’ambo buffer zone as a part of the new city centre would enhance the role of sustainable urbanisation and improve a desired continuity between the Stone Town and its hinterland through a single management plan including the buffer zone, coordinated by the ZMC and the STCDA.

30.4  A  pplying the Recommendation on the Historic Urban Landscape: Integrative Development Strategies With the 2011 UNESCO approval of the HUL Recommendation, a report on the Historic Urban Landscape Workshops and Field Activities on the Swahili Coast in East Africa 2011–2012 (UNESCO World Heritage Centre 2013) was prepared that included recommendations on the historic towns of Zanzibar, Lamu and Ilha de Mozambique.6 These activities, with the participation of the late Dr. Ron van Oers who was then coordinating the city programme at UNESCO, were another important contribution to the understanding of the real-world issues of urban heritage conservation. Following this, a process was started for the preparation of the Local Area Plan (LAP) of the Zanzibar city centre based on the HUL Recommendation. Although the tools were not applied one by one, the procedures were followed by mapping beyond “the ‘historic centre’ and ‘ensemble’ to include the broader urban context and its geographical setting” (UNESCO 2011). In Zanzibar, the implementation of the HUL Recommendation was also a starting point to look beyond sectorial challenges and land-zoning concepts to reflect on the emerging UN Sustainable Development Goals (SDGs). An international Expert Workshop and Stakeholder Conference took place in February 2014, entitled The Zanzibar HUL Initiative that encouraged the idea of evaluating the development of the Stone Town under the scope of an extended territory. It highlighted the socio-­ economic transformations taking place at this crucial time leading “to increased pressure on land, natural resources, the historic environment, urban infrastructure, housing and the quality of community life. Investors are keen, and isolated projects are plentiful, but the coordination between them is challenging. There is a real concern for the future sustainability of urban Zanzibar…”. This initiative focussed not only on changing the minds and attitudes towards heritage from the monument to 6  This was also the subject of a special essay on Culture and Urban Development in Zanzibar by Muhammad Juma – Can UNESCO’s Recommendation on the Historic Urban Landscape play a role in developing a Spatial Strategy for Culture? (UNESCO World Heritage Centre 2013) pp. 74–76.

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Fig. 30.4  View towards the Park Hotel, the subject of tourist over-development (Juma)

the living city but also allowing the planners with a disciplinary “silo approach”, to appreciate culture as an enabler for sustainable development. With the overall objective of the NSDS to promote local culture and harness the transformative force of urbanisation, the target is to make Zanzibar one of the most sustainable islands in Africa by 2030. At the urban level, this means a New Urban Policy (NUP) by applying the HUL Recommendation, so as to meet these targets of the SDGs and the New Urban Agenda (NUA). However, the development pressures and urgent needs for investment to address poverty and unemployment have strained the capacity of local government to manage the long-term advantages of sustainability. In reviewing the threats of the tourist development projects (Fig. 30.4) and port upgrading, the four joint World Heritage evaluation missions between 2013 and 2016 failed to ­encompass the wider socio-economic issues that may be addressed through strong coordinated governance and a comprehensive planning approach. Although the local professionals saw the potential for applying the Recommendation on the HUL as an approach to understanding the wider context, none of the earlier ICOMOS/ICCROM missions made mention of the Recommendation in the State of Conservation reporting or its potential role, and it has never been indicated in the World Heritage Committee decisions. This created a further dissonance in the messages conveyed to the state party. Further confusion was provided by the demands for an HIA which was still biased towards sites and groups of buildings and lacking an integrative urban approach being detached from

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Fig. 30.5  Civic engagement for facilitating the negotiation between groups with conflicting interests during the development of the Local Area Plan: community participation in one of the visioning events in Ng’ambo

the complexities of national planning processes and mechanisms. Moreover, the ICOMOS directive (ICOMOS 2011) on HIA clearly stated that “an HIA undertaken as part of an EIA [for a World Heritage property] is not additional to normal EIA requirements, but uses a different methodology which clearly focusses on OUV…” (emphasis added), Vrooment et al. (2012). The LAP for the city centre with the HUL approach offered more advantages, as it mobilised and bridged the two important sectors of development – culture and planning. Lately, there has been a desire to find a common language so as to view “public space”, “compactness” and “urban and rural linkage” in the NUA as having an equal prominence with the UNESCO concepts of “outstanding value”, ­“monument” and “creativity”. This is now the challenge for applying the HUL Recommendation in supporting sustainable urbanisation. Sustainable urbanisation is not only in time between generations but in space between areas; the Stone Town sustains the development in Ng’ambo, and Ng’ambo sustains the conservation of the Stone Town. “Linking culture and nature” is another critical concept for sustainability and may be applied by utilising the natural low-­ lying open spaces in the Ng’ambo buffer zone as part of an environmental and “urban sponge”. As such, the NSDS has identified this “urban sponge” for flood management and effective risk preparation for climate change, encouraging the linkage between open space and urban functions and to enhance cultural resilience. It has also created a favourable attitude for investment with the World Bank,

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i­nitiating an important project (Green Corridor) affecting the revitalisation of both the Stone Town and the new city centre. The HUL approach in Zanzibar has also opened new opportunities allowing Zanzibar to embrace the sustainable urban development goals and NUA as an evolving planning process. Finally, the Recommendation of the 2017 UNESCO/ICOMOS Advisory Mission noted that “owing to the complexity of problems, the range of stakeholders and actors and the diversity of factors affecting the Stone Town”, it was concluded that “the time has come to implement a cross-cutting task team to steer the property back on course”. This is a step in the right direction if the context of the wider socio-­ economic problems is also to be addressed.

30.5  Lessons from Zanzibar and the Way Forward The spatial discontinuity between the historic town of Zanzibar and its buffer zone in Ng’ambo has its historic context. When multidisciplinary authorities who are dealing with spatial planning are not under the same umbrella, the discontinuity is inherent in the system. In Zanzibar, three separate institutions are dealing with planning, conservation and urban development. Where professionals in these fields do not have a common platform to interact and bridge their professional views, implementation of the HUL approach is challenging, and the convenience of the project-­ by-­project approach remains. The retrospective analysis reveals both the strengths and opportunities afforded by the HUL approach in Zanzibar. Following the introduction of the approach, the planning actions were engaged to craft a common vision for the development of the Zanzibar city centre. This effort minimised the conflicting relationships between the STCDA and ZMC, enhanced the management of the Stone Town and also provided a platform to discuss comprehensive issues of sustainable development (Fig. 30.5). In Zanzibar, with regard to civil society, the most important outputs of HUL process can be classified into four realms: (i) The better understanding of social and cultural values of the town: An encounter with the inhabitants was essential to practically realise that the cultural-based heritage is a value-based methodology. (ii) The emergence of civic conscience for the inhabitants of the town: This new value-based approach in an era of sustainability and resilience is a new paradigm of “planning by the people”. (iii) Relations between conservation management and development: The inhabitants of the buffer zone (Ng’ambo) started to believe in the equilibrium between conservation and development and link between urban heritage and sustainable urbanisation. (iv) Partnership towards sustainable development: The exchange of knowledge and sharing of experiences between northsouth and south-south enhances the capacity and confidence of local actors to face challenges of the newly urbanised society and environment.

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The positive results of the pilot work have encouraged partners to cooperate in applying the four tools of HUL.7 This process also provides some lessons to reflect on the implementation of the HUL Recommendation, as a catalyst for an integrative development strategy in the African context. In Zanzibar, the process was organised under the planning department, which is a centralised institution, dealing with urban and rural planning. The working culture of this recently established institution enables the emergence of creative ideas and attitudes that bridge culture, heritage and a value-based approach within the urban planning practice. With traditional practice in planning, conservation and heritage, local institutions are still hesitant in sharing their power, thereby weakening the capacity to manage and develop both the Stone Town and the Zanzibar town. Consequently, Zanzibar town, especially the historic part, becomes vulnerable to development pressure. Although the HUL approach advocates integration, professionals still camp on their traditional position; more awareness and pedagogic tools are needed to influence a novel approach. The years 2015 and 2016 have seen four critical global documents relating to our cities  – the UN International Strategy for Disaster Reduction (UNISDR) Sendai Framework for Resilient Cities, the UN SDGs, the Paris Agreement on Climate Change and the UN-Habitat III NUA together with the UNESCO Global Report on Culture: Urban Futures (UNESCO Culture Sector 2016). Currently, the HUL Recommendation is supporting the SDGs and particularly Goal 11, safeguarding the world’s cultural heritage “to make our cities and human settlements safe, inclusive, resilient and sustainable”. All these documents are relevant to the conservation of urban heritage, and we have, as of yet, to bring this debate to a common denominator to ensure an intelligent application of these tools for local professionals. The multiplicity of papers and directives creates misunderstandings at the local level and a bureaucracy that brings urban heritage into the realms of being the enemy of progress. It seems that for the HUL approach to gain priority within national planning programmes, it will have to address these global agendas. In the case of Zanzibar, the planning authority has the chance to engage the UN-Habitat in its process to prepare a NUP as a tool for NUA; as such, HUL will be part of the implementation of NUA. Yet in a situation where the HUL Recommendation has been anchored in the cultural sector alone, the HUL approach will be marginalised and lose its priority in the national agenda. A more effective evaluation methodology for understanding the causes and effects of non-sustainable development on the city in general and the urban heritage in particular is needed. Rather than independent HIAs, the EU has prepared simplified guidelines for an integrative impact assessment process, defining “material assets, cultural heritage and the landscape” as components of “environment” and

7  (a) Civic engagement tools, (b) knowledge and planning tools, (c) regulatory systems, (d) financial tools.

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demanded simplification in the material collected and distributed.8 Assessments are now being required for heritage and risk together with other socio-economic factors of the city. This integrative approach should be adopted by the World Heritage Committee, while an up-to-date paper should be prepared that will increase the applicability of the Recommendation on the HUL demonstrating how the 2015– 2016 global documents can be used for culture as an enabler for sustainable development. This document should also prioritise the issues of “inclusive, safe, resilient and sustainable” and translate them into urban actions that will allow urban heritage to influence growth accommodating new urban values on walkability, density and the green city. The EU actions of URBACT/HerO (City of Regensburg 2011) and SUIT (Directorate-General for Research and Innovation 2005)9 provide a body of knowledge, and the unpublished work of the World Heritage Centre builds on these characterisations to recommend a more comprehensive taxonomy for use in the World Heritage arena and beyond. A major debate in the application of the Recommendation is in the understanding as to whether the Historic Urban Landscape is being used as a category. In spite of much exposure to the HUL Recommendation, it has been difficult to explain the terminology as an approach. This is more than critical inasmuch as the proposal to use a term “urban heritage” has not been seriously debated, though there have been a number of documents that expand on this and similar terms. The gathering of the many global examples for the HUL reporting to the UNESCO General Conference in 2019 and the reopening of Annex 3 of the World Heritage Operational Guidelines will be a major milestone in the evolution of the role of urban heritage for the city of the future. The authors would like to recognise the dedication of their colleague the late Professor Karel Bakker in the evaluations of the heritage values of the Stone Town of Zanzibar.

8  The Directive 2014/52/EU of the European Parliament and of the Council of 16 April 2014 amended the Directive 2011/92/EU on the assessment of the effects of certain public and private projects on the environment and in the promotion of efforts to simplify the preparation of impact assessments. 9  HerO, Heritage as Opportunity, was to develop integrated and innovative management strategies for historic urban landscapes and was part of the URBACT action being the European Territorial Cooperation programme aiming to foster sustainable integrated urban development in cities across Europe. SUIT was a programme for sustainable development of urban historical areas through an active integration within towns.

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References Ali, M. H., & Sulaiman, M. S. (2002). The making and contents of Zanzibar national land use plan: A brief account on a donor funded project. FIG XXII international congress  – Urban regeneration and environment, Washington, DC. Bakker, K. A., & Eloundou, L. A. (2008). Mission to the Stone Town of Zanzibar. Paris: UNESCO World Heritage Centre and ICOMOS. City of Regensburg. (2011). The road to success  – Integrated management of historic towns ­guidebook (p. 83). Regensburg: City of Regensburg. Commission of Land and Environment. (1995). National land use plan: 1. Appraisal – Analysis of potentials and issues 2. Policies and proposals. Zanzibar: COLE. Directorate-General for Research and Innovation. (2005). Guidance for the environmental assessment of the impacts of certain plans, programmes or projects upon the heritage value of historical areas, in order to contribute to their long-term sustainability (Research report no. 16). Luxembourg: The Publications Office of the European Union. ICOMOS. (2011). Guidance on heritage impact assessments for cultural world heritage properties. Paris: ICOMOS. Lanchester, H. V. (1923). Zanzibar, a study in tropical town planning. Cheltenham: Ed. J. Burrow &, Ltd. Middleton, J. (1992). The world of the Swahili: An African Mercantile civilization. New Haven: Yale University Press. Sheriff, A. (2010). Dhow cultures of the Indian Ocean – Cosmopolitanism, commerce and Islam. London: C. Hurst & Company. Siravo, F. (1996). A plan for the historic Stone Town. In Historic Cities Support Programme (Ed.), Zanzibar Stone Town projects (pp. 34–47). Geneva: Aga Khan Trust for Culture. Strandes, J.  (1961). The Portuguese period in East Africa (J.  Kirkman, Ed.). (J.  F. Wallwork, Trans.). Nairobi: East African Literature Bureau. UNESCO. (2011). Recommendation on the historic urban landscape (p.  6). Recommendation. Paris: UNESCO. UNESCO Culture Sector. (2016). Culture urban future – Global report on culture for sustainable urban development (p. 304). Paris: UNESCO. UNESCO, ICCROM, ICOMOS. (2014). Joint reactive monitoring mission to the Stone Town of Zanzibar. Paris: UNESCO World Heritage Centre. UNESCO World Heritage Centre. (2013). Swahili historic urban landscapes – Report on the HUL workshops and field activities on the Swahili Coast in East Africa 2011–2012 (p. 127). Paris: UNESCO. United Nations Centre for Human Settlement. (1983). The Stone Town of Zanzibar: A strategy for an integrated approach. Nairobi: United Nations Centre for Human Settlement. Vroomen, Y., ten Hoope, D., Moor, B., Pereira-Roders, A., Veldpaus, L., & Colenbrander, B. (2012). Assessing the cultural significance of world heritage cities: Zanzibar as a case-­ study. 6th international seminar on measuring heritage conservation performance. CECI and ICCROM, pp. 67–74. World Tourism Organization. (1983). Zanzibar Tourism Development Plan. Madrid: World Tourism Organization. Zanzibar Government. (1958). Zanzibar Planning Scheme. Zanzibar. Zanzibar Government. (1968). Zanzibar Town Scheme. Zanzibar. Zanzibar Government. (1982). Zanzibar Master Plan. Zanzibar.

Case Study Boxes: Full Text

1 . Applying the Recommendations on Historic Urban Landscape: Post-conflict Reconciliation in Old Aleppo Ataa Alsalloum Aleppo, Syria Old Aleppo has been severely damaged as a consequence of the armed conflict in Syria, started 2011. Despite such devastation, Old Aleppo, as a historic urban landscape site, has strong opportunities for recovery. This would be achieved if the historic urban landscape (HUL) was applied as an inclusive reconciliation tool. The HUL approach creates a balance between tangible reconstruction and intangible reconciliation, as it integrates urban heritage reconstruction and sociocultural, economic, and moral revitalization. HUL aims to safeguarding not only the values of the national and international communities but also the traditions, knowledge, and the values of heritage for its local communities. Indeed, the values of the ancient city of Aleppo are not only in its tangible designation values, but they are also embodied in its intangible attributes. The reconstruction of its survived structures and exceptional monuments, such as the citadel, great mosque, khans, souks, churches, and hammams, should be reinforced by revitalizing its previous traditional sociocultural and economic traditions, knowledge, and activities. This should be proceeded by a practical application of the HUL through cooperation between the international bodies, local authorities, and, most important, Old Aleppo’s communities. Related to Chap. 3.

© Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2

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2 . Understanding to What Extent the HUL Approach Is Present in Amsterdam’s Local Urban and Heritage Policies Loes Veldpaus and Helma Bokhove Amsterdam, The Netherlands This project aims to understand to what extent the HUL approach is present in Amsterdam’s urban and heritage policies. The research is based on a series of three workshops (2014) and six peer interviews (2016). Heritage management processes are systematically compared and discussed in relation to heritage concepts, using a policy analysis matrix (Veldpaus, 2015), following the “critical HUL steps.” This is done not to judge the appropriateness of local policies or rate their successfulness, but rather to understand which concepts of heritage are used and how they are applied. The results are used to facilitate further debate and learning, using the insights and reflections that emerged. The wider aim of the research is to develop and test a method to undertake systematic comparison of policies that can facilitate inclusive debate on the concepts and ideas that define local and international heritage management. Related to Chap. 6. Reference: Veldpaus, L. (2015). Historic urban landscapes: framing the integration of urban and heritage planning in multilevel governance. Eindhoven. Retrieved from http://www.tue.nl/en/publication/ep/p/d/ep-uid/482697/

3 . Overarching Urban Planning Guidelines for the Historic Perimeter of Asmara Dennis Rodwell Asmara, Eritrea The objective of this mission was to prepare overarching guidelines for the historic perimeter of Asmara in the context of the city as a whole, coordinating specialist studies already prepared and in hand, all to promote a holistic approach to heritage protection and sustainable urban development. The mission was undertaken within the framework of the Cultural Assets Rehabilitation Project (CARP), an initiative of the Eritrean government and people supported by the World Bank; the mission coincided with the UNESCO World Heritage Centre’s Regional Meeting on Modern Heritage held in March 2004. A major determinant was understanding and respect for Asmara’s multilayered, interactive, and evolving tangible and intangible cultural

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heritage traditions, embracing indigenous cultures, the colonial and Modernist era, and today’s status as the capital city of a re-emerging nation. Reference: Rodwell, D. (2004). Asmara, Eritrea: Conservation and development in a historic city. Journal of Architectural Conservation, 10(3), p. 4 and pp. 41–58.

4. Historic Urban Landscape: Ballarat Susan Fayad and Kristal Buckley Ballarat, Australia The city of Ballarat was part of the pilot phase for the HUL approach. The city of Ballarat was part of the pilot phase for the HUL approach. HUL has been applied as a whole-of-city development framework in response to challenges such as the city’s above-trend growth projections, climate change, and a changing economic future. HUL has helped the city move heritage from being a single planning consideration to central to the future of the city. A strong focus on participatory engagement has enabled local citizens to lead how their city evolves and, as a result, transformed the city’s approach to urban conservation and city management, energizing practitioners, citizens, and stakeholders. HUL has enabled strong policy commitment to a future for the city that builds on its distinctive identity and diverse cultures, embraces sustainable development principles, and strengthens community pride in place, liveability, and well-being. Ballarat’s experience shows that practices can be transformed in local government, other levels of government, and heritage. Related to Chap. 7. Further Reading: www.hulballarat.org.au; www.visualisingballarat.org.au

5. Centro Cultural Kirchner (CCK) Francesca Ferlicca Buenos Aires, Argentina The Centro Cultural Kirchner is a cultural center located in downtown Buenos Aires. It is modern and has wide space, dedicated to fine, performing, visual, and digital arts, education, conferences, and exhibitions, completely open and free to the

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public. It was opened on May 2015 and is located in the former Central Post Office, declared National Historic Monument in 1997. By 2009 the last-century building has been converted into the fourth largest cultural center in the world. Among its main attractions are La Ballena Azul, a symphonic music hall, a chamber music room, a hanging glass structure that emulates a great lamp, and La Cupula, the illuminated dome. Since its inauguration, it represents an important landmark that enhances community engagement, participation, and valorization of local heritage. According to the HUL recommendation, the project involves communities, decision-makers, and professionals, in order to foster understanding of the historic urban landscape. Further Reading: http://www.cck.gob.ar

6. Mapping the Historic Centre of Bukhara Ona Vileikis and Sanjarbek Allayarov Bukhara, Uzbekistan During 5 years, a multicultural, multidisciplinary, and multi-institutional team surveyed the Historic Centre of Bukhara, World Heritage property. The Silk Roads opened the doors to the team who conducted door-to-door interviews to the residents and owners, as well as the condition and value assessment of the dwellings and cultural heritage within the historic center. In total 4063 dwellings were surveyed, including around a hundred traditional Bukharian houses and 180 historic buildings. Information, including photographic records, was stored as a geographic information system (GIS) database that served the responsible authorities to develop the management plan and will support the future decision-making. Although the mapping of the historic city started 3 years before the HUL recommendation was adopted, its aim was in line with the HUL first step: mapping in order to first understand what you have. Related to Chap. 9. Further Reading: unesco.org/new/en/tashkent/about-this-office/single-view/news/kheili_kheili_ protecting_our_heritage

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7. HUL in Historic Cairo: A Potential Community Initiative Alaa El-Habashi Cairo, Egypt Historic Cairo is among the largest WH city, with numerous attributes of outstanding value to be protected, a task considered as limitations for development and as burdens on local authorities. The somewhat protection of buildings registered as monuments is an effort whose effect is negligible considering the vast historic built fabric, mostly listed as imminent for collapse, and consistently being demolished. Heritage lovers and conservation activists been aware of the continuous disfiguration started to intervene. The experience explained here started saving a historic building with the support of UNESCO from a demolition decree. Once the building was bought and restored, values started to gradually surface to raise the appreciations of the community members and some local authorities. This has led to establish in the building a center for the regeneration of the historic city which mediates between the local community and the various related authorities and attracts new owners to restore other vacant historic buildings. The center also surveys the local crafts in order to develop them as means to sustain local economy and to raise appreciation to local heritage. In addition, a community awareness program empowers women through heritage activities and crafts and teaches kids cultural aspects such as the Arabic calligraphy and geometric bases of decorative designs of surrounding buildings. The experience has attracted more appreciations and larger community engagement, confirming that Historic Cairo needs its community leadership to manage its neighborhoods through the support of the local authorities. Even though scattered in Historic Cairo, this experience and few others are gaining momentum to confirm that the civil society is capable to employ available tools to apply HUL approach in order to regenerate the WH city. Further Reading: https://www.facebook.com/TurathGroup/

8 . Reassessment of the Cultural and Natural Heritage of the City of Cuenca Based on Strategies for Sustainable Development Supported by the Recommendation on Historical Urban Landscape Julia Rey-Pérez, Sebastián Astudillo Cordero, and María Eugenia Siguencia Ávila Cuenca, Ecuador

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The implementation process of the HUL approach in Cuenca has been an initiative led by the Faculty of Architecture and Urbanism of the University of Cuenca, Ecuador, funded by the Research Department of the same university (DIUC), and supported by the Ministry of Education, Culture and Science of the Netherlands (in trust with UNESCO). Through a research project, whose main axes have been interdisciplinarity, citizen involvement, and commitment to a new way of dealing with heritage, it has been wanted to understand and value the urban heritage of Cuenca beyond the declaration as World Heritage. Using the definition of HUL, the six steps, and the tools suggested by the recommendation, an applied research methodology has been developed that, based on the values and cultural attributes defined by all the possible actors, has allowed the definition of a series of good practices to ensure sustainable urban development in the city of Cuenca. Related to Chap. 11. Further Reading: https://go-hul.com/2016/11/08/cuenca-ecuador/

9 . Mapping Economic Landscape for the UNESCO World Heritage City Old Towns of Djenné Christian Ost Djenné, Mali In March to April 2009, a short survey was conducted (prepared by Kathleen Louw, Getty Conservation Institute), in collaboration with the Cultural Mission of Djenné. The questions were structured to roughly capture the direct and indirect use values of Djenné’s built heritage for the year 2008. The survey covered 13 neighborhoods (for rental values, conservation projects), 11 visited cultural sites (for conservation and visitor fee values), and 16 heritage-related businesses (hotels, restaurants, punt transport, art and crafts, masons, guides). The Djenné test case was aimed to collect data to test the digital mapping in order to measure use values of the city’s heritage. Nonmarket benefits were not addressed in the survey. Ymoussa Fané, Chief of the Cultural Mission of Djenné, coordinated the survey completion with the local tourism, urbanism, and other authorities and provided data on which the neighborhoods, historic buildings, and business were identified. Final mapping provided a tentative rendering of historic economic landscape of the place, which was included in a report on Heritage Economics in Historic Cities, by Prof. Christian Ost, in-residence scholar at the Getty Conservation Institute in 2008–2009.

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1 0. Sense of Place: Toward Integrated Conservation and Sustainable Urban Hiba Alkhalaf Edinburgh, United Kingdom of Great Britain and Northern Ireland This research initiates a critical dialogue to understand the possible roles of sense of place within heritage conservation and sustainable urban development. It proposes that sense of place-based approach can be used as a tool to analyze development projects within its wider cultural and natural landscape. This tool unpacks the complexity of local values and global narratives contributed to the construction of sense of place. By effectively engaging various users and stakeholders, it redefines heritage management to achieve more efficient integration within the planning system. Through applying this approach to the case of Edinburgh, it shows that the role of sense of place in the historic urban landscape can be channeled into three main dimensions: the place itself (value assessment and designations), the people (stakeholders and public participation), and the process (planning system and policies). It concludes that sustaining sense of place entails balancing three main goals: conserving the physical structure, the suitability of new use, and community development.

1 1. University of Pennsylvania Planning Praxis Course: How Do the HUL, Sustainable Development Goals, and New Urban Agenda Fit into a Local Planning Framework Donovan Rypkema Galway, Ireland Each year the graduate program in Historic Preservation at the University of Pennsylvania in the United States conducts a planning praxis course at an international location. In 2017 this was done in County Galway, Ireland, in collaboration with ICOMOS/Ireland and the Architectural Conservation Office of the Planning Department. A primary purpose of the course was to evaluate how existing local planning laws and policies were consistent with the UN Sustainable Development Goals, the New Urban Agenda, and could the existing tools and strategies be rearranged to conform with the HUL framework. Even though this was a university course and had no official status, the active participation of both county government officials and local ICOMOS members has meant that the student work has received attention far past the end of the course. The students’ analysis demonstrated that the HUL approach provides an effective context with which to review existing local laws and policies.

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1 2. Urban Rehabilitation of the Historic Centre of Havana, World Heritage Site Pablo Fornet Havana, Cuba In Old Havana the heritage management process begun in 1993 reinforced the role of a leading public institution (the Office of the City Historian) through a comprehensive plan and financing mechanisms that ensure overall sustainability. The historic center has benefitted from a boost in the local economy, and hundreds of buildings have been restored with an eye to retaining the resident population, one of the project’s key premises. In the past 5 years, some facts and tendencies both at national and local levels are generating an entirely new dynamic. The current scenario poses a challenge and an opportunity for a city that is recognized for its outstanding heritage values and also for its longtime practices of heritage preservation. Although HUL approach has not been explicitly implemented so far, more than three decades of urban rehabilitation and planning show obvious references to most of its steps and tools, clearly “integrated in tools already existing” as Jukka Jokilehto states. At present, there is a pressing need to define a buffer zone that allows a new point of view regarding historic urban landscape of Havana Bay and its environs. Related to Chap. 13. Further Reading: www.ohch.cu; www.planmaestro.ohc.cu

1 3. Living Human Treasures of Grand Bazaar: Istanbul Jewelry Making as an Intangible Urban Activity Yonca Erkan and Ayse Coskun Orlandi Istanbul, Turkey The jewelry making in Grand Bazaar, Istanbul, is a tradition that goes back to early Byzantine times. In the 2000s, Turkey began to attain a leading position among countries that process gold and sell it as jewelry. The most important force behind the success of the jewelry sector was the mastery of precious metal processing, an extension and consequence of the multilayered cultural heritage Turkey possesses. Today, the traditional practice is under threat of mass production and social transformations. The interdisciplinary research approach bringing together cultural heritage and design innovation allowed studying the role of intangible heritage in urban areas. Through field research extending over 2 years, 57 traditional jewelry masters

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were documented. The impacts of continuation of this tradition are scrutinized for its role for the community, contribution to space, capacity of innovation, as well as transmission to future generations. To communicate the findings of the research, this data then transformed to an exhibition, Gem and Craft: In Pursuit of the Artisans of Grand Bazaar, at the Rezan Has Museum (February–November 2017). The exhibition gave recognition to jewelry making as an urban art and those who produce them. Further Reading: http://www.rhm.org.tr/en/event/gem-and-craft-in-pursuit-of-the-artisans-of -grand-bazaar/

1 4. Jaipur Built Heritage Management Plan and Urban Conservation Projects Shikha Jain and Rohit Jigyasu Jaipur, India The Jaipur Heritage Management Plan prepared in 2007 is recorded as one of the first initiatives of a city level plan for heritage sector in India. It became part of the Jaipur Master Plan 2025 and was recognized as a best practice example by the National Institute of Urban Affairs, Ministry of Urban Development, Government of India in 2015. Also, as a UNESCO Network City of Crafts and Folk Art since 2015, Jaipur Municipal Corporation has a commitment for socioeconomic upgrade of the crafts sector in the historic city area, thus safeguarding its intangible and tangible values. Key urban conservation projects for the historic core of Jaipur are now being implemented as part of the Smart City Plan under the Ministry of Urban Development, Government of India (from 2016 onward). Though unintentionally, Jaipur presents an interesting synchronization with the application of community, economic, planning, and regulatory tools as outlined in the Historic Urban Landscape Recommendations. Urban conservation in Jaipur intends to foster the creativity and imagination of its people using its rich cultural resources to showcase a model of sustainable development despite increasing pressures of development. Related to Chap. 15. Further Reading: https://pearl.niua.org/sites/default/files/books/GP-IN4_HERITAGE.pdf

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15. The Revitalization of the Historic City of Jeddah Simone Ricca Jeddah, Saudi Arabia The Old City has been included in the metropolis strategic planning and given relevance in the new master plan being designed. Historic Jeddah has become, for the first time, part of the overall economic strategic thinking for the future of the city and of the Kingdom of Saudi Arabia. While the earlier conservation strategies aimed at “preserving” heritage as memory of the past, setting it apart from urban development, the new plans aim at including heritage in the urban and economic dynamics. The new vision tackles the complex issue of the revitalization of historic Jeddah at different levels, involving a large number of stakeholders, among which Jeddah Chamber of Commerce and Industry, Old City Owners’ Associations, and local NGOs. For the first time, also the awaqf, the administration of religious Islamic endowments, is actively participating to the revitalization process. Further Reading: www.hulballarat.org.au; www.visualisingballarat.org.au

1 6. olomna: Cultural Memory as a Resource for Developing a Historic City Elizaveta Levitskaya Kolomna, Russia In soviet times Kolomna was excluded from popular tourist routes, as there was based a secret military construction bureau and the access to the city was limited. In the 2000s the revitalization process started in the historic city, where the center comprises of 35 HA of urban fabric untouched since the nineteenth century. The restoration of the Kremlin served as an impulse for the development of local creative industries. It was followed by several projects: land-art project “ice house” (reconstruction of ice slides from the nineteenth century), museum and reconstruction of the factory of the Kolomna pastille, museum of the Kalach (Russian bread) and museum of the Kolomna coin, and art residence “Art-kommunalka” – all concentrated in the historic part of the city. Over 8 years the revitalization of the center together with creative industries yielded a threefold increase in tourists visiting and activation of the local business. However, the city lacks a holistic and integrated cultural strategy, and the development needs to be brought from the sporadic to a

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systematic level to attract investment and at the same time to preserve vulnerable historic urban landscape of Kolomna. As for the HUL approach, Kolomna has great potential as it engages community and benefits from the regulatory systems (historic cities are relatively well protected and supported). It gets financial support from diversified sources. However, it lacks planning tools to provide comprehensive framework for its sustainable development. Related to Chap. 7. Further Reading: www.hulballarat.org.au; www.visualisingballarat.org.au

17. Possible Project: HUL+KMP4 Roha Khalaf Kuwait City, Kuwait According to the UNESCO Transparency Portal website, the project to implement the recommendation on the HUL in the State of Kuwait has been underway since March 2015. The National Council for Culture, Arts and Letters (NCCAL) is overseeing this project. In order to make the HUL approach happen on the ground, the six-step HUL action plan should ideally be integrated into the State’s planning framework. In this regard, it is noteworthy that the municipality recruited the international consultants Perkins+Will and Dar Al-Handasah in November 2016 to prepare the fourth Kuwait Master Plan (KMP4), expected to be completed in 2018. It will be interesting to see how (and if) the HUL action plan will be integrated into KMP4. Such an integration would require coordination between different urban actors/stakeholders including, but not limited to, the council of ministers, the municipality, the ministry of public works, the NCCAL, and the international consultants. Related to Chap. 16.

1 8. Integrating HUL into the Conservation and Development Processes of the Lamu Old Town Salim Bunu and Mohammed Ali Mwenje Lamu, Kenya The Lamu Old Town, a national monument and World Heritage site, is facing major challenges in its conservation as a result of inordinate population growth, urban

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sprawl, and insufficient resources for upgrading the social infrastructure. In response to the rapid urbanization in Kenya, the government has been running a number of urban development programs aiming at resolving the emerging urban challenges. Unfortunately owing to its unique nature, Lamu Town has not been an active participant in many of these urban development programs. The managers of the town have been struggling to devise suitable intervention measures. The opportunities of the HUL tools have been considered in the development of the county spatial plan and are key in mapping out future strategies for the resolution of the urban challenges facing the town. Previous HUL activities in Lamu have laid the ground for incorporation of the HUL tools into the planning and development agendas. Related to Chap. 17.

1 9. Not a Formal Project on HUL: Simply Practices Associated with the Management of the UNESCO Site of Lijiang, China (Listed in 1997) Luca Zan and Tao Wang Lijiang, China Lijiang city, China, is one of the most controversial heritage sites in China (kind of worse practice also as HUL approach). This site suffers from an excess of mass tourism, where economic exploitation seriously undermines the conservation of the site. Indeed the site is composed of three different villages, with no coordination among them. Focusing on the major two (Dayan and Shuhe), a tension between conservation and exploitation emerges, with an interesting articulation of the notion of conservation. Neither site is able to find an ideal balance between conservation of the material aspect (tangible) and the social fabric of local population (and the Naxi minority in particular). Attempts to achieve this balance have led to diverging approaches and results; one site protects the artifact but feigns the social fabric, while the other has created a new area in the village to deflect visitor attention, protecting the old town and its social and agricultural activity. Related to Chap. 18.

2 0. Urban Heritage of the Mediterranean: Interdisciplinary Methodologies for the Characterization of the Infrastructural Axis of the Andalusian Littoral and Its Synergies with HUL Recommendations María del Mar Loren Méndez Malaga, Spain

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This case study presents a research undertaken in the Mediterranean network of South European cities, focusing on Malaga. Malaga is a historic city on the Andalusian Mediterranean littoral, at the limit with the Atlantic Ocean, between Europe and Africa. Unlike the centralizing condition of cities such as Seville or Cordoba, Malaga consisted of a node in a decentralized territory, a city within a littoral urban network, a characteristic feature of the Mediterranean territory. This interdisciplinary research, which has been grant-aided by the European Regional Development Fund, has looked at the city as part of the littoral Mediterranean roadway corridor, proposing the infrastructure as its main argument for urban heritage characterization. The integral historical layering of natural and cultural values, the study of their legal protection within urban and regional planning, and the identifying areas of heritage sensitivity corroborate the study’s contribution to the HUL discussion and new strategies to contemplate the singularities of each city, of each landscape. Further Readings: https://n-340.org Published methodology and new terminology in Geographical Review: http:// onlinelibrary.wiley.com/doi/10.1111/j.1931-0846.2016.12203.x/abstract “Intentional creations on urban tourism. The case of the city of Malaga: from its historical paradisiacal imaginary to the 21st century Picasso fiction as detonator of an urban cultural park” Tourism&Architecture, Routledege, 2018.

2 1. Mexico City Historic Center Recovery and Rehabilitation Programs Deniz Ikiz Kaya Mexico City, Mexico An inclusive management model was implemented for the Historic Center of Mexico City following a series of urban regeneration interventions activated by the recovery and public commerce programs that respond to the demands of effective management systems and empower the civil society. The federal government collaborated with the Historic Center Authority and the Historic Center Trust to commit to the coordination and management planning. At different stages the planning process engaged various other actors, including the governmental entities, independent local governmental parties, private actors, universities, and experts. The management plan was adopted in 2011 and later revised in 2016. Although the management plan did not make a direct attribution to the HUL definition and approach, several tools and strategies adopted align with the main tools, such as grassroots initiatives and the operation of smart technologies to engage local

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community as public participation tools, the designation of management site and buffer zones as regulatory systems, and the establishment of public-private partnerships with national and international investors as financial tools. Related to Chap. 19.

2 2. Mudurnu Cultural Heritage Site Management Plan: Phase I Ege Yildirim Mudurnu, Turkey This project covers the preparation of the Mudurnu Cultural Heritage Site Management Plan and the first phase of its implementation (2014 to 2018), which evolved from an academic project into a professional plan commissioned by Mudurnu Municipality, with funding from the East Marmara Regional Development Agency. Mudurnu is a small but historically strategic Silk Road town, inscribed on Turkey’s UNESCO World Heritage Tentative List as “The Historic Guild Town of Mudurnu,” its Outstanding Universal Value proposed as the best urban manifestation of Akhism, the Anatolian merchant guilds tradition, both through its rich and diverse built heritage and the ritual practices. During the management plan, this diversity of heritage was recognized as a historic urban landscape, beyond a conventional urban conservation site, which the town center was legally categorized as. The identification of management plan boundaries took into account this multiplicity of heritage layers, which was proposed jointly by community members and the planning team. Another innovative aspect is the application of the national site management legislation to a small settlement, not necessarily for a World Heritage nomination but to help the local community embrace a strategy for tourism-led sustainable development. The implementation of the plan involved collaborative efforts of different stakeholders using diverse types of resources, not just financial but in kind and logistic support, blending civic engagement and financial tools. Further Readings: Official website (Turkish): http://www.mudurnualanyonetimi.org/ Blog Post (English): https://sustainablepreservationinitiative.wordpress. com/2014/01/31/guest-blog-post-a-cultural-heritage-management-plan -for-mudurnu-turkey-forging-heritage-led-sustainable-development-strategies/

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2 3. Adopting HUL Toolkits in Muharraq: The Bahrain Authority for Culture and Archeology (BACA) Alaa El-Habashi Muharraq, Bahrain Historic Muharraq gained quite recognition after listing a series of its cultural properties as World Heritage representing the city’s historic economy once based on the pearling industry. The registration has paved the way for conservation frameworks, concepts, and techniques to be introduced into Bahrain. Despite BACA’s continuous efforts to integrate it, the local community with its mixed backgrounds, either the native who continued residing the city or the foreign laborers who moved in for affordability, had limited participations. The natives felt deprived from their rights to develop their properties, and foreigners realized that development will boost the real state to unaffordable limits. An ROT system, restore-operate-transfer, was proposed by BACA as one means to encourage the community to explore the potentiality in investing in heritage buildings. The government acquired a number of those about to be demolished due to their bad state of conservation, repaired them, and undertook minimum restoration works to reveal their heritage values. The buildings are then auctioned for rentals to potential tenants willing to continue the rehabilitation works. In return, the selected tenants would have the right to use the heritage buildings for durations of time calculated against the investments made. In parallel, BACA leads media campaigns, community awareness programs, and a large urban regeneration project in selected areas in the historic center. Most of the HUL toolkit has been explored in that Bahraini experience to engage the local community quickly enough to refraining disregards to heritage buildings and to assuring sustainability for accomplished results. Would this experience, whose initial evaluation is set by the end of 2019, achieves its goals, it will certainly offer a pioneering experience in the Arab region.

2 4. Preservation and Conservation of the Historic Site of Olinda Silvio Mendes Zancheti Olinda, Brazil The Historic Site of Olinda is a good example of an incremental system that incorporates progressively instruments of urban planning, conservation management, monitoring, documentation, citizen participation, funding, and others that closely

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followed what would be a similar approach to that proposed by HUL. It is a good example of an incremental conservation system constructed closely to the dynamics of local development process. It shows forward and backward movements as it is expected in a complex and democratic society. Also it reflects the more larger-scale movement of the interpretation of what is the cultural heritage of an urban historic site. The central questions that the HUL approach tries to help answer constitute the core of the today challenges for the planning and conservation system of the Historic Site of Olinda. Related to Chap. 21. Further Reading: http://portal.iphan.gov.br/pagina/detalhes/33

25. Porto Municipal Master Plan (PDM) Teresa Cunha Ferreira and Ana Tarrafa Silva Porto, Portugal The Municipal Master Plan of Porto is a broad tool covering the whole municipal territory, corresponding to the city area. It is a spatial planning tool that, theoretically, results from a negotiation process between all interested parts. Among the Portuguese spatial planning tools is the only one that is mandatory, binding public and private actors. Besides establishing the general orientations, it must identify the municipal territory resources, including heritage (Heritage Charter), for which it should also define valorization strategies. Therefore, this instrument appears, in the Portuguese context, as the most suitable to apply HUL approach as it is the basic regulatory framework dictating the rules for urban development. However, to achieve satisfactorily the HUL steps, it needs some improvements, such as the integration of vulnerability assessment actions/tools and the effective integration of other actors, both in assessment and in implementation phase. Related to Chap. 23. Further Reading: http://balcaovirtual.cm-porto.pt/PT/cidadaos/guiatematico/Planeamento Ordenamento/Plano%20Diretor%20Municipal%20(PDM)/PDM%20 %E2%80%93%20Em%20vigor/Paginas/default.aspx

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26. Historic Preservation Toolkit Donovan Rypkema Raleigh, NC, USA The City of Raleigh, North Carolina, issued a request for proposals for a “historic preservation toolkit” that specifically stated, “The contractor will consider tools that fall into several project areas, which may include financial tools, policy tools, regulatory tools, and organizational tools.” The firm Heritage Strategies International responded and was ultimately selected for the assignment and explicitly redefined the city’s framework into the HUL group of tools. Twelve policies/strategies/tools were recommended, including two or three in each of the HUL tool categories. Examples of recommendations were conditional use permit (regulatory), property tax exemptions for long-term heritage district residents (economic), systematic surveying/documentation (knowledge and planning), and matching grants to neighborhood-based organizations (community engagement). Prior to making recommendations, extensive stakeholder focus groups were conducted. For each of the recommendations examples were selected of other US cities, and whenever ­possible international examples, applying with success the recommended tool.

2 7. Preparatory Assistance and Technical Support for the Inscription, Conservation and Management of the Île De Saint-Louis, Senegal Marie-Noël Tournoux Saint-Louis, Senegal The Île Saint-Louis, inscribed on the World Heritage List in 2000, is one of the flagship cities of colonial history in West Africa. It presents a complete architectural, urban, and rural landscape, which is remarkable and highly varied. At the request of Senegal, the World Heritage Centre, with the support of France, embarked on a long process of support to both national and municipal authorities for the protection, management, and enhancement of the site, as well as the development of tools and management mechanisms. This assistance was also technical support through decentralized city to city cooperation between Saint-Louis and Lille Métropole, France. The challenges were to develop mechanisms for the management, monitoring, and oversight to protect heritage and to promote the sustainable development of Saint-Louis, by considering heritage, culture, and local projects. Hence, a set of tools was developed; to improve knowledge of the site, a full inventory of built heritage and its setting was carried out; to protect and manage the site, a full protection

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and enhancement urban master plan was developed; and to address governance issues, an institutional management framework (Heritage House) was developed. The social concerns of the island’s residents were addressed, with a pilot microcredit scheme for families, with projects bringing together economic activity and care for the heritage and its environment. Subsequently, the emphasis was placed on the riverine nature of the town and on large-scale environmental issues and urban planning. Given the challenges of providing further training and ensuring long-term collaboration through effective coordination between the different participants, and particularly international aid consistency, the challenge was to associate a positive conservation status, as part of this broader approach to the area, in 2010, with sustainable support for the restoration of heritage in Saint-Louis, both private and public. Today the challenge remains to ensure political commitment for managing change and including culture and heritage as core assets for ensuring quality of life for the inhabitants. Further Readings: http://whc.unesco.org/en/280/?id=33& http://whc.unesco.org/en/list/956

2 8. Scenarios for Sustainable Rural Development in Shuang Wan Cun, Wujiang District, Suzhou Giulio Verdini and Feiran Huang Shuang Wan, China The aim of the research was to support the local government of Shuang Wan Cun in achieving a durable and sustainable development, according to the principles of the National Urbanization Plan (2014–2020). To achieve this goal, a multidisciplinary team cooperated with two natural villages (Xu He Wan and Da Gong Wan) at Shuang Wan Cun, to provide policy recommendations on how to balance economic development and conservation of local resources. The methodology adopted was based on UNESCO HUL approach, particularly in the way it has been adapted to China (“Shanghai Agenda” for implementation of HUL in China, adopted at WHITRAP in 2014). The research was comprised of three parts: comprehensive local policy and planning review, the implementation of a scenario planning workshop with local stakeholders to define desirable future scenarios of sustainable development, and policy recommendations. As a result, the village approved in 2015 a strategic master plan and later on achieved the status of “China Beautiful Village.” This has allowed to be granted funds for public space improvements in early 2016 from Wujiang District government. Related to Chap. 26.

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2 9. Reconstruction of World Heritage Mausoleums of Timbuktu Lazare Eloundou Assomo Timbuktu, Mali The reconstruction of the mausoleums of Timbuktu project follows the armed conflict that occurred in 2012 in Mali, during which 14 of the 16 mausoleums inscribed on the World Heritage List were destroyed. This devastation seriously affected the urban fabric of the old city. Considered as the main cultural identity of Timbuktu, the mausoleums reflect both the city history and its development. Timbuktu’s cultural identity and local communities were vital factors for the mausoleum reconstruction: both these factors contributed to the city’s development and cultural heritage preservation since the eleventh century. The reconstruction, undertaken between March 2014 and September 2015 involving local masons and artisans, not only allowed the safeguarding of Timbuktu World Heritage site, but also demonstrated the role of culture as an important enabler of peace reconciliation and social cohesion. Activities that took place for this process followed the incentives of historic urban landscape approach concerning policies, tools, capacity building activities, and international cooperation. Furthermore, it contributed to the revitalization of traditional conservation methods, to improve the living conditions of affected communities through job creation, thus restoring their cultural and socioeconomic conditions while taking part in the recovery of Timbuktu. Further Reading: http://whc.unesco.org/fr/list/119/documents/

30. Pompeii Great Project: The Buffer Zone Regeneration Mariarosaria Angrisano and Luigi Fusco Girard Torre Annunziata, Italy The management of the change that HUL approach introduces for the conservation of the heritage requests the integration of specific evaluation tools. The impacts of the Torre Annunziata waterfront regeneration project are evaluated through the Heritage Impact Assessment (HIA). Analyzing the results of this application emerged that HIA lacks an economic and social perspective. The criteria for the identification of the “cultural heritage values” are not adaptable to different international contexts.

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A “participative method” has been proposed to exceed the weakness of the HIA, capable to assess the social impacts of cultural heritage conservation/regeneration, allowing interdisciplinary research able to promote the collaboration among stakeholders. The results of this method have been used to define a new-shared project for Torre Annunziata waterfront based on the principles of the “circular economy” and the “liveable city,” according to the needs of the stakeholders involved. The circular economy is capable to restore the “city identity,” increasing the tangible and intangible value according to the UNESCO recommendations. Related to Chap. 28. Further Readings: http://www.comune.torreannunziata.na.it/c063083/zf/index.php/servizi-aggiuntivi/ index/index/idtesto/20150 http://www.equiterspa.com/progetto/riqualificazione-lungomare-torre-annunziata/

3 1. Technical Cooperation for the Enhancement, Development, and Protection of the Town of Luang Prabang, Lao People’s Democratic Republic Minja Yang Town of Luang Prabang, Lao People’s Democratic Republic The town of Luang Prabang, inscribed on the World Heritage List in 1995, is the former royal capital of one of the kingdoms of Laos, located in the mountainous north, at the confluence of the Mekong River and the Khan River. The town reflects the close link between the built and natural environment and characterized by the juxtaposition of a Laotian urban framework and a grid plan typical of the urbanism of the colonial era. The fusion of vernacular architecture in wood with structures of masonry of French architectural expression also marks the town. The conservation and enhancement of the OUV of this World Heritage site was a key process in the management of spatial planning and territorial development in a period of rapid change brought about by the liberalization of the economy after decades of war followed by a period of centralized planned economy. Enhancement of the cultural, environmental, and social resources of the site has been the key strategy for the development of the town and the surrounding region. The town of Luang Prabang project took place before the Historical Urban Landscape Recommendation was adopted in 2011 and can be considered as an upstream experience.

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The program, so far composed of six multi-year projects was initially launched in 1996 by the Lao authorities, with the support of the city of Chinon and the Région Centre (France), under a decentralized cooperation framework. This long-term and inter-sectorial program has focused from the onset on institutional and local capacity building, with training of an operational team in every project, starting from mapping and inventories of architectural, urban, and landscape features to the development of regulatory tools covering not only for the town but also the wider-scale landscape of the riverbanks and the surround hills resulting in the Safeguarding and Enhancement Plan (SEP) and Territorial Consistency Scheme (SCOT) but also in sewage and road upgrading as well as in the conservation of urban wetlands and restoration of heritage buildings. Governance and decision-making tools at local, regional, and national levels (Luang Prabang World Heritage Department and establishment of National and Local Heritage Committees) including public tender and public consultation processes were given importance. Public information activities to sensitize the religious authorities as well as the local communities on the value of their heritage were also included in every project. The development of tourism in the city since its inscription, as well as strong economic and demographic growth, has encouraged work on a scale wider than the site itself, addressing social, economic, and environmental issues linked to landscape protection and visual integrity, in order to support long-term development of the region as a whole. To respond to the new challenges (livelihood of increasing number of inhabitants through rural-urban migration, sustainable tourism, preservation of landscapes and surrounding agricultural areas), the urban development planning and landscaping tools at suburban level, inspired by the French Territorial Consistency Scheme (SCOT) which defines the uses and roles of the city and its wider setting, were established. Measures to preserve the natural environment and human habitat and to support rural development in the vast buffer zone area and beyond in the Nam Khan catchment have been initiated. A vast buffer zone of 12,500 ha has been defined in the context of the revision of the urban plan that was approved by decree of the Prime Minister in February 2012. Finding the means to sustain the local operational team through tourism tax along with decisions on the overall local fiscal system remains pending. The on-site heritage management system put into place through decades of international cooperation is therefore at risk unless a sustainable funding source for the local operational team is found. Further Readings: http://whc.unesco.org/en/list/479/ http://whc.unesco.org/en/activities/29/

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32. Project Proposal: The Revitalization of the Abu Ali River Manal Ginzarly and Jacques Teller Tripoli, Lebanon The proposal acknowledges the Abu Ali River as part of Tripoli’s cultural heritage. Based on a comprehensive analysis of the urban landscape configuration and the relation between the built and the natural environment as well as the relation between people and their surrounding environment, an urban planning a design strategy is proposed for the revitalization of the Abu Ali River’s cultural values, including the ecological, social, and aesthetic values. The proposal reintegrates the river into the city as a public amenity and an ecological corridor. It also focuses on enhancing connectivity between the river and the city. This project unintentionally applied the HUL approach. It looks at tangible and intangible heritage residing within the cultural landscape and addresses continuity and change. Two of the tools provided by the HUL approach to urban management were applied in this project: community engagement and knowledge and planning. These tools helped identifying some of the dynamics of urban change and existing shared identity and heritage values. Related to Chap. 29. Further Reading: https://scholarworks.aub.edu.lb/handle/10938/10087

Index

A Access, 388 Aga Khan Trust for Culture (AKTC), 72–73 Aleppo, 57–75, 545 Amaravathi, 79–89 Ambalema, 92–108 Amsterdam, 112–121, 546 Architecture, 269 Asmara, 32, 546 Assets, 97, 372 Authenticity, 8, 10, 43, 58, 59, 65–67, 73, 74, 164, 182, 217, 269, 271, 272, 287, 331, 334, 335, 343, 377, 384, 416, 419, 441 B Bahrain, 41 Ballarat, 135, 547 Budapest, 152 Buenos Aires, 44, 547 Bukhara, 168, 548 C Cairo, 549 Canberra, 188–205 Charter, 405 Circular economy, 500, 564 City, 196, 297–310 Climate change, 16, 22, 40, 43, 115, 120, 138, 140, 204, 229, 230, 367, 372, 382, 388, 416, 441, 450–452, 539, 547 Community, 97, 228, 346

Conservation, 6, 8, 9, 11–13, 17, 22, 23, 25, 32, 33, 40, 41, 43, 48, 49, 60, 63, 66, 80, 82, 86–88, 92, 94, 100–102, 108, 114, 117, 119, 126, 129, 142, 145, 150, 151, 168, 170, 171, 174, 177–184, 188, 200, 204, 208, 211, 216, 217, 219, 224–230, 248, 258–262, 264, 265, 267, 268, 270, 271, 273, 287, 290, 297, 300, 306, 308–310, 315, 333, 335, 343, 345, 347, 352, 362, 368, 370, 372–385, 417, 418, 428, 430, 432, 441, 442, 451, 453, 460, 468, 469, 474–482, 512–514, 532 Conservation planning, 184 Convention, 362, 366, 444 Convention Concerning the Protection of the World Cultural and Natural Heritage, 182, 237 Convention for the Safeguarding of Intangible Cultural Heritage, 11 Crafts, 97 Creativity, 7, 11–13, 16, 17, 84, 178, 180, 237, 367, 479, 501, 539 Cuenca, 208–221, 550 Cultural heritage, 11–13, 15, 18, 32, 34, 45, 48, 62, 63, 65, 81, 112, 127, 129, 150, 152, 168, 208, 218, 237, 252, 259, 261, 263, 267, 269, 299–302, 315, 318, 342, 346, 351, 366, 373, 378, 380, 384, 385, 408, 412, 424, 430, 436, 441, 446, 460, 477, 478, 480, 485, 487–489, 495, 498, 508, 512, 515, 520, 521, 524, 525, 541, 546–548, 552, 558, 560, 563, 566 Culture, 97

© Springer Nature Singapore Pte Ltd. 2019 A. Pereira Roders, F. Bandarin (eds.), Reshaping Urban Conservation, Creativity, Heritage and the City 2, https://doi.org/10.1007/978-981-10-8887-2

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568 D Development, 95, 98, 266, 365, 384, 408, 418, 429, 432 Diversity, 45 Djenné, 41, 550 E Economic development, 8 Edinburgh, 49, 223–232, 551 Environmental Impact Assessment (EIA), 43, 308, 487, 520, 533 Experts, 46 F FARO Convention, 182 G Galway, 551 Geospatial Information System (GIS), 174, 213, 218, 220, 242, 248 Global observatory on the historic urban landscape (GO-HUL), 50, 131 GPS, 444 Gross domestic product, 15 H Habitat, 4, 16, 26, 88, 244, 370, 389, 541 Habitat III, 124 Havana, 235–249, 552 Heritage, 97, 297, 303, 306, 315, 331, 336, 337, 351, 352, 354, 533, 534 Heritage impact assessment (HIA), 484, 486–495, 497, 500, 533, 563 Heritage site, 315 Historic, 430–432 Historic centre, 18, 42, 124, 168, 171, 174, 177, 179, 182, 183, 219, 226, 232, 240, 244, 247, 344, 346, 348, 352–355, 367, 404–407, 419, 436, 486, 537, 548, 552, 557 Historic urban landscape (HUL), 5, 17, 19, 25, 32, 33, 36, 44, 45, 49, 58, 62–64, 66–72, 74, 124, 130, 138, 142, 145, 169–171, 188, 208, 217, 218, 232, 235–249, 264, 297, 306, 310, 314, 329–330, 342–344, 358, 361, 363, 364, 366, 368, 372, 388, 424–432, 436, 450, 455, 478–481, 484, 494, 500, 507, 509, 512, 513, 516, 518, 524, 525, 533, 534, 537–540, 542, 545, 547, 548, 551, 552, 555, 558

Index Historic urban landscape approach, 7, 16–19, 21–50, 64, 112–121, 145, 156, 188–205, 223–232, 252, 261–264, 266, 268, 278, 303, 349, 363, 372, 404, 460, 474, 487, 540, 563 Historic urban landscape critical steps, 40 Historic urban landscape tools, 398–400, 559 I Identity, 97, 366 Implementation, 299 Implementation of the HUL approach, 212, 256 Implementation of the Recommendation, 212 Intangible heritage, 12, 22, 34, 58, 63, 66, 68, 79, 81, 84, 88, 115, 116, 120, 127, 135, 177, 180, 181, 220, 247, 254, 278, 290, 294, 330, 351, 354, 366, 474, 516, 520, 552, 566 Intangible Heritage Convention, 12, 19 International Council on Monuments and Sites (ICOMOS), 8, 10, 63, 65, 66, 71, 74, 127, 141, 177, 259, 266, 269, 273, 344, 363, 366, 369, 370, 406 Island of Mozambique, 263 Istanbul, 34, 552 J Jaipur, 281, 553 Jeddah, 48, 554 K Kolomna, 554 Kuwait City, 298, 555 L Lamu, 314–327, 555 Lijiang, 331, 556 Local community, 41, 45, 82, 116, 136, 138, 195, 196, 218, 224, 290, 334, 346, 352–354, 418, 474, 549, 557–559 Luang Prabang, 33, 564 M Malaga, 35, 557 Management, 157 Mexico City, 345, 557 Millennium Development Goals (MDGs), 14, 81 Montreal, 358–370

Index Mudurnu, 45, 558 Muharraq, 559 N Nara document on authenticity, 10, 182 Natural heritage, 11, 13, 15, 126, 129, 150, 208, 267, 284, 424, 428, 520, 550 New Urban Agenda, 4, 16–18, 25, 26, 35, 88, 124, 262, 278 O Olinda, 372–385, 560 Outstanding universal value (OUV), 6, 22, 45, 59, 63, 66, 80, 81, 168, 170, 171, 175, 181, 225, 230, 237, 246, 259, 269, 314, 345, 351, 364, 370 P Participation, 212, 352 Pittsburgh, 395 Planning, 360, 366, 430, 546 Policies, 13, 127, 546 Porto, 409, 560 Preservation, 157 R Rabat, 424–432 Raleigh, 45, 561 Recommendation on the historic urban landscape (HUL), 538 Regensburg, 436 Resources, 98, 216 Risk assessment, 292 River, 97, 513 S Saint-Louis, 42, 561 Settlements, 313 Shuang Wan, 463, 562 Site, 45, 62, 73, 315, 331, 336, 337, 345, 346, 353, 354, 367 Stakeholders, 22–25, 33, 35, 40, 43, 45–50, 63, 64, 74, 79–81, 84, 86, 88, 95, 99, 100, 104, 105, 107, 116, 117, 120, 134–136, 138, 140, 143, 144, 157, 168, 171, 175, 177, 179, 183, 184, 204, 208, 209, 211, 216–218, 237, 243–245, 247–249, 252, 258, 261–263, 265–267, 293, 309, 335, 342–344, 347, 349,

569 351–354, 361, 366, 370, 372, 379, 391, 398, 413, 419, 428, 431, 445, 446, 449, 453, 455, 471, 485, 494–496, 508, 509, 523, 524, 534, 536, 537, 540, 554 Strength, weaknesses, opportunities and threats (SWOT) analysis, 73, 156, 179, 495, 513, 523–524 Sustainable, 180, 431 Sustainable development goals, 15, 24, 25, 35, 80, 85, 124, 342, 389, 437, 541, 551 T Tel Aviv, 474–482 Timbuktu, 48, 563 Tools, 97, 368 Torre Annunziata, 563 Traditional, 97 Tripoli, 566 U UNESCO Convention (2001), 262, 263 1972 UNESCO Convention Concerning the Protection of the World Cultural and Natural Heritage, 62 UNESCO Convention for the Safeguarding of the Intangible Cultural Heritage of Humanity, 127 UNESCO Convention of 1972, 64 UNESCO World Heritage, 22, 170, 546 UNESCO World Heritage Convention, 170 UNESCO World Heritage list, 436, 438, 452, 533 UNESCO World Heritage sites (WHS), 455, 487 United Nations Educational, Scientific and Cultural organization (UNESCO), 315, 344, 347, 406, 432 Universal Declaration on Cultural Diversity, 11 Urban, 228, 292, 352 Urban conservation, 3–19, 22, 24, 40, 45, 49, 133, 165, 261, 270, 286, 289, 298, 304, 306, 310, 342, 365, 372, 405, 428, 442, 460, 462–464, 477, 482, 547, 553, 558 Urban heritage, 4, 5, 7, 8, 12, 14, 17, 19, 35, 40, 43, 46, 74, 92–108, 123, 124, 140, 142, 150, 151, 154–156, 159, 177, 204, 212, 220, 237, 242, 288, 294, 297, 303, 342, 343, 352, 353, 366, 378, 388, 389, 394, 399, 404, 424, 427, 428, 442, 474, 477, 482, 514, 519–523, 534, 536, 537, 540, 541, 545, 550

570 W Workshops, 212 World Heritage, 25, 315, 331, 332, 336, 337, 344–347, 353, 354, 362, 366, 367, 406, 432, 436, 437, 440, 441, 443, 444, 446, 448, 449, 452, 453, 484, 533, 534, 550, 559, 563 World Heritage by UNESCO, 430 World Heritage Centre (WHC), 347 World Heritage Committee, 62 World Heritage Convention, 6, 9, 10, 13, 19, 64, 127, 175, 228 World Heritage list, 344, 432

Index World Heritage site (WHS), 48, 58, 59, 63, 80, 208, 224–226, 228, 230, 232, 243, 258, 271, 272, 286, 292, 314, 318, 330, 332, 337–339, 343, 444, 453, 474, 487, 552, 555, 563, 564 X Xi’an declaration on the conservation of the setting of heritage structures, 182 Z Zanzibar, 529–542