Space, Planning, and Design: Integrated Planning and Design Solutions for Future Megacities 9783868598810

Table of contents :
Preface
Index
Introduction
Pictures
Global Phenomena—Local Analogies
Challenges—A Need for Integrated Approaches
Lima: A Megacity in the Desert
Tehran-Karaj: Rapid Urbanisation
HCMC: A Flood-prone Megacity
Shanghai: Highspeed Urbanisation
Gauteng: A Sprawling Region
Integrated Design Solutions
Lima: Lower Chillon River Plan
Tehran-Karaj: Reshaping New Towns
HCMC: Climate-adapted Town Houses
Shanghai: Harmonious City Design
Gauteng: Fighting Urban Sprawl
Formal and Informal Planning Tools
Lima: Integrated Urban Planning
Tehran-Karaj: Tarh-e-Tafsili 2.0
HCMC: Climate-adapted Planning
Shanghai: Decision-making Tools
Gauteng: Sustainable Solutions
Conclusion
Space, Planning, and Design—Integrated Approach for Megacities Is in Demand
Appendix
The Projects of the Programme on Future Megacities in Brief
Authors
Imprint

Citation preview

Casablanca •

Tehran-Karaj •

• Urumqi

Hyderabad • Addis Ababa • Lima • Gauteng •

Hefei • • Shanghai • Ho Chi Minh City

SPACE, PLANNING, AND DESIGN Integrated Planning and Design Solutions for Future Megacities Elke Pahl-Weber, Frank Schwartze (Editors)

Book Series Future Megacities Vol. 5

The book series “Future Megacities” is sponsored by the German Federal Ministry of Education and Research (BMBF) through the funding priority “Research for the Sustainable Development of Megacities of Tomorrow”. The authors would like to thank the Ministry for this initiative, for the financial support, and for the extraordinary opportunity to connect activity- and demand-oriented research with practical implementation in various pilot projects targeting the challenges of Future Megacities.

The book series “Future Megacities” is published by Elke Pahl-Weber, Bernd Kochendörfer, Carsten Zehner, Lukas Born, and Ulrike Assmann, Technische Universität Berlin.

Volume 5 “Space, Planning, and Design” of the book series is edited by Elke Pahl-Weber [Technische Universität Berlin, Institute for Urban and Regional Planning] and Frank Schwartze [University of Applied Science, Lübeck, Urbanism and Town Planning (former Prof. at Brandenburg University of Technology, Cottbus-Senftenberg, Dept. of Urban Planning)].

Elke Pahl-Weber, Bernd Kochendörfer, Lukas Born, Carsten Zehner

The Book Series "Future Megacities" The Global Urban Future The development of future megacities describes a new quality of urban growth, as the pace and the dynamics of urbanisation today are historically unprecedented. At the beginning of the twentieth century, only 20% of the world’s population lived in cities. Since 2010, however, the share of urban-dwellers has risen dramatically to above 50%. By 2050, the world population is predicted to have increased from 7.0 billion to 9.3 billion, and, by that time, 70% of people will be living in urban areas, many of them in urban corridors, city- or mega-urban regions [UN−DESA 2012; UN−Habitat 2012]. Urban areas contribute disproportionately to national productivity and to national GDP. Globally they concentrate 80% of economic output [UN−Habitat 2012; UNEP 2011]. Due to this, urban areas are also very relevant in terms of energy consumption. Although cities cover only a small percentage of the earth’s surface,1 they are responsible for around 60−80% of global energy consumption as well as for approximately 75% of global greenhouse gas emissions [UNEP, 2011]. In the future, this will increasingly count for cities in so-called ‘developing countries’ as they will be responsible for about 80% of the increases in the global annual energy consumption between 2006 and 2030 [UN−Habitat 2011]. Hence, cities are significantly contributing to climate change while, at the same time being the locations that have to deal with its devastating consequences, as many of them are located along the coast, close to rising sea levels, or in arid areas. Therefore, cities must take action to increase energy and resource efficiency, as well as climate-change mitigation and adaptation. Megacities as a spreading phenomenon do have a special role in this context and illustrate the urban challenges of the future. These urban centres are not only reaching new levels in terms of size, but are also confronted with new dimensions of complexity. Hence, they are facing multifaceted problems directly affecting the quality of life of their inhabitants. In many cases, indispensable assets, such as social and technical infrastructure, delivery of basic services, or access to affordable housing are lacking. Capacities for urban management and legal frameworks tend to be chronically weak and are often insufficient when dealing with rapid population and spatial growth. Moreover, excessive consumption of resources such as energy or water is further aggravating existing problems. In many countries, medium-sized cities, especially, are experiencing extraordinary growth rates. These ‘Future Megacities’ are to be taken into consideration for sustainable urban development strategies as they still offer the opportunity for precautionary action and targeted urban development towards sustainability [UNEP 2011].

BMBF’s Funding Priority on Future Megacities With its funding priority ‘Research for the Sustainable Development of Megacities of Tomorrow’ the German Federal Ministry of Education and Research (BMBF) is focusing on climate-responsive and energy-efficient structures in large and fast-growing cities or

5

megacities. The programme is a globally focused component of the Federal Government’s High-Tech Strategy in the field of action on ‘Climate and Energy’. Moreover, it is a part of the framework programme ‘Research for Sustainable Development’ (FONA) of the BMBF. In its main phase (2008−2013), the funding priority currently covers nine international projects in future megacities of Asia (Tehran-Region, Hyderabad, Urumqi, Hefei, Ho Chi Minh City), Africa (Casablanca, Addis Ababa, Gauteng) and Latin America (Lima). A tenth project in Shanghai (China) with a shorter working period lasted until September 2011. Each project focuses on a particular city working on a locally relevant thematic issue within the broader context of energy efficiency and climate change (for more details, see "Projects in Brief", p. 229 ff. •). An outstanding characteristic of the programme is the integration of the sustainable development concept. Ecological, economic, and social facets of the development of climate-responsive and energy-efficient structures in urban growth centres are considered in a comprehensive and long-term manner. In this context, the programme follows an innovative methodology ranging from analysing spatial, social, and technical dimensions in combination with applied research, to using broad methodological approaches such as pilot projects, action research, and research by design. Hence, the research approach here differs from other forms of fundamental research due to its practice-oriented focus that takes into account local needs as a basis for the development of applicable solutions. Therefore, the trans-disciplinary research is conducted by interdisciplinary consortia with partners from research institutions, civil society, politics, and administration, as well as the private sector. International collaboration between project partners from Germany and the partner countries is an essential aspect of the programme. The objective of the Future Megacities Programme is to create good-practice solutions for sustainable urban development. Therefore, the bilateral teams perform the following tasks: 1. research, plan, develop, and realise technical and non-technical innovations for the establishment of climate-responsive and energy-efficient structures in an exemplary way 2. enable the city, along with its decision-makers and inhabitants, to bring about increased performance and efficiency gains in energy production, distribution, and use 3. demonstrate that the resource consumption and greenhouse gas emissions by the high energy-consumption-sectors can be reduced in a sustainable way in the future [DLR-PT 2012]

Outcomes and Results Outcomes of the projects have been generated in different thematic fields of action. Within these thematic areas a great variety of good practices for building up climate-responsive and energy-efficient structures in urban growth centres has been generated, ranging from scientific knowledge, to analytical instruments and strategic models, all the way up to realised pilot-projects, innovative technologies, applied products, and locally implemented processes. Within the area of ‘Planning’, solutions for increasing energy efficiency in architecture and urban design, instruments for integrated urban planning, and efficient management tools for climate-change mitigation and adaptation have been developed. In the field of action on ‘Energy and Sun’, concepts for the urban use of renewable energies with particular focus on solar power have been elaborated for different sectors in order to decrease the use of fossil fuels and to diminish carbon-dioxide emissions and air pollution. The topic ‘Mobility and Transportation’ comprises concepts for sustainable transportation through intelligent management approaches,

6

PREFACE

innovative planning instruments, and systems for enhancing public transit. The area of action on ‘Resources’ focuses on generating new approaches for the sustainable management of waste, the careful use of scarce resources such as water and land, as well as efficient material cycles in the industrial sector. In the field of ‘Governance’, models for multi-stakeholder systems, new approaches to inclusive decision-making processes, as well as community participation and bottom-up engagement, have been developed. Outcomes within the area of action on ‘Capacities’ include measures for vocational training in different practical fields as well as new concepts for education and awareness-raising focusing on the younger generation. This book series presents results generated within these thematic fields of action in terms of cutting-edge research as well as practical outcomes. This particular volume focuses on the topic ‘Space, Planning, and Design’ in five cities of the research programme and will show differences and similarities in the challenges faced, as well as respective approaches and practical solutions. Answers are given on innovative aspects, applicability, transferability, or dissemination of the solutions in the framework of future megacities in general. Additionally, all participating cities and projects are presented in the appendix, where the complexity of the research priority, the different approaches, and a short overview of the most important outcomes are shown. Notes 1 The current coverage of urban land on the earth's surface is often referred to as ‘2%’ [UNEP 2011]. The predicted increase of urban land is dramatic: by 2030 urban land coverage will increase by 1.2 million km², thereby tripling the global urban land areas compared to the year 2000. In other words: 65% of the urban land coverage on the planet by 2030 was, or will be, under construction between 2000−2030, 55% of that expansion arising from urbanisation will occur in India and China (Seto, 2012). According to Soya, cities tend to “Grow well beyond their defined administrational limits, typically spawning a multitude of suburbs in expanding annular rings. The outer edges thus came to be defined as … part of the Functional Urban Region (FUR)” [Soya 2010, p. 58]. Sources DLR-PT – Deutsches Zentrum für Luft- und Raumfahrt e. V. – Projektträger im DLR (2012): Research Programme Main Phase: Energy- and Climate Efficient Structures in Urban Growth Centres. http://future-megacities.org/ index.php?id=48&L=1, 15.02.2013 Seto, K. C./ Güneralp, B./ Hutyra, L.R. (2012): “Global forecasts of urban expansion to 2030 and direct impacts on biodiversity and carbon pools”. In: Proceedings of the National Academy of Sciences of the United States of America. http://www.pnas.org/content/early/2012/09/11/1211658109.full.pdf+html?with-ds=yes, 07.03.2013 Soya, E. (2010): “Regional Urbanization and the Future of Megacities”. In: Hall, P./Buijs, S./Tan, W./Tunas, D.: Megacities – Exploring A Sustainable Future. Rotterdam, p. 57–75 UN-DESA United Nations Department of Economic and Social Affairs/Population Division (2012): World Urbanization Prospects: The 2011 Revision. Highlights. http://esa.un.org/unup/pdf/WUP2011_Highlights.pdf, 15.02.2013 UNEP United Nations Environment Programme (2011): Cities Investing in energy and resource efficiency. http:// www.unep.org/greeneconomy/Portals/88/documents/ger/GER_12_Cities.pdf, 15.02.2013 UN-Habitat (2011): Cities and Climate Change: Policy Directions. Global Report on Human Settlements 2011, Abridged Edition. http://www.unhabitat.org/downloads/docs/GRHS2011/GRHS.2011.Abridged.English.pdf, 15.02.2013 UN-Habitat (2012): State of the World’s Cities Report 2012/2013: Prosperity of Cities. http://www.un.int/wcm/ webdav/site/portal/shared/iseek/documents/2012/November/UNhabitat%20201213.pdf, 15.02.2013

7

Index 5

Preface Elke Pahl-Weber, Bernd Kochendörfer, Lukas Born, Carsten Zehner

Introduction 17

Global Phenomena—Local Analogies Elke Pahl-Weber, Frank Schwartze

Challenges—A Need for Integrated Approaches 27

Lima: A Megacity in the Desert Bernd Eisenberg, Eva Nemcova, Rossana Poblet, Antje Stokman

34

Tehran-Karaj: Rapid Urbanisation Elke Pahl-Weber, Annette Wolpert

46

HCMC: A Flood-prone Megacity Andreas Gravert, Ralf Kersten, Ronald Eckert, Frank Schwartze, Marcus Jeutner, Harry Storch

55

Shanghai: Highspeed Urbanisation Sabine Drobek, Hannah Baltes, J. Alexander Schmidt

66

Gauteng: A Sprawling Region Sheetal Dattatraya Marathe, Ludger Eltrop

Integrated Design Solutions 79

Lima: Lower Chillon River Plan Bernd Eisenberg, Eva Nemcova, Rossana Poblet, Antje Stokman

88

Tehran-Karaj: Reshaping New Towns Elke Pahl-Weber, Annette Wolpert

106

HCMC: Climate-adapted Town Houses Dirk Schwede, Christoph Hesse

8

119

Shanghai: Harmonious City Design Sabine Drobek, Hannah Baltes, J. Alexander Schmidt

131

Gauteng: Fighting Urban Sprawl Sheetal Dattatraya Marathe, Ludger Eltrop

Formal and Informal Planning Tools 139

Lima: Integrated Urban Planning Bernd Eisenberg, Eva Nemcova, Rossana Poblet, Antje Stokman

165

Tehran-Karaj: Tarh-e-Tafsili 2.0 Elke Pahl-Weber, Annette Wolpert, Arman Fathejalali, Peyman Khodabakhsh

178

HCMC: Climate-adapted Planning Harry Storch, Ronald Eckert, Nigel Downes, Frank Schwartze, Chau Huynh

192

Shanghai: Decision-making Tools Sabine Drobek, Hannah Baltes, J. Alexander Schmidt

205

Gauteng: Sustainable Solutions Sheetal Dattatraya Marathe, Ludger Eltrop

Conclusion 211

Space, Planning, and Design—Integrated Approach for Megacities Is in Demand Elke Pahl-Weber, Frank Schwartze

Appendix 229

The Projects of the Programme on Future Megacities in Brief

251

Authors

256

Imprint

9

INTRODUCTION

LIMA: Panamerica North touching the Rimac River Canyon in central Lima [Evelyn Merino Reyna]

TEHRAN: Suburban Development area next to the Chitgar Park [Lukas Born]

HO CHI MINH CITY: Shop-house-based urban structure in Ward 2, Binh Thanh District, Ho Chi Minh City [Ronald Eckert]

SHANGHAI: Empty pedestrian streets in Xinkai New Town, Shanghai [ISS University Duisburg]

GAUTENG: Soweto—South Africa’s most famous township based on the outskirts of Johannesburg [IER University Stuttgart]

2

Elke Pahl-Weber, Frank Schwartze

Global Phenomena—Local Analogies Megacities and Mega-Urban Regions The twenty-first century is an urban century. The proportion of the population living in cities became equal to the rural population in 2010, and urban centres have become major hubs of global economic activity and promise better lives for millions of rural migrants. Today’s rapid urban growth phenomenon is caused by natural population growth, as well as an increase in rural-urban migration, creating new urban spaces that are the focal points of conflict and change. Due to the enormous influx of large numbers of migrants, there is a huge impact on the cities’ spatial structures and infrastructure systems and on the future development of urban populations. As the Canadian journalist Doug Saunders has pointed out, urban areas should no longer be perceived as problem areas for economic development and social welfare. Rather, they should be seen as “Arrival Cities” providing spaces, infrastructure, and opportunities for large numbers of people, places that cannot be found or developed in rural areas [Saunders 2011]. The most tangible evidence of the rapid urbanisation process is the increasing emergence of megacities and mega-urban regions, which form the focus of this publication. It is no longer a phenomenon within the administrative borders of the city, but instead highlights challenges that megacity regions face, addressing topics of suburbanisation, density convergence, and changing inner-city development in a transformation process [Soja 2010]. Unfortunately, megacities are not necessarily economic hubs in the sense of global cities, but rather urbanities that often have a lack of local economic activity and that are challenged to integrate urban spatial development and to create jobs [Sassen 2010]. The speed and scale of contemporary urbanisation processes in these new urban agglomerations are confronting city governance and especially urban-planning systems with severe challenges. The incapability of guiding rapid urban-growth processes into developing sustainably is the primary reason for the appearance of many of the most fundamental urban conflicts and is leading to the deterioration of the quality of urban life. It is widely acknowledged that territorial expansion and urban sprawl are preventing the development of sustainable settlements. For example, the spatial separation of functions into mono-functional structures has increased the travel demand, as well as travel distances, which makes commuting on congested roads a time-consuming and environmentally problematic undertaking. In addition, this drawback in mobility lowers the economic effectiveness of a city, which, in turn, is a fundamental requirement for any sustainable and energy-efficient urban development. The basic problems faced by megacities and mega-urban regions are similar worldwide. Nevertheless, every local context is unique and requires specific approaches. The political and economic background often differs dramatically and can significantly influence cities. The projects described in this book highlight the following observations: · strongly centralised cities versus the formation of satellite towns, depending on the metropolis or main town, (e.g., Tehran, Shanghai) · insufficient political and dysfunctional economical systems, which also find expression in the shape of the urban environment (e.g., Gauteng, Shanghai, Tehran, Ho Chi Minh City)

17

· poly-centralised structures in city regions, functionally degenerated structures with retail and offices in dense city centres and residential uses in dispersed suburbia, and social segregation with different population density (e.g., Gauteng) · urban growth around a centre due to geographical conditions, such as mountainous regions (e.g., Tehran) and river deltas, and linear town development between rivers and in valleys (e.g., Lima, Ho Chi Minh City) Any attempt to improve livelihoods in megacities and mega-urban regions through urban planning and design ought to take these challenges into account and strive for integrated and integrating processes of planning and decision-making in fast-growing urban areas. These are aspects that are presented from different perspectives in the examples included in this publication. Designing a megacity is far more complex than planning urban form. The task for governors and planners is rather in the management of integrated planning processes, in the sense of integrating the different perspectives and needs to give priority to the most challenging aspects that are locally related. The task is to conduct planning decisions so that they result in resilient urban structures that are capable of buffering radical events such as economic fallouts, migrations, or climate change impacts, such as extreme weather occurrences. The requirements for sustainable urban planning are therefore: · to set a framework for spatial planning interventions · to renew and revise the interpretation of sustainable developments · to design with longer time horizons in mind · to pay more attention to the relationship between the new and existing urban structures · to focus on integrating the built environment together with natural processes, such as carbon, water cycles, and ecosystems [Wilson/ Piper 2011]

Climate Change and Energy Efficiency Climate change has a critical impact on future developments that will inevitably be reflected in living environments. It is feared that global warming, sea-level rises, as well as more frequent and intensive extreme weather events and catastrophes will trigger further migration movements to cities. As cities are growing in size and population, their demand for energy and mobility also increases. Energy supply and demand remains the most crucial driver for climate change. Energy is a vital prerequisite for employment and economic activity [Eltrop/ Fahl 2013]. In times of depleting fossil resources, urban agglomerations have become the major energy consumer. Worldwide, the building sector is a primary consumer of energy; e.g., in Iran the construction sector is the largest energy consumer, accounting for 40% of the national energy consumption in 2004/5, with an increasing overall consumption of 7% per annum due to the massive population growth in the last three decades with subsequent urbanisation effects. Energy-efficient urban planning and architecture is an indispensable part of reducing energy consumption and saving fossil fuels and therefore confronting and controlling climate change. It is well known that, against the background of climate change, the role of planning needs to be assessed critically. In other words, urban and spatial planning play a vital role in adapting to climate change and moving forward to the creation of low-carbon cities [IPCC 2007; Stern 2007]. It is clear that cities and towns are critical players in climate change. They concentrate a large proportion of people, most at risk from, and vulnerable to, negative climate change

18

INTRODUCTION

impacts. UN-HABITAT strongly states that urban planning is increasingly important in managing climate change because it has been proven that well-planned cities are more adaptive to climate change and resilient to its negative impacts than unplanned, poorly managed cities [UN Habitat 2011]. The urban context is not only relevant in terms of developing cities, but also in terms of where and how people in these growing cities and megacities live. These cities accommodate a large proportion of the population and economic activities and, as both are most at risk from extreme weather events and sea-level rises as a consequence of climate change, the proportion of people at risk is increasing concurrently [Satterthwaite et al. 2010]. Globally discussed processes of urban growth and climate change have different local peculiarities and characteristics, which planning has to acknowledge and react to. The projects selected for this publication present typical examples of dealing with future urban challenges in specific local contexts. The main challenges of the projects are: · Rising sea levels are threatening coastal cities, especially if located in river deltas. · In some instances, climate change leads to a reduction of annual rainfall, or to a shift in distribution of precipitation that results in large amounts of rainfalls in spring and arid conditions for the rest of the year. Both phenomena can result in the critical reduction of drinking water—especially problematic for cities that are not nearby any natural water resource—or might result in extreme weather phenomena like El Niño. · Additionally, expanded temperature ranges, with extreme cold temperatures in winter and very high temperatures in summer, raise the cooling and heating demand. The projects follow the two general strategic approaches of the BMBF megacity research programme—adapting to climate change and mitigation of climate change. As there is no linear relationship between the extent and the quality of knowledge about the climate, improved action and political decisions become more and more complex [Cartwright 2012]. The challenge to integrate climate-change issues in an integrated urban-planning process seems to be more and more convincing.

A Desire for Planning—Contributing to Sustainable Urbanisation Case Studies How can urban planning influence urbanisation processes? What are the key aspects of sustainable urban development? Can urban growth be actively influenced through planning; or can planning only react passively? The need for general guidelines, tools, and approaches, which can be locally applied and adapted, is apparent. The presented projects partially face similar challenges, but are rooted in different contexts. The identified stakeholders are from similar disciplines and the goals are comparable, but the applied tools vary. Therefore, the question arises of whether it is possible to identify general approaches or planning tools of greater importance? Figure 1 • shows the main challenges observed, the strategic dimensions facing those challenges, and an overview of the formulated objectives in order to encounter problems arising from specific contexts. Local aspects, such as geography, microclimate, social background, local and regional disparities, economic system, political framework, cultural background, and urban governance determine the final tool selection. Emphases are set differently according to the locality, and approaches are adapted to the specific context of the project. The five case studies

19

sses legall y bin ding phys ical p traffi lans cm ana gem voc ent atio nal tra urb inig an tra int ns po eg rt ra po te dm lici es as te rp lan s

flood protection

Challenges, dimensions, objectives, and tools to confront problems arising from specific contexts [Jeutner/ Wolpert 2013] particip atory pr oce

Fig. 1

cy

s nes are aw

ues of sustainabi for iss lity

esign an d urb

ns informal pla building codes

water retention spa ces

g nnin pla re tu uc

res ctu ru

t en sm es ss la ta en m on s ce vir pa en ds ing are ild sh bu

ty ac i cap

la n d sca pe pla

iving lthy l hea

ns ditio con ial soc

agr

e ltur icu

os nari

riants

ing plann

f sce on o arati prep

action

cultur al ba ckg rou nd conditions sust a i n ab le bu ild

processual urban design

design va

an urb

energy certificati on meas urem ent o f the land ecolo gical -use footp plan rint s u se of r ene flo wa or l re sou sp ac rce bu ei s sr nd ap ex id tra ns it s ys te m

geog rap hy

res ilie nt st

inf ras tr

peak oil, global warming, urban growth, energy consumption, emergence of slums, air pollution, social exclusion, increasing distances, population growth, flooding, natural disasters, travel demand, restricted financial ressources, sea-level rise, draughts, road congestion, sprawl, segregation, spatial fragmentation, rapid motorisation, infrastructure supply, land consumption, ...

g in us s ho on e isi int ov siv tpr pr as oo d p n ynf a a g s rb w er eu l la en f th na to tio en na m ns re paig asu am me nc o ti rma ls info ode nm latio im s s u twork ort ne transp public

te lima roc mic

econo arities l disp mic ona sys egi tem r nd a s t c a p eco-m l im a al c i g c o lo blit o lo c y e low res ou archite gs r ctur in e g n i nn

ance politi overn cal s an g yste urb m f o e s e t r s u u c t d ures d mixe o m ene rgy ncy effi cie cie effi se planning n land-u ce

illustrate the wide spectrum of challenges and demonstrate how to face them in different ways. Each study highlights findings and tools applied for generic value. In the LIMA project, the design recommendations for water-sensitive future urban developments were evolved in a multidisciplinary team of sanitary engineers, environmental engineers, landscape planners, and architects with the support of the local authorities. The aim of the project was to provide tools to overcome the different rhythms of the conceptual design phase of a project and the need for exact water demand calculations and technology dimensioning. The project runs through the process of information collection, repeated design and design-testing phases, concluding in identifying tools for an improved estimation of space demand of treatment technologies and open-space demand for treating polluted water. The results are the development of prototypical water-sensitive design solutions for different water sources in varying spatial situations, as well as the publication of a design manual. A significant temperature raise is predicted. This rise will result in rising sea levels, a possible increase in regional hazard risks, and a shift in precipitation, with longer arid periods thus influencing climate-dependent products. This could possibly endanger national food security, employment, and accelerate the already climbing rate of urban migration. The above-mentioned factors constitute the impetus for the Young Cities (YC) Project—TEHRAN. The rising energy demand and the impact of the built environment on greenhouse gas emissions make the built

20

INTRODUCTION

environment a crucial factor for mitigating Iranian climate-change impacts. Therefore, the project aimed to develop methodologically sound solutions for implementing low-carbon, climate change–resilient housing within the specific environmental, cultural, and economic context of Iran. It defined criteria and objectives for energy efficiency in semi-arid (and potentially warm) regions on the residential scale of urban neighbourhoods, developed technical and non-technical solutions for reducing energy consumption and increasing climate-change adaptation in the urban development of semi-arid regions, and developed appropriate planning and design strategies. The end result was the development of manuals and guidelines for energy-efficient, climate change–resilient planning and design for the Tehran-Karaj region. A predicted population growth of an average annual rate of 3.5%, with the expectation of more than 10 million inhabitants by 2025 in Ho Chi Minh City (HCMC) and more than 25 million people in the HCMC region, is the research background for the HCMC project. A major focus is on urban climate- and water-management issues. While facing immense and increasing flooding risks due to the fact that major parts of the city are situated on low-lying marshy land—further exacerbated by construction activities in this marshland causing an increased pace of the rising river levels—the city also faces problems regarding its water storage capacity as construction activities occupy riverbeds, narrowing floodplain areas and altering the natural flow of rivers. In addition, the already rapid growth during the last decades doubled the region's impermeable surface, leading to increased surface runoff. To downscale the elaborated citywide planning recommendations for future land use, the project develops guidelines for climate change–adapted urban planning and design to mainstream climate-change response across all levels and localities. It also develops a bioclimatic building design and provides guidelines regarding, e.g., building design and orientation, building openings, sun protection and shading, ventilation, and cooling. The Shanghai project also faced challenges on various levels. Efficiency standards and low-carbon targets, though existing, do not have counterparts on the implementation level in the neighbourhoods and urban quarters, or on the level of performance. Shanghai is an interesting megacity, as measures can be implemented quickly and their impact can also be read within a relatively short space of time. To date, housing construction in China has been predominantly solved quantitatively rather than qualitatively. Furthermore, climate protection in architectural design is normally solved through technical applications, disregarding the potential on the planning level. Measures to reduce future energy demands and harmful emission in the field of design, mobility, building use, and occupancy, as well as types of energy supply, were investigated. This was performed in an integrated approach with the main focus on the interdependencies between urban design, mobility, and spatial structures, and their effects on energy consumption and CO2 emissions over time. The province of Gauteng was established at the dawn of the new South Africa in 1994 and since then has shown constant growth. The population distribution is uneven, with 86% concentrated in the three cities Johannesburg, Ekurhuleni, and Tshwane. Due to its economic power, migrants from all over the African continent migrate to South Africa and especially to Gauteng. The majority of the migrants in Gauteng are ethnically black (81%) whilst 13% are Indian or Asian. As the three major cities grew at different rates, Gauteng did not ever have a strong city centre around which urban development could take place. This polycentric, sprawling structure was fostered by apartheid, compelling black people to live in overcrowded informal settlements without proper infrastructure on one hand, and encouraging wealthy people to establish gated communities on the other. Both types of settlements are situated at a distance

21

from employment and commercial areas of the inner cities, which creates long travel distances and a car-dependent lifestyle. This kind of urban sprawl in Gauteng has led to controversial issues, such as inflated infrastructure and public service costs, loss of fertile land, loss of open space, reduction in wetlands, and disparity of wealth, the most tangible sign of which is the still existing social and spatial segregation between different ethnic and social groups. The Gauteng project faced this poorly managed urban structure through an in-depth analysis of Gauteng’s structure with the help of the integrated use of satellite data and GIS as the basis for an accurate mapping of the urban environment and the monitoring of urban growth at the large-scale level. To gain knowledge about the mega-urban region, the project worked with different analytical tools such as the Shannon’s entropy approach, the ecological footprint, and the urban footprint. The entropy factor is an indicator of the spatial concentration or dispersion to investigate various geographical entities; the ecological footprint is an indicator of comparing lifestyle and consumption against how much the land can provide, and the urban footprint measures the amount of space used by the population.

How to Read this Book Examples and Solutions for Climate-Adaptive Planning and Design in Megacities and MegaUrban Regions This particular volume of the “Future Megacities” book series focuses on planning and design solutions for urbanisation processes of future megacities and future mega-urban regions. It was the intention of the editors to compile a publication that would be interesting to readers from various backgrounds and disciplines. Thus, this volume proposes five cities as a selection of a larger research programme that illustrate a broad spectrum of climatic, geographical, and political contexts. The book highlights both the similarities and the differences of these backgrounds; it identifies the challenges, and describes the urban planning and design concepts with the aid of five concrete case studies. The structure of the book intends to help the reader to filter the information in a comparative way. Rather than having five chapters, each dedicated to one of the chosen cities, the structure provides three main topics in which each project had to weave in its details. This approach enables the reader to easily discern similarities and differences and to distinguish approaches, which formulate comprehensive solutions and therefore act as a guideline for future planning processes. In the first chapter on Challenges, the geography and climate of the regions are described together with an appraisal of their current and predicted spatial and demographic situations. A short résumé provides an insight into the political background and the existing planning system, the planning bodies, and policies. Based on their individual backgrounds, challenges of each project are formulated. In the second chapter, the individual project approaches, the steps, and measures are explained in more detail. Again, the structure is similar even though the emphasis varies in the different projects. The entire process, from goal definition and approach, to methodology, outcome, application, and possible transferability, is described. The third chapter is more indepth and highlights different tools applied in the selected research projects, distinguishing between formal, informal, and technical tools.

22

INTRODUCTION

Project Overview 1 Lima Sustainable Water and Wastewater Management in Urban Growth Centres Coping with Climate Change—Concepts for Metropolitan Lima, Peru (LiWa) The LiWa Project initiated dialogues, developed scenarios and an infrastructure system simulator, and created tools, technologies, and an integrated planning strategy for Lima’s water-sensitive future urban development. The Lima Ecological Infrastructure Strategy (LEIS) provides guiding principles for the regional development plan and for future urban planning and water management at macro, medium, and micro scales. A geographical information system stores, analyses, and synthesises layers of environmental, infrastructural, and social data with regard to the urban water cycle. Based on the guiding principles and spatial analyses, prototypical water-sensitive design solutions for different water sources in varying spatial situations are presented within a design manual. These are applied and tested in the pilot project area of the lower Chillon River watershed, where different prototype solutions were designed, built, and tested in an effort to promote divergent water-sensitive solutions. 2 Theran-Karaj—Young Cities—Developing Energy-efficient Urban Fabric in the Tehran-Karaj Region The Young Cities project methodologically develops solutions for implementing low-carbon, climate change–resilient housing within the specific climatic, environmental, cultural, and economic context of the Tehran Region. It is a “research-by-design” approach with various pilot projects for Hashtgerd New Town, 65 km west of Tehran. The Shahre Javan Community area, as the main pilot project, serves as a research field for developing energy-efficient urban structures, offering climate change–adapted residential neighbourhoods for 8,000 inhabitants, including a social and cultural centre, retail and office spaces that are affordable and high quality, and that also have low carbon emissions. In an integrated design process, a team of researchers from the disciplines of urban planning, urban design, architecture, landscape, environmental assessment, mobility, and water treatment developed a significant ‘low rise– high density’ urban design concept, which takes into consideration the climate–adapted environmental aims of resource-efficient water treatment and sustainable open-space design, as well as the energy needs of the built settlement. 3 Ho Chi Minh City—Integrative Urban and Environmental Planning Framework—Adaptation to Climate Change—Sustainable Strategies for Climate-Oriented Urban Structures, Energy-efficient Housing Typologies and Comprehensive Environment Protection for Megacities of Tomorrow Rapidly developing Asian megacities, like Ho Chi Minh City (HCMC) in Vietnam, need to become more resilient and less vulnerable to climate change. The approach of the HCMC Megacity Project takes spatial planning and, subsequently, urban design strategies as their starting point. It highlights opportunities and challenges for spatially explicit adaptation strategies in HCMC and shows how adaptation to climate change can be used to influence land-use planning, urban design, and hence future urban development. Special attention is

23

given to urban climate- and water-management issues. It aims to formulate spatially explicit adaptation measures to climate change, which consider the conflicting interests of a multi-stakeholder environment. The presented tools combine spatially specific information with planning recommendations, and deliver guidelines and checklists to support day-today planning decisions on the urban design level. With an integrated planning approach, the tools attempt to address the fundamental problem of the Vietnamese planning system that seems to lie in the incorrect application and implementation of formal regulations rather than in the lack thereof. 4 The Shanghai Project—Integrated Approaches towards a Sustainable and Energy-efficient Urban Development—Urban Form, Mobility, Housing, and Living One of the project’s goals is to analyse the interrelationship between urban design, buildings, mobility, urban structures, and their effects on energy demand and CO2 emissions. Using integrated approaches, the Shanghai Project develops tools to evaluate and optimise the energy efficiency of new and existing neighbourhoods as an intermediate step in the development of strategies and concepts. These tools have already been applied in two pilot areas, which represent the characteristic rapid urban development within the Shanghai Region and China. The Hongqiao District is an example of mixed-use and multi-functional “low-carbon” urban development, oriented towards the city centre, while the Xinkai District is a mono-functional residential area with public housing built on what was previously agricultural land. Within the scope of the planning and implementation phases, the joint project team was responsible for developing guidelines and codes for buildings, the urban public space, and mobility, and for studying the effects of low-carbon measures on the actual energy consumption, as well as finding the optimal moment to invest in low-carbon measures. 5 Energy as a Key Element of an Integrated Climate Protection Concept for the City Region of Gauteng The EnerKey project assisted stakeholder groups in strategically improving the energy situation in the region. One of the challenges is the huge income disparity; accordingly, a great effort was made to provide income-group-oriented sustainable energy solutions. A major task was to present the energy and emission profile of Gauteng. Additionally, a regional energy and emission balance was undertaken. Gauteng suffers from sprawling urban development. A simulation model was developed to see how the region might grow in the future. Based on various scenario results, recommendations for sustainable urban growth were delivered. Furthermore, the Gauteng regional administration was assisted in establishing the “Gauteng Energy Office” that will foster energy projects in Gauteng. Strong support was given to the development of energy-efficient settlements. The “EnerKey long-term-perspective group” provided opportunities for long-term thinking in regular sessions, catering to more than 150 decision-makers in the region.

24

INTRODUCTION

CHALLENGES— A NEED FOR INTEGRATED APPROACHES

LIMA: Rimac River corridor overlooked by the San Cristobal Hill [Evelyn Merino Reyna]

Bernd Eisenberg, Eva Nemcova, Rossana Poblet, Antje Stokman

Lima: A Megacity in the Desert Profile Metropolitan Lima Peru’s capital, Lima, is located in the western desert coast of the Pacific Ocean and it is part of the Sechura Desert. The Lima metropolitan area stretches over the lower watersheds of the Chillon, Rimac, and Lurin rivers, and occupies former plain areas, desert, and slopes, in-between the coastal littoral of the Pacific Ocean and the branches of the western Andean slopes. To the north, it borders Huaral Province, to the east, Canta and Huarochirí provinces, to the south, Cañete Province, and to the west, the Pacific Ocean. The metropolitan area consists of the conurbation of the Lima and Callao Provinces, spatially connected, but with different political administrations, having both the status of provinces and regions. It extends from the Ancón District in the north, to Pucusana District in the south, and interfaces already exist from Huaral Province in the north to Cañete Province in the south, establishing an intermediate urban conurbation. According to the 2007 National Census, metropolitan Lima, including Callao Province, had a total population of 8,482,619 inhabitants. In accordance to the National Institute for Statistics and Informatics (Instituto Nacional de Estadística e Informática–INEI) projections, that total will have increased to 9,585,636 by 2013, and to a total population of 9,886,647 inhabitants by 2015, ratifying the constant urban growth in the city [INEI 2012]. The growth rate, itself, is actually decreasing, from more than 2% down to 1.5% in the coming decade. The population is distributed between forty-nine districts (forty-three districts are in Lima Province and six districts in Callao Province), creating five geographical areas that have similarities with regard to socio-cultural and economic characteristics: Lima Centro (centre), Lima Norte (north), Lima Sur (south), Lima Este (east) and Callao. For this reason, Lima is a polycentric city, with Lima North being the most populated and dynamic part of Lima’s metropolitan area. Moreover, nine districts already have a surface area of over 100 km². These are located mainly in dry areas and face major problems in providing basic infrastructure and services to their residents. These districts are: Carabayllo (347 km²), Ancón (299 km²), Lurigancho (236 km²), Cieneguilla (240 km²), Lurin (180 km²), Pachacámac (160 km²), San Juan de Lurigancho (131 km²), Punta Negra (131 km²), and Punta Hermosa (120 km²) [IMP 2012].

Tab. 1

Population, census 2007, and projections for 2012 [IMP 2012 based on INEI] Area Lima Province Callao Province Metropolitan Lima

27

LIMA

Surface (km²)

Population (2007)

Population (2012)

% Total Population at National level

2,670.40

7,605,742

8,468,323

28%

146.98

876,877

969,170

3,2%

2,817.38

8,482,612

9,437,493

31,2%

Of these, Carabayllo, located in the Chillon Valley, has faced the most dramatic change of land use from rural to urban in the last decade, resulting in the loss of important agricultural land and the pollution of water sources by the new urban development. Topography Metropolitan Lima is situated on the lower part of the western Andes branches. The Chillon, Rimac, and Lurin rivers shaped through erosion and sedimentation processes in the valleys and the floodplain along the coastal area. Thus Lima is mountainous to the east and has flat plains to the west. The main urban area is located at an altitude between 0 and 850 m above mean sea level. It extends from the shoreline in the west over the floodplain of the three watersheds (Chillon, Rimac, and Lurin) to the valleys of the Chillon River into the northeast, the Rimac River to the east, and the Lurin River to the southwest. In the mountainous areas, the slopes range from moderate to steep. Lima’s topography is determined by four main elements: (1) the littoral, characterised by small and medium-height cliffs with some parts that extend down to sea level forming beaches and bays; (2) the desert, characterised by a narrow flat area with an average width of 10 km with minimum level changes; (3) the valleys, formed by erosive and sedimentary processes due to the flow of Chillon, Rimac, and Lurin seasonal rivers transporting water from the upper parts, and gaining volume and speed during rainy season; and (4) the Andean foothills framing and creating a natural boundary for Lima to the west. Due to the steep topography, human occupation is often characterised as being risky. Here, also, seasonal ecosystems called “lomas” appear due to the concentration of humidity in the air blocked by the high mountains. In this context, Lima’s topography has been transformed since its origins, from a mainly desert country with limited water sources, to a fertile country, through the construction of irrigation channels creating agricultural areas and indirectly supporting the aquifers and water table recharge along the plain, thus creating a new cultural landscape. During the last decades, however, former valleys have been occupied intensively without considering the hydrological cycle and the balance between enclosed and open space for future urban development. Hydrology Peru can be separated into three hydrological regions, which are embedded in the hydrological system of South America. The first region is located between the littoral of the Pacific Ocean and the Andes, and it is known as the Pacific basin. The Atlantic region forms another hydrological region, which is the largest in South America and is known as the Atlantic basin. The third region is the Titicaca Lake hydrological zone surrounding the lake. According to the Human Development Report Peru 2009 (Informe sobre Desarollo Humano Perú 2009) [PNUD 2009] the Pacific basin plain covers 21.7% of Peruvian territory. In this region, there are fifty-three seasonal rivers with an overall flow direction from northeast to southwest. These water bodies and their respective watersheds extend from the slopes of the higher Andes (4,000–6,000 m) from where they flow to the Pacific Ocean, providing water for most of the population of the country. Seasonal rainfall and melting glaciers are the main water source for their formation together with water transfers, as is the case of the Rimac watershed. Otherwise, all the water from the Amazon basin flows to the Atlantic Ocean and extends over

28

CHALLENGES

Tab. 2

Hydrological regions in Peru [Human Development Report Peru 2009 PNUD] Hydrologic Region

Water

Population

Amazon basin

97.7%

33.50%

Pacific basin

1.80%

62.40%

Titicaca basin

0.50%

4.10%

74.5% of the Peruvian territory. This watershed also includes the Amazonas River which has a length of 1,771 km. The rivers here are fed from the rainfalls in the summer and from the glaciers' meltwater. Finally, the Titicaca watershed is formed by a radial river system, which leads into the lake. This watershed includes 3.9% of the national area [PNUD 2009]. Despite these high water reserves at national level, the bulk of the population is located in the water-scarce Pacific basin, thus requiring the establishment of a large, man-made infrastructure to transfer water from the Andean Mountains to the dry metropolitan areas. Consequently, the process starts when the water is collected during rainy season in artificial lagoons in the Atlantic basin and is then transferred through the trans-Andean tunnel to the Pacific basin, matching the volume for energy and potable water production. However, it is predicted that in the future, climate variability will directly affect the hydrological cycle, thereby increasing water vulnerability. According to the Environmental Report of Lima and Callao (Reporte Ambiental de Lima and Callao 2010), water vulnerability is a direct result of water dependency in the upper mountains, located mainly in the Atlantic basin (Mantaro watershed) and the Pacific basin (Chillon, Rimac, and Lurin watersheds), and the lack of awareness about water saving and efficient technologies by stakeholders and the population [Zucchetti et al. 2010]. This dependency occurs due to the water stress conditions that characterise the seasonal rivers in the Pacific basin. In the case of Peru, the variability of precipitation and the decreasing surface area of the glaciers could affect the accessibility and availability of water for human consumption, as well as for agriculture. According to the Peruvian Ministry of Environment, natural reserves represented by glaciers in the Andean mountain have been melting due to climate change effects, resulting in a loss of “22% of the total surface in the last 35 years” [Ministerio del Ambiente de Perú 2010]. In the project “Sustainable Water and Wastewater Management in Urban Growth Centres coping with Climate Change—Concepts for Metropolitan Lima” (LiWa-project), further studies of the watersheds influencing metropolitan Lima have been conducted and regionalised climate change scenarios have been calculated (for further information visit the LiWa webpage). As one major outcome of the LiWa Project Kosow, Leon, and Schütze describe five Scenarios for Lima and Callao in 2040 [Kosow et al. 2013]. They range from “Climate stress meets governance disaster” to “Climate resilience by governance”, and differ significantly with regard to governance, population growth (11,532,565–15,737,210), surplus or deficit of water supply, and socio economic characteristics.1

29

LIMA

Climate Dry climates are predominantly located between 25 and 35 degrees latitude. The world’s largest deserts are located in this region covering around 20% of the planet’s surface. According to the Köppen-Geiger’s climate classification, Lima is located in the dry and semi-arid area (BWh), characterised by the fact that annual precipitation is less than a threshold value set equal to the potential evapotranspiration. But, despite Lima being partly in the tropics and partly in the desert, it has mild weather conditions due to the Humboldt cold current and the Andean chain that create a temperate climate. Thus, the ocean current cools down the air, preventing the formation of clouds in the proximity of the coast. At the same time, the Andean mountain range acts as a climatic border, blocking clouds from crossing the Andean mountains from the Amazon basin. Therefore, the cooling effect and the climatic limit are the primary reason for the low precipitation in the area. During the winter months (between May and November) Lima’s temperatures oscillate between 14°C and 18°C, whilst humidity can reach as high as 98%, causing constant mist. During the summer months (between December and April) Lima’s climate is sunny, with a lower humidity and a comfortable temperature between 20°C and 28°C. Different districts have their own microclimates according to the altitude; for instance, the districts of Lurigancho, Chosica, Chaclacayo, and Cieneguilla have a mild, sunny climate throughout most of the year [Zucchetti et al. 2010]. These regular characteristics can be affected by long-term seasonal climatic phenomena, like El Niño and La Niña. El Niño disrupts the balance between wind, ocean currents, oceanic and atmospheric temperatures, and biosphere, causing severe climatic impacts on a global level. In fact, El Niño has a great impact on Peru’s climate and the water cycle, causing heavy rains over dry areas, natural disasters, and changes of the ecosystems in the sea and on the land. The El Niño phenomenon takes place on average cycles of three to seven years. As one of the positive effects, the increasing precipitation recharges the water table, but also causes elevated erosion on the slopes, which leads to mudslides and the increase of water levels in rivers and “huaycos” (fast sediment relocation represented by mud and rock slides). The resulting floods and mudslides endanger those who live in the proximity of the rivers and the mountain slopes. The rising water levels cause an increase of land suitable for agricultural purposes, but also a loss in certain areas because of the flooding and a loss of the crops because of the increasing temperatures. The phenomenon “La Niña” is occurring as follow up of “El Niño” and has the contrary effect on the climate in Lima. Winds from the west to the east of the Pacific blow with a higher intensity, which cause a decrease of the temperature and a decrease of precipitation. The decrease of precipitation can cause a shortage of water resources available [DIGESA et al. 2008].

Governance Metropolitan Lima, composed of the conurbation of Lima and Callao, is a distinctive city in Peru characterised by the presence of the Peruvian national government, two regional governments (Lima Province with regional competences and Callao Regional Government), two provincial municipalities (Lima and Callao), forty-nine district municipalities (forty-three in Lima and six in Callao), and the influence of a national government with different sectors and dependencies responding to different agendas at national level. Furthermore, organisations

30

CHALLENGES

relating to management, organisation, and territorial planning are strongly influenced by the Ministries of Housing, Construction, and Sanitation; Agriculture; Energy and Mines; the Prime Minister’s Office and others, thus limiting the functions of the local government. At metropolitan level, there is a special legal regime at the Metropolitan Municipality of Lima (MML) by which special functions are undertaken corresponding to the regional governments, without it being a defined region, resulting in an integration of both municipal functions (at the metropolitan and district level) and regional in the same entity, exercising the mayor of Lima’s three main functions as “Regional president”, “Lima province mayor”, and “Lima district mayor”. In this context effective and efficient city governance by the different authorities does not exist, resulting in overlapping functions in issues related to land use, urban planning, risk management, water management, natural resources, and environmental management, among others, directly affecting the urban development and facilitating informality. Spatial and Urban Planning During the last decade, the planning aspect has lost importance due to the lack of governance to implement the plans and economic priorities. In 1992, the Ministry of Economy and Finances assigned planning functions connected mainly with budgetary issues and a neoliberal economic model. In 2005, the National System of Strategic Planning was created, and the National Centre for Strategic Planning (CEPLAN) was implemented in 2008, which is now under the auspices of the Prime Minister’s Office. These institutions are responsible for creating policies that facilitate spatial planning at national level. The Ministry of Housing, Construction, and Sanitation promotes and creates norms related to housing, urbanism, construction, water, and sanitation through two vice-ministries: (1) Housing and Urbanism and (2) Construction and Sanitation. Territorial planning is managed by the Ministry of Environment (MINAM), which through the Territorial Planning General Directorate (Dirección General de Ordenamiento Territorial—DGOT) regulates and promotes the elaboration of Land Management Plans (POT) and Economic Ecologic Zoning (ZEE) by the regional governments and provincial municipalities. In the case of metropolitan Lima, urban planning has two important actors. On the one hand, the Urban Development Management Office is responsible for formulating and evaluating specific urban plans for conducting and supervising the processes of authorisations, certifications, and settlements concerning urban development within the framework of the applicable legal provisions. The Metropolitan Planning Institute is a technical body that supports and guides the urban planning process in Lima. On the other hand, Callao Region and Callao Province also have competences for spatial and urban planning in their jurisdiction, inhibiting the implementation of mutual spatial and urban planning considerations in Lima and Callao. Watershed and Water Management In the case of water management, there are different institutions mainly at central level that deal with natural and urban water at regional, metropolitan, and district levels. The Water Law established the National Authority of Water (ANA), part of the Ministry of Agriculture (MINAG), as the authority responsible for granting water rights. Additionally, the National

31

LIMA

Superintendence of Sanitation Services (SUNASS), part of the Prime Minister’s Office, is in charge of regulating, monitoring, and supervising sanitation companies and their performance. At metropolitan level, the state water utility company, SEDAPAL, under the Construction and Sanitation Directorate from the Ministry of Housing, Construction, and Sanitation (MVCS) is in charge of the water supply and sewerage system provision. In this context, the Municipality of Lima (MML) does not have the expertise regarding water management. This is an issue of discussion at political level. At watershed level, the formation of the Watershed Council of the Chillon, Rimac, and Lurin rivers (Consejo de Recursos Hídricos de las Cuencas de los Ríos Chillon, Rimac y Lurin) is foreseen with the aim to prepare the Management Plan for Water Resources and prioritise actions for the conservation, protection, and quality of water resources for the benefit of the city of Lima. However, despite its importance, it is not yet functioning properly as the election of its members has only recently been approved.

Challenges Metropolitan Lima is a city that is facing a unique set of challenges on a scale that is unparalleled. The dry desert climate poses a challenge, with minimum rainfall, low levels of wastewater reuse (only 10%), and climate change effects over the Andean mountains that are predicted to lead to a decreasing water supply [Kosow et al. 2013]. To develop sensitivity for water issues—water sensitivity—and an orientation towards the urban water cycle as the key planning factor, there is a paramount need for the sustainable urban development of metropolitan Lima. Furthermore, the rapid, uncontrolled urban growth consumes land with important ecosystem services and leaves a large proportion of the population in risky and vulnerable living conditions. In order to reverse, or at least mitigate, unsustainable urban development processes in cities like Lima, an urban water paradigm shift is needed, where urban-environmental planning concepts and approaches, such as green infrastructure, water-sensitive urban design, and ecosystem service protection may open new doors for sustainable urban development. Notes 1 Scenario A: “Climate stress meets governance disaster”, Scenario B: “The tragedy of isolated measures” (B1 “lone fighter catchment management” B2 “lone fighter private water company”), Scenario C: “The opportunities of mesoscale actors”, Scenario D: “Climate resilience by governance” [Kosow et al. 2013]

32

CHALLENGES

TEHRAN: Scales in traditional parts of Iranian cities [ISR TU Berlin]

Elke Pahl-Weber, Annette Wolpert

Tehran-Karaj: Rapid Urbanisation Profile of the Region During the twentieth century, Tehran’s population grew rapidly, resulting in its metamorphosis from a small town into a metropolis. Other cities in the province have also grown fast, and as the city of Tehran’s population growth began to gradually decrease, these cities continued to absorb more people [Habibi/Hourcade 2005]. In other words, the city of Tehran has reached a stable size, while its hinterland and peripheral areas continue to grow [Davoudpour 2009]. The main reasons for this population shift are the following: access to more affordable housing, the superior natural environment of the peripheral areas, and the bountiful physical and ecological assets of Tehran, as well as the strict rules imposed on its growth. Karaj city, however, has grown from a small town in a rural area to a city with more than one million inhabitants which is now the capital of the newly established Alborz Province. In 2006, Tehran Province had more than thirteen million inhabitants. The separation of the Alborz Province transferred about 2.5 million inhabitants, so that with little additional growth, the population of Tehran Province numbered 12 million in 2011. This amount is more than 16% of Iran’s total population.

Climatic Conditions Tehran and the region surrounding it are characterised by a distinctive climatic and topographic context, which requires specific strategies for the built environment. According to Köppen’s climate classification, Tehran Province is located in a semi-arid climate zone with warmer areas (city of Tehran) and colder areas (towards Hashtgerd) created by the region’s mountainous topography [Müller 1983]. The area is also characterised by large seasonal variances: in summer, temperatures can reach maximum values of more than 35°C followed by relatively cold winter periods with rainfall and snow. In addition to these seasonal fluctuations, the summer also has high diurnal variations. Winds are mainly westerly, transporting cold and moist air from the Mediterranean regions. In summer, there are warm, dry winds from the south and southeast, which are often also dusty due to their origin in the Kavir Desert. The low annual rainfall of 300 mm per square metre falls as snow during the winter months and, though scarce, provides a reliable source of water for the region’s residents. As the effects of climate change are increasingly felt in the region, the situation will most likely become ever more critical. Regional climate forecasts predict that the rising mean temperature of Iran will increase the runoff volume during winter, but decrease the runoff during spring as the rising temperature turns snowfall into rain and shortens the snow melt period. Thus, water scarcity is one of the major concerns of the region. Urban development in the Tehran-Karaj region is strongly determined by the distinctive topography. The region is partly located on the southern slope of the Alborz Mountains (ranging from 900 to 1,700 metre altitude). This high mountain barrier has limited the settlement de-

34

CHALLENGES

Fig. 1

Latest administrative subdivision and topography of Tehran Province [based on Statistical Centre of Iran 2011 and Tehran Municipality 2013]

Shemiranat

Firuzkuh Qods Malard

Tehran Damavand

Shahriar Eskam Shar Robat Karim

Pakdasht

Rey

Pishva

Varamin

Topography classification Mountain Hill Slope Plain

velopment to the north. To the south, the desert acts as a barrier against expansion, although it is not as definitive as the barrier of the mountains. Due to the lack of natural barrier to the west, the development of settlements has gradually grown from the city of Tehran towards the city of Karaj. Other key regional features are the high earthquake risk and the region’s vulnerability to natural hazards. The Tehran region is exposed to constant seismic threats, since one of the region’s main geological features is its location between the southern slopes of the huge mass of the central Alborz Mountains and the Iranian plateau. The rupture between the Alborz Mountains and the Iranian plateau is one of the largest of its kind in the world. This rupture is characterised by a series of faults, which are constantly active and create slight tremors [Hourcade 2005]. If they become active simultaneously, they pose a major threat to the region, although no significant seismic event has occurred during the past few centuries. Hashtgerd New Town is also located on the southern slopes of the Alborz Mountains in the western part of the Alborz Province. It is situated approximately 25 km, 60 km, and 75 km respectively from the neighbouring major cities of Karaj and Tehran to the east, and Quazvin to the west. The most significant natural features around the city include the Alborz Mountains to the west and Kordan River to the east of the city. Also important are the northern Taleghan Valley and Abyek plaine, both of which greatly affect the morphology of the area, creating the following unique characteristics: · an average north:south slope of 5% throughout the city · a series of small valleys with inclined slopes of between 20 and 50% · high-slope rivers The Share Javan Community pilot area is located in the southern part of Hashtgerd New Town and, thus, in the low-lying part of town.

35

TEHRAN-KARAJ

Fig. 2 Location of Hashtgerd New Town [Pahl-Weber et al.]

Hashtgerd New Town

Karaj

Tehrān

Urban Structure, Urbanisation Trends, and New Towns The urban area of Hashtgerd New Town has been planned to cover approximately 4,600 hectares, of which 4,000 hectares are dedicated to the New Town located north of the Tehran-Quazvin highway, and 600 hectares away from the industrial zone to the south. Hashtgerd New Town is organised within a north-south grid pattern that follows the topography at the foot of the Alborz Mountains. Twenty-five neighbourhood units for 20,000 residents, each separated by green spaces, will be developed, amending residential units with public and service facilities and supplementing them with large-scale facilities like shopping centres and a university. The urban design is clearly influenced by western New Town concepts, aiming to create a multi-nucleus town. The industrial area provides space for light industries, such as machine manufacturing, and instrument production, and large-scale facilities, such as a film studio and a hydroponic farming complex. Hashtgerd New Town’s urban form is dominated by free-standing three- to five-storey buildings, as well as vast open spaces [Figure 3 •]. With an average density of 150 inhabitants per hectare, urban density is compact compared to the average density of contemporary Iranian towns. It seems unlikely that Hashtgerd New Town will reach its targeted population of 500,000 inhabitants by 2016 as the speed of development is slower than expected. This is caused by complex reasons; for instance, the prices of housing units are high due to the high costs of site development in the semi-arid region, the long-term development process of new towns, and the high inflation rate. Furthermore, there is a lack of local services. Large-scale infrastructure, such as the university, which could act as urban catalysts, are not yet being built, and it is unclear when construction will start. The integration of Hashtgerd New Town into the regional public transport system is lacking and the metro link to Tehran is still under construction. Moreover, the monotonous urban design based on widespread building types creates no distinctive identity for the development. As is the case in most New Towns, it has not yet been possible to create sufficient employment opportunities. This is particularly significant since New Towns are often especially planned as self-sufficient towns that are

36

CHALLENGES

Fig. 3

Overlooking Hashtgerd New Town [Pahl-Weber et al.]

located remote to metropolises. Thus, their success depends highly on the creation of an economic base and on integration into regional transport networks. The necessary cooperation of responsible ministries and agencies concerning the town’s location, the allocation of industries, and the integration into transport networks have not yet been sufficient. Considering the overall aim of decongesting the urban agglomerations by absorbing population and creating economic growth poles, the New Town policy has failed thus far. Observing Iran’s rapid urbanisation figures and comparing them to the development stage of the New Towns, high expectations could not be met at this stage [Atash 2000; Ghalehnoee and Diba 2005].

Challenges Posed by Energy Consumption and Climate Change Massive population growth in the last three decades, with its subsequent urbanisation effects, created an increased energy demand. Based on data from 2006, Iran’s energy consumption is increasing at a rate of 7% per annum. The energy supply is largely based on fossil fuels and natural gas; this is particularly the case for buildings in Iran, which rely mainly on oil and natural gas. The construction sector is the biggest energy consumer in the country, accounting for 40% of the national energy consumption in 2004/5. One reason for this high proportion of the overall energy consumption of the built environment is the highly subsidised energy prices in Iran. However, energy subsidies were abolished by the government in 2009 and the issue of energy efficiency has been high on the political agenda [Nasrollahi 2011]. The Tehran Metropolitan Region is, in many ways, the focus of the tremendous challenges posed by energy consumption in Iran. Tehran is the nation’s political, economic, financial, and cultural centre, accounting for 70% of Iran’s economic and financial power (Fanni 2006). Despite the fact that Tehran only occupies 1.2% of Iran’s total landmass, the city houses 20% of the

37

TEHRAN-KARAJ

population and about 35% of the country’s industries [Tehran Geographic Information Centre 2004]. In 2006, the Tehran metropolitan region was estimated to have approximately 13.4 million inhabitants [Statistic Centre of Iran 2006]. The rising energy demand and the impact of the built environment on greenhouse gas (GHG) emissions make the built environment a crucial factor for mitigating Iranian climatechange impacts. Adapting the urban realm to current and future decades (2010–2040), Iran will experience a warmer and drier climate. Climate-change projections using MAGICC-SCENGEN predict a temperature increase of up to 4 degrees and an average 9% decrease in precipitation during the same period. With longer cooling periods, energy demand for cooling will increase, while increases in temperature will lead to more droughts, decreased agricultural production, and environmental degradation. Temperature increases will also lead to rising sea levels, threatening both the Persian Gulf and the Oman Sea. Given that Iran’s available settlement areas are based on regional hazard-risk and desert conditions, sea-level rises could potentially, and indirectly, increase the settlement pressure on the Tehran-Karaj region. The increase of temperature will also have a significant impact on cities and urban agglomerations, as temperature discrepancies are remarkably higher in heavily populated and industrialised areas. There are also health consequences: diseases transmitted by insects and rodents, heat stroke, and skin cancer. Vulnerability to climate change will also appear in other forms, such as the reduction in climate-dependent products, endangerment of national food security, increased unemployment, and acceleration of the already climbing rate of urban migration [DoE 2010]. These challenges defined the context and impetus for the Young Cities Project. Considering predicted climate-change impacts, the huge mitigation potential, and a rising political awareness of energy efficiency, the Young Cities Project aimed to develop methodologically sound solutions for implementing low-carbon, climate change–resilient housing within the specific environmental, cultural, and economic context of Iran. Thus, the project goals were defined as follows: · define the criteria and objectives for energy efficiency in semi-arid (and potentially warm) regions on the residential scale of urban quarters · develop technical and non-technical solutions for reducing energy consumption and increasing climate-change adaptation in the urban development of semi-arid regions · develop and implement appropriate planning and design strategies, including the evaluation of progress towards the project goals in collaboration with the Iranian partners · develop methodologies in the form of manuals and guidelines for energy-efficient, climate change–resilient planning and design for the Tehran-Karaj region—eventually resulting in adapted or new policies Before formulating a strategy to achieve those goals, a proper perception of the urban planning system of the country was imperative in order to be able to align the design and planning strategies more precisely within the specific geographic and cultural context.

Planning Background Iran has faced massive changes during the previous decades regarding its urbanisation process, and, respectively, its planning system. The urbanisation process of Iran can be described in three time periods: understanding of urbanisation (Qajar dynasty), renovation of urban-

38

CHALLENGES

isation and urban development (1920–1960, the First Pahlavi era), and the predomination of urbanisation and new urban development (1961 to the present, Second Pahlavi era and post Islamic revolution) [Pirzadeh 2008]. During the first period, the initial signs of industrial development, like factories, telegraph, railway, automobiles, hospitals etc., were introduced into Iranian cities and yielded to changes to take into account initial physical and spatial structures [Mashadizadeh 1995]. In the second period, the renewal process of cities was intensified under the ambitious policies of the government and the first urban development plans were drawn up. In other words, partial modernisation had occurred and the transformation of Iranian cities from traditional to modern—particularly Tehran—had begun [Ziari 2006]. The third period is known as the “rapid urbanisation period”. The most significant influential elements of this period were land reform (1962), the implementation of five-year development plans, the fast increase of oil income, rural to urban migration, the legalisation of different urban planning laws and development plans (Master Planning), and the establishment of the Ministry of Housing and Urban Development [Pirzadeh 2008; Ziari 2006]. Based on the urbanisation processes in Iran briefly described above, urban planning organisations and authorities have been established and modified gradually in order to deal with the aforementioned facts in the course of the contemporary history of urban planning in Iran. Urban Planning Structures and Bodies The current urban planning system of Iran is regarded as a sector-centralised model, where organisations and agencies in different planning levels are vertically linked. The responsive institutions at local level are considered the representatives of the equivalent ministry or organisation at national level [Hejazi 2003; Saeednia, 2013]. The urban planning bodies in Iran are structured in three spatial levels: national, regional (province, Ostan and county, Shahrestan) and local (city, Shahr) [Figure 4 •]. Practically speaking, the ministries and their affiliated organisations at national level are engaged in planning processes through policy-making, supervision, preparation of development plans, and budgeting, and their representative organisation at regional and local level are responsible for implementing the top-down planning orders and policies. Nonetheless, in this multi-agency system of planning, six key actors play a more significant role, directly and indirectly. The Ministry of Road and Urban Development (MRUD) and its affiliated organisations and companies, as a key actor, are responsible for the preparation of the majority of all urban development plans at different scales (most importantly, master or comprehensive plans, detailed plans, and New Town plans) [Zebardast 2005]. The Supreme Council of Architecture and Urban Development oversees the plans prepared by MRUD, and grants final approval for them [MRUD 2012], and moreover, sets up implementation guidelines. Commission No.5 is the responsible body for the revision, modification, and approval of detailed plans, as long as such alterations have no decisive contradiction with the master (comprehensive) plan [Saeednia 2003]. The Management and Planning Organisation (MPO) is the key actor regarding budget planning in Iran and is also responsible for preparing the national urban plans. Furthermore, this body grades and ranks the consultant engineers (both firms and individuals alike). The municipalities and the Islamic city councils are the main responsible local bodies involved in the urban planning system in Iran; however, neither organisation has enough legal power to influence the urban development and planning process of cities. Municipalities are

39

TEHRAN-KARAJ

Fig. 4 Governmental structures and levels [Pahl-Weber et al., Concept: Peyman Khodabakhsh/Arman FatheJalali, Graphics: Nadine Kuhla von Bergmann] Ministries and their representative organisations

Council / Comission

National Management & Planning Organisation

Ministry of Interior

Ministry of Islamic Guidance & Culture

Organisation / Affiliated company

Environmental Protection Organisation

Supreme Council of Architecture & Urban Development

Instrum

- socio-

- Nation - Speci

(agricu

New Town Development Company Urban Development & Revitalization Organisation

Ministry of Road & Urban Development

National Organisation of Land Use and Housing

Nati

Ministry for Technology & Communication & Power (Energy)

Instrum (Provin Road & Urban Development Organisation

Province's Management and Planning Organisation

Province‘s Planning & Development Council

Telecommunication Company Electricity Distribution Company

Province Governor (Ostandari)

Province‘s Environmental Protection Organisation

Commission No. 5

- Regio - Provin

- Sub-re - Urban

Water & Wastewater Management Co

Cultural Heritage & Tourism Organisation

Reg

Instrum (City: “

Islamic City Council

Relation type Interaction Regulation

Supervision Budget planning

Budget planning & Supervision

public bodies that are more or less financially independent (municipalities of small cities still receive financial support from the province governor), and overseen by the Ministry of Interior and recently by the Islamic City Council. Therefore, the municipality is more of an explicative rather than a legislative authority and its responsibilities are limited to the implementation of master plans, detailed plans, and other urban management activities (i.e., sanitation and street naming) [Zamani and Arefi 2013]. Islamic City Council, as the last important actor, elects the mayor and oversees the municipality budgets. Additionally, they are under the financial auspices of the budget for the preparation of detailed plans [Saeednia 2013].

40

CHALLENGES

- Comp for lar (“Tarh - Detail for lar - Urban with p - New c - Site-d (“Ama - Upgra for exi

Loca

ed

Instruments on national level

&

ion

- socio-economic and cultural five-year plan - National physical plan, land development plan - Specific master plan

Scale

1:1 000 000 1:250 000

(agriculture, airports, & port master plans)

ent

ation

of g

tion

bution

National Level

Instruments on regional level (Province: “Ostan“) - Regional master plans - Provincial & regional master plans

1:250 000 1:50 000

- Sub-regional master plans - Urban complex plans for megacities

water o

e& sation

Regional Level Instrument on local level (City: “Shahr”) - Comprehensive (master) plans for large and medium-sized cities (“Tarhe Jame“) - Detailed plans (“Tarh-e-Tafsili“) for large and medium-sized cities - Urban guidance plans for small cities with population less than 50 000 - New city plans - Site-development plans for cities (“Amade sazi“) - Upgrading and renewal plans for existing urban fabric

1:10 000 1:2 000

Local Level

Development Plans Similar to the planning structure and bodies, there is a hierarchical classification of plans in Iran. All development plans in Iran are categorised into three main levels: national, regional, and local level. Similar to the planning bodies, each plan should be produced based on the defined framework of the affiliated higher-level plan. Therefore, a top-down system is again observable. Among different kind of plans, the most influential at local level is the Tarh-e-Tafsili (detailed plan), which will be illustrated in the following section.

41

TEHRAN-KARAJ

Fig. 5 Tarh-e-Tafsili approval process and Tarh-e-Tafsili approval process for new towns [Pahl-Weber et al., Concept: Peyman Khodabakhsh/ Arman FatheJalali, Graphics: Nadine Kuhla von Bergmann]

Islamic City Council

Contract

Contract signing with a qualified consulting engineering company

Organisation of Road and Urban Development

Plan preparation

Preparation of Tarh-e-Tafsili by selected consulting engineering company

Urban planning consulting engineering company

Revision phase

Implementation phase

Approval & notification

42

CHALLENGES

Final evaluation of Tarh-e-Tafsili through approval meeting of members of Commission No. 5 and final approval

A n

Commission No. 5

Notification of the approved plan for implementation phase

Implemention of Tarh-e-Tafsili with cooperation of public and private developers Islamic City Council

Plan revision

P p

E a o

Technical committee of Commission No. 5

Municipality

Plan implementation

C

Approval phase

Approval phase

Evaluation & Evaluation of the prepared Tarh-e-Tafsili through different assessment meetings bof experts from of the plan different disciplines

Budget phase

Tarh-e-Tafsili

Preparation phase

Allocation of needed budget for preparation of

Actor (Organisation) Management and Planning Organisartion

Check and evaluation of revisons (or changes) in Tarh-e-Tafsili, requested by Municipality, and approval of applied changes

Commission No. 5

In case of essential conflicts with naster (comprehensive) plan, check and final approval of the changes

Supreme Council of Architecture and Urban Development

Implementation phase

Budget allocation

Action

Revision phase

Preparation phase

Budget phase

Step

P i t

P r

ad ment

sulting ny

Budget phase Preparation phase

ion

Action

Budget allocation

Allocation of needed budget for preparation of Tarh-e-Tafsili

New Town Development Company (NTDC)

Plan preparation

Preparation of Tarh-e-Tafsili by selected consulting engineering company

Urban planning consulting engineering company

Initial evaluation of the prepared Tarh-e-Tafsili through different meetings by experts from different disciplines

NTDC Working group

prepared Tarh-e-Tafsili through different meetings by experts from different disciplines

Technical committee of Commission No. 5

Approval phase Implementation phase

Management and Planning Organisation

Contract signing with a qualified consulting engineering company

Approval & notification

Revision phase

Actor (Organisation)

Contract

Evaluation& assessment Further evaluation of the of the plan

e of

f rban

Step

Plan implementation

Plan revision

Final evaluation of Tarh-e-Tafsili through approval meeting by members of Commission No. 5 and final approval

Land allocation and implemention of Tarh-e-Tafsili with cooperation of public and private developers by New Town Company and later by Municipality and Islamic City Council after their establishment Check and evaluation of revisons (or changes) in Tarh-e-Tafsili, requested by NTC or Municipality, and approval of applied changes

In case of essential conflicts with Master Plan, check and final approval of the changes

approval of

43

Commission No. 5

Notofication of the approved plan for implemantation phase

TEHRAN-KARAJ

New Town Company (NTC)

Municipality Islamic City Council

Developers (Maskan Sazan Co., Cooperations, Sectoral Infrastructural Organisations)

Commission No. 5

Supreme Council of Architecture and Urban Development

Tarh-e-Tafsili The Tarh-e-Tafsili is a local-level development plan, in which urban services and spatial zones are proposed within a detailed structure of form and content. Such a plan provides specific guidelines for different urban sectors, which, based on their priorities, will be reflected as implementation plans in the execution process for municipalities—the local implementation body in Iran. The Tarh-e-Tafsili is a plan, in the framework of a master or comprehensive plan, with general regulations and criteria that provide the exact land use for specific areas in urban districts at local level. The most important functional items outlined in a Tarh-e-Tafsili are the following: detailed access network; population and building densities in local urban units; the regeneration, renovation, and other urban-shortage priorities; the exact location of urban development elements; and, last but not least, land ownership and specifications based on the official registration. [MRUD 2012]. The content of Tarh-e-Tafsili and the master plan are different, mostly with regard to the level of detail. The information that is presented in an urban master plan as a general framework should be further specified through details in the Tarh-e-Tafsili. The main content of the Tarh-e-Tafsili is as follows: a land-use map, an access network map, per-capita area, implementation criteria, and regulations of the master plan as the framework for the Tarh-e-Tafsili. These plans are part of the Tarh-e-Tafsili and should be approved by the legal administrations. In fact, the Tarh-e-Tafsili contains all necessary details and definitions on the level of urban neighbourhoods [Shiee 1375:96]. The entire Tarh-e-Tafsili approval process consists of five primary steps [Figure 5 •]. The process starts with the budget definition by the MRUD and the municipality, which should be agreed upon by the MPO and the Islamic City Council respectively. The subsequent step is the plan preparation process, which is normally undertaken by qualified urban planning consultaning engineers under the procedural and functional supervision of the Road and Urban Development Organisation and the functional supervision of the municipality. Within a specific time frame, the finalised Tarh-e-Tafsili should be submitted to Commission No.5 for the enactment process. The accuracy and quality of the plan in accordance to the master plan with regard to both form and content are assessed by the Technical Committee of Commission No.5. When there are no functional conflicts or contradictions, the plan is notified for the implementation phase to the municipality and the Islamic City Council. During the implementation phase, the need for revision might occur and a further revision process should be formally requested from Commission No.5. If basic conflicts with the master plan arise, then the whole procedure has to be handled by the Supreme Council of Architecture and Urban Development, as the legitimated body for final decision-making [MRUD 2012]. The entire outlined process is also applicable for the Tarh-e-Tafsili process in New Towns, though some alterations would still need to be considered. These alterations are mostly in terms of authority responsibilities, which are illustrated in Figure 5 •.

44

CHALLENGES

HO CHI MINH CITY: Alley scene [Andreas Gravert]

Andreas Gravert, Ralf Kersten, Ronald Eckert, Frank Schwartze, Marcus Jeutner, Harry Storch

HCMC: A Flood-prone Megacity City Profile The largest city in Vietnam, Ho Chi Minh City (HCMC), has not only become the country’s economic and cultural centre, but also an important socio-economic hub in the Southeast Asian region. With its airport, harbour, and intersection of main arterial roads, the city is well connected to international markets, and serves as a gateway for South Vietnam. Today, the HCMC region accounts for almost 70% of the country’s export revenues, and contributes to 40% of its GDP [SIUP South/MoC 2007]. The region’s average income is nearly 30 million Vietnamese Dong (VND) per year, which is more than 2.5 times the national average. HCMC’s economy is expected to grow at a rate of 7% per year until 2025 [PricewaterhouseCoopers 2009]. The suburban and peri-urban areas beyond the municipal borders show similar growth rates. Here, rapid industrialisation is taking place, while in the centre labour-intensive production is increasingly being replaced by service, commerce, education, and high-tech industries. The city’s core area covers about 2,095 km² and accommodates 7.5 million people, which translates to a population density of about 3,580 people per km² (2011). This statistic excludes about 2 million temporary residents. The greater agglomeration consists of eight different provinces and has 16.5 million inhabitants [SIUP South/MoC 2007; GSO 2011]. More than 70% of the population of the region is below the age of thirty-five, a fact that indicates the high natural growth rates projected for the future. A further important driver of population growth is migration. Due to its role as the country’s economic centre, the HCMC region is the most attractive destination for the country’s stream of migrants. In Binh Duong, for instance, a neighbouring province of HCMC, about one third of the total population has migrated from other parts of the country within the last decade [Marx/Fleischer 2010]. During the coming years, the city’s population will grow by an average annual rate of 3.5%, which means that by 2025, the core city is expected to host more than 10 million inhabitants and the HCMC region about 25 million inhabitants [SIUP South/MoC 2007; UPI/Nikken Sekkei 2007]. Located on the north-eastern fringe of the Mekong Delta and downstream from the Saigon and Dongnai rivers, Ho Chi Minh City has a strong relationship to water. It features a shoreline of the South China Sea, as well as a large mangrove forest. Large parts of the city are situated on low-lying, marshy land that is traversed by a complex network of canals and rivers. These topographic and geographic conditions, together with the climatic conditions of the region, make the city extremely vulnerable to various sources of flooding.

Climate Conditions With an average temperature of 27–28°C and maximum temperatures of up to 40°C, the HCMC region has a typical tropical wet and dry seasonal climate. Because of climate change, the average temperature is expected to be about 1.4°C higher in 2050 than in the baseline period of 1980–1989 [ADB 2010]. However, this does not take into account the urban heat island

46

CHALLENGES

Fig. 1

Ho Chi Minh City—Elevation above mean sea level (AMSL) [Storch/Downes 2013a] > 20.0 m 15.0 m – ≤ 20.0 m 10.0 m – ≤ 15.0 m 7.5 m – ≤ 10.0 m 5.0 m – ≤ 7.5 m 2.5 m – ≤ 5.0 m 2.0 m – ≤ 2.5 m 1.5 m – ≤ 2.0 m 1.0 m – ≤ 1.5 m 0.5 m – ≤ 1.0 m 0.0 m – ≤ 0.5 m ≤ 0.0 m

effect, which is accountable for the fact that dense urban areas are up to 10°C warmer than rural areas [Thi Van et al. 2009]. This effect is also expected to increase in future due to rapid urbanisation and economic development. HCMC is mostly built on low-lying marshland that is part of the large river delta. As much as 40–45% of the land is situated at between zero and one metre altitude, whilst 15–20% lies between one and two metres in elevation [ADB 2010] [Figure 1 •]. Thus, large sections of the urban fabric are at a high risk of flooding and landslides. This problem is exacerbated by the fact that land levels are continuously sinking because of decreasing groundwater levels [Le and Ho 2009]. Due to its geographic location, HCMC is regularly affected by flooding caused by high-tides, heavy rainfall, and storm surges. Nearly half of the city’s 322 communes and wards regularly experience flooding. This means that 110,000 hectares of land and about 971,000 people—12% of HCMC’s population—are regularly affected by floods [ADB 2010]. Furthermore, sea levels are expected to rise by 3 mm per year [World Bank 2010], or by as much as 25 cm by 2050 [ADB 2010]. The region’s low-lying areas at the river delta to the south face the highest exposure to sea-level rise. Here the provinces of Tien Giang, and Long An, as well as southern and western HCMC, are located. The construction activities in marshland and riverbeds also cause an increasing pace of rising river levels. Ongoing climate change will have the effect that storms and storm surges will be more frequent and intense, and monsoon rainfall will also become more acute [ADB 2010]. The problem of rising sea and river levels and the increasing amount of rainfall due to climate change will lead to the situation where only land that lies above three metres in altitude will not be exposed to floods. The rapid urbanisation of the last decades is exacer-

47

HO CHI MINH CITY

bating the situation. Between 1989 and 2006, the impermeable surface area of HCMC has doubled [Tran and Ha 2007]. The agglomeration has grown both upstream and downstream into unsealed areas such as forests, agricultural land, green areas, and wetlands. The construction of roads and buildings has increased the rate of the disappearance of natural flood prevention systems. Due to this process, the region’s soil has lost its absorption and evaporation capacity which is the primary reason for the increased surface runoff during heavy rainfall and flooding. The expansion of HCMC also did not take into account the topographic conditions, so that at some points the city advanced into low-lying lands and wetlands, which once contributed to the natural water retention capacity of the region. The storage capacity of the city’s water network has also been reduced by construction activities that are occupying riverbeds, narrowing floodplain areas, and altering the natural flow of rivers. In the emerging mega-urban regions of Southeast Asia, both planned and unplanned urbanisation into flood-prone areas appears to be an unavoidable consequence of socio-economic development. These risks often do not occur due to a lack of awareness or weak planning instruments, but seem rather to be an accepted consequence of maintaining current economic success and social progress. Floodrisk protection and implementation of costly mitigation measures are often shifted to future development cycles, where implementation is not seen to constrain economic goals. Disasters like the recent flooding in Bangkok in 2011 have, however, shown the risks associated with such strategies, the associated economic losses, and the social implications.

Land-Use Structure and Growth Trends The main type of land use in HCMC is for residential purposes. According to the amount of coverage of plots by buildings, the inner city is built quite densely. The reason for this can be found in the existing regulations of site coverage, which differ according to plot size. Especially in small and medium-sized plots—the bulk of construction sites in HCMC belong to this category— land coverage can be so high that it can reach up to 70–100% in the inner cities [MoC 2008]. HCMC’s urban fabric is still, to this day, dominated by row or shop house typologies. The well-known “shop house” is a transformation over centuries from the traditional Vietnamese vernacular architecture dominated by rural, freestanding, single-storey courtyard houses. These buildings are usually two to five storeys high, three to five metres wide and are usually up to twenty metres long, in some cases even up to forty metres. The “shop house” is usually only accessed from one narrow side and constructed with three remaining firewalls. The “shop” traditionally provides space for income generation on the ground floor, while the living space is situated to the rear or on the upper floors. As a basic urban module, this typology forms an orthogonal grid of 40–80-metre-wide blocks with double-row plots back-to-back, resulting in a very high building coverage ratio of up to 100% [Eckert 2011b]. While Vietnam’s rural, freestanding typologies allow for continuous natural ventilation, which is a favourable desire in hot-humid tropics, the shop house typology is most effective in hot-arid climates [Abel 2000]. However, for a long time this typology was rarely more than two stories high. The shop house was featured with small yards, allowing cross-ventilation as well. The urban shop house typology has lost these features in the last decades. Due to the high building coverage ratio, these buildings have shown the highest surface runoff rates, a fact which should be considered for any kind of future implementation of sustainable water surface management.

48

CHALLENGES

HCMC’s strong population growth is not leading to a significant densification of urban structures within the existing built-up urban areas. Instead, an accelerating suburbanisation process will lead to a growth of urban agglomerations in the surrounding districts of the core city. These growing districts are creating a belt around the city centre that will continuously expand in a “donut-shaped” development towards the periphery of the agglomeration [UPI/ Nikken Sekkei 2007]. By 2020, it is foreseen that the present land-use plan will have an increase of 25% in formal land coverage. If the informal conversion of land continues at the current rate, the decrease of open land will be far higher [ADB 2010]. Basic conditions for the development of residential land, such as distance to industrial sites, traffic arteries, or soil conditions are often not sufficiently taken into account. In fact, a large part of the current residential development is occurring on low-lying and flood-prone land. The districts of Binh Tan, Binh Chanh, Thu Duc, Nha Be, and District 12, 9, 7, and 2 [Figure 1 •] are all located on land that has mostly an elevation of less than one metre above mean sea level. These tendencies of urban growth have caused the emergence of new, flood-prone areas that will repeatedly face risks in future. Today, inner city districts have the highest population densities, which also means that there is a lot of pressure on the overburdened infrastructure in these areas. However, while the suburban areas increase, the population in the city centre diminishes due to infrastructure investments, the conversion of housing into economic facilities, and the transformation of HCMC’s housing stock from dense informal and low-income housing, to larger, more space-consuming typologies for higher income groups [MoC 2001]. Furthermore, the suburban expansion to the south and west is largely driven by the emerging middle class. The close proximity to HCMC’s central business district and the large amount of available building sites made the Thu Thiem peninsula and District 2 in the east, as well as District 7, Binh Chanh, Nha Be, and Phu My Hung in the south, especially attractive for large-scale urban development projects. Here, development costs are usually high due to the low elevation of the building sites [Figure 1 •], the soil conditions, and the underdeveloped infrastructure in these areas. New urban middle class areas, such as District 2 are expected to have a population density of 10,000 people per km², which is a sharp contrast to today’s inner city urban areas that have densities of up to 30,000 people per km² [UPI/Nikken Sekkei 2007]. Contemporary urban development in HCMC is mainly driven by the private sector. The bulk of important urban development projects and real estate investments have been realised by private investments. Besides the main allocation of land for housing, many factories can still be found within the inner city. Since land prices are increasing and Ho Chi Minh City aims to climb up the value chain, labour-intensive production will continuously be pushed to outer urban areas and will be replaced by white-collar industries such as service and finance. This process is supported by the Ministry of Construction (MoC), which aims to relocate polluting factories from the inner cities. The conversion of former industrial sites into office and housing areas are also part of the current dynamic of HCMC’s land market. The growing industrial zones outside the city’s core are creating job opportunities that will further attract low-income groups from all over Vietnam to migrate to the HCMC region. Besides that, affordable land prices will encourage urban middle-class households to purchase property outside the inner-city areas and they will move into the suburban areas. Increasing income levels will not only lead to a higher demand in quantity and quality of housing, but also to higher car-ownership rates. The combination of a sprawling urbanisation process and an increase in private car ownership will lead to higher pressure on the already overburdened road infrastructure.

49

HO CHI MINH CITY

The city’s administration is aiming to steer the growth of the city into its hinterland by defining five major development corridors [SIUP South/MoC 2007]. These corridors connect the most important satellite towns that are supposed to serve as a relief to the existing dense urban areas. Besides housing, these areas will also provide secondary services, as well as transport connections, the development of which will have to continue in future. During the following decades, the agglomerations surrounding HCMC will conflate to an emerging mega-urban region. The expansion of the city’s core will include neighbouring agglomerations such as Thu Duc, Bien Hoa, and Thu Dau Mot.

The Vietnamese Planning System The general urban planning system of Vietnam can be described as a multilayered entity, the leading institution of which is the MoC with its various departments. Alongside the Ministry of Planning and Investment (MPI) and other ministries, the MoC is preparing the overall regional planning. Current regional planning in Vietnam, however, neither has actual institutional power nor strategic value. For the most part, it is a compilation of provincial and sectoral planning [Gravert 2012]. On the provincial level, the HCMC Department of Planning and Architecture (DPA), which is subordinated to the MoC develops the master plan for the whole municipal area of HCMC. This plan will be drawn up at the scale of 1:50,000 or 1:25,000. Here, the DPA receives contributions and consultancy from different departments. In that process the Ho Chi Minh City People Committee (HCMC-PC ) has the role of coordinator and leader. After the general plan has been approved by the HCMC-PC, the plan will be officially reviewed and approved by the MoC and the Prime Minister himself. Thereafter, the general plan will be transferred into zoning and detailed plans at the district level. Here, the district’s local committee will be in charge of the management and control of the process. The DPA will only be responsible for planning and approving for areas that are situated on the periphery of districts, or else for critical inner-city projects. At the project level, detailed plans will be drawn up by private developers. These plans will have to get approval by the districts' local committee and sometimes the DPA [Figure 2 •] [Eckert 2011a]. The Urban Planning Law [SRV 2009], introduced in 2009, defines the main spatial planning levels, and the related statutory planning documents, as well their content. While the law only requires detailed urban design and technical infrastructure specifications as an inherent part of each planning level, the binding specifications themselves are noted in additional standards and codes, mainly the Building and Energy Efficiency Code for the building level and the Building Code for Regional and Urban Planning for the urban planning and design level [Figure 2 •]. It has, however, become evident that the low level of planning regulations is symptomatic of the Vietnamese planning system. Planning processes and construction projects are only regulated by a few legal provisions and their compliance is almost never observed. The current requirements at the urban-design level are mostly influenced by classical planning objectives, for example, to provide acceptable living and working conditions, or to provide an adequate infrastructure. Planning objectives that aim for climate change adaptation or a sustainable development in general are missing. To give an example of current urban design regulations in terms of open-space provision, the Building Code for Regional and Urban Planning requires “at least 2 m²/ person of public-use greenery land within a residential unit”

50

CHALLENGES

Fig. 2

Current Vietnamese planning system [adapted from Eckert 2011a]

or “7 m²/ person, or above, of overall green land in the overall urban area”. Regulations on how to design this open space to ensure, for example, climatic functions like natural ventilation, rainwater infiltration, or cooling through evapotranspiration are missing. In practice, new neighbourhoods generally provide the above-mentioned minimum ratio of open space according to the code. But the open space is very often fragmented into small-scale parks, hampering local ventilation within a neighbourhood, or else the open space consists of hard surfaces, inhibiting rainwater infiltration. The codes are not specific enough and lack reinforcement. In many cases projects have been changed by the developer after their approval during the construction process in order to achieve more space for building structures. Additionally, the Urban Planning Law introduced the level of zoning as an intermediate planning level between the district level and the level of specific projects, but without the formulation of respective specifications. Furthermore, the law demands Strategic Environmental Assessments (SEA) as a requirement of the general, zoning, and detailed planning level for the first time [Eckert 2011a]. The related decrees to specify the environmental assessment for each level were introduced two years later, in 2011. An effective application of SEA in urban development plans, however, has not yet been observed. Parallel to, and with insufficient connection to the urban planning processes, land-use planning is organised under the competency of the local Department of the Natural Resources and Environment (DoNRE), which is subordinate to MoNRE, the Ministry of the Natural Resources and Environment, on national level. The DoNRE is in charge of the provincial

51

HO CHI MINH CITY

land-use plans, which are the basic land-management framework for the provinces defining land use and approving district land-use plans. The land-use plan serves the state management of land as a natural resource and mainly allocates how much land should be used, for example, for agriculture, industry, residential, or public use. The land-use plan only displays the designation of land-use utilisation and not the inherent qualities. It has to conform [Land Law, Article 21] to other planning documents; however, both planning processes lack the capability of integration of different sectors and concerns, and a mechanism to solve conflicts between different interests manifested in different claims on land use, especially between socio-economic development and environmental protection [Gravert/Wiechmann 2013]. The issue and administration of land-use rights and their transfer, as well as changes in land use are under the competency of DoNRE, so that they play an important role in managing urban change processes. According to the Land Law, environmental protection ought to be considered in land-use planning, but only in a very broad sense. Neither climate change nor SEA has been mentioned in the Land Law thus far. The DoNRE and the MoNRE are of primary importance in the context of spatial planning and climate change, since the DoNRE is the provincial cross-sector coordinating and supervising agency for climate-change response. They are preparing the climate-change action plans and are coordinating the implementation of them by a steering group. The DoNRE is also responsible for the application of SEA and the review of all other sector and spatial plans in the city concerning their environmental sustainability and their effectiveness in meeting climate-change adaptation requirements. Equally, MoNRE is the cross-sector coordinating and supervising agency for the implementation of the National Target Programme to Respond to Climate Change. The adjustment of HCMC’s current urban development pattern at the strategic or citywide scale needs better coordination and links between land-use and urban-development planning in order to react in an appropriate way to the upcoming challenges of a more integrated and environmentally sound urban development that has the capacity to take climate-change consideration into account [Gravert/Wiechmann 2013].

Challenges The higher frequency and greater severity of environmental problems, particularly flooding, have started to raise the awareness of climate change. Generally speaking, a high degree of awareness among decision-makers and planners can be revealed in Vietnam and HCMC since 2008. Following the National Target Programme to Respond to Climate Change in 2008 [MoNRE 2008], the issue of climate change has been filtering down from Vietnam’s national level to the local level. Here, every city and province is obliged to set up an action plan to respond to climate change, incorporating local institutions and departments. Reducing vulnerability to climate change has become an urgent issue on the agenda of the city’s authorities, among others, the environmental and planning institutions [Schwartze et al. 2011]. However, the main underlying factor for flooding is considered to be urban development, rather than climate change. Therefore, urban planning should have a key role for the city’s adaptation to these environmental and climate-change threats. The urban form of HCMC is the most apparent part of its unsustainable urban development. The current urban development hardly takes into account climate-related risks for the built environment and its inhabitants. The rapid growth of residential areas into the surrounding wetlands is one of the city’s greatest

52

CHALLENGES

concerns. Construction and land-use plans are required to provide recommendations on investment, design, and development strategies that are efficient and sustainable in the use of resources [APA 2010]. The constant endeavour to integrate different sectors, stakeholders, and administrative entities, as well as the combination of long-term thinking with short-term action, makes urban planning an essential element of climate-change response—clearly being a cross-cutting and long-term issue. Climate-change impacts affect ecosystems and regions, not limited administrative entities. Thus, an effective climate-change response should be coherently organised across borders. This is particularly true for the HCMC region. Not only is the main agglomeration, along with some of its basic functions (e.g., port, airport), expanding beyond provincial borders, the city is also historically closely interlinked with its hinterland (especially the Mekong Delta) with regards to economy, ecology, and food and water supply. Anticipatory climate-change response requires regionally coordinated strategies, particularly with regard to flooding. Coordinated management of nature reserves, river basins, water supply, and shore protection is required and implies the participation of other ministries than only those specifically assigned to dealing with environmental issues (MoNRE/MARD). Urban sprawl and extensive land coverage are contributing to the increasing flood risk and also require a regional response. The core function of urban planning—the steering of land-use patterns—is a basic requirement for adaptation. It allows for an energy-efficient and climate change–adapted distribution of settlement structures, or the preservation of a network of green corridors for ventilation and flood protection [Davoudi et al. 2009; ARL 2009]. A comprehensive planning framework providing information and strategies for adaptation and mitigation, and helping to integrate environmental concerns into urban development processes, as well as the different plans, actors, and agencies, is a first step to creating a more resilient city.

53

HO CHI MINH CITY

SHANGHAI: Gentrification of a historic neighbourhood—the price of preservation? [ISS]

Sabine Drobek, Hannah Baltes, J. Alexander Schmidt

Shanghai: Highspeed Urbanisation Profile The Shanghai region is the most important industrial city in China and has a population of 13,680,800 registered inhabitants (18,150,800, including long-term migrants) with a population density of 2,158 persons/km² and around 5 million households (2006) [CSP 2007]. The growth dynamic of the city is unprecedented: in 2010 the population reached 22.32 million [STATISTA 2013b]. Based on the population of the total administrative area, Shanghai is the second largest of the four directly controlled municipalities of China—Chongqing being the largest—but is generally considered the largest Chinese city because Chongqing’s urban population is far smaller [Chan 2007]. The Shanghai region covers a total area of 6,341 km² (land area of 6,219 km² and water area of 122 km²). The city is about 100 km wide from east to west and 120 km long from north to south. The Shanghai region comprises nineteen districts (eighteen boroughs and one county); in 2007 it generated a GDP of 1,036,637 million Yuan (75,990 Yuan/capita; 67,492 Yuan/ capita, including long-term migrants) [CSP 2007]. Fig. 0

Shanghai Skyline [ISS]

55

SHANGHAI

Fig. 1

Map of the Shanghai region [ISS]

Shanghai is located on the eastern fringe of the Yangtze River delta, which is in the centre of the coastline from north to south, on the mouth of the Yangtze River. The city enjoys convenient communications and a favourable geographic location with a well-equipped harbour and a vast hinterland. The city averages about 4 m above sea level, on terrain that is a part of a broad, flat alluvial plain of the Yangtze River delta with a few low hills in the southwest. There are many rivers, canals, streams, and lakes in and around the city. The largest waterways are the Huangpu River and its tributaries, and the Wusong River (or Suzhou Creek) [CSP 2007].

Climate Shanghai has a subtropical, monsoon climate with four distinct seasons and is situated within the “hot summer/cold winter region” in China. This classification is based on heating requirements in China. Shanghai is therefore situated in the transition zone, where there is significant demand for space heating in the winter and space cooling in the summer. The Ministry of Construction (MOC) has authority over building energy efficiency standards. In the transitional zone, provincial governments have developed standards with the support of the MOC. Enforcement is of primary concern for building energy efficiency. Some codes exist, but it is left up to design institutes (i.e., architectural firms) to be aware of the regulatory codes and to design accordingly. No proper enforcement mechanism exists [CHINAHOUSING 2007b]. The average yearly temperature is 18.4 °C with an upper limit of 38.6 °C for air temperature and a lower, limit of –3.5 °C. On average, Shanghai has 1,638 hours of sunshine and 129 rainy days with an average rainfall of 1,255 mm per annum. As the Shanghai project evaluated the energy efficiency of buildings and developed a calculation system for the building energy demand, further information about the Shanghai climate are of interest: according

56

CHALLENGES

Fig. 2

Climatic regions of China (Köppen) [BBS 2008]

to efficiency standards the heating period in Shanghai lasts from mid-November until the first week of April (around 144 days) and the cooling period lasts from the end of April until mid-October (around 167 days). The heating degree days amount to 1,545 Kd and the cooling degree days to 906 Kd.

57

SHANGHAI

Structure During the past decade, urban development and mobility in China have become a political, technological, scientific, and, above all, an ecological issue. Various aspects have provided impetus: economic dynamics and environmental damage, the migration of people from rural districts to mega-cities and increasing prosperity, the finite resource of fossil fuels, and environmental targets accepted virtually worldwide that call for the drastic reduction of global CO2-emissions. China is in a phase of dynamic structural change that will result in new urban forms and urban qualities. This phase is distinguished by characteristics such as the disintegration of established order, increasing destabilisation of the system, and newly constituted patterns of organisation. From this development pattern, conclusions can be drawn in methodical and instrumental terms for the future development of cities and regions in China. The opposing positions that function as a pattern for formal and functional qualities of new urban structures can be compared in a preliminary manner. On the one hand, during the 1990s, the car industry was distinguished as one of the most important pillars of the Chinese economy contributing significantly to economic growth. During the past few years, the country has experienced rapid motorisation, which has resulted in car-oriented urban development. As a result, new isolated residential areas have emerged on land that is economically viable with over-dimensioned residential units (up to 45 m2 per resident net), outside of the traditional city areas, and connected to the city core with a generous, well-connected infrastructure of roads. In terms of its image, the bicycle has become a means of transportation for the poorer classes. On the other hand, during the past few years it has become generally accepted that the increasing motorisation of the population will lead to major traffic congestion in the city, thereby rendering the cities incapable of completely fulfilling their functions. They have also recognised that the development of a functioning and high-performance public transportation network has been neglected and the residents in areas that are not connected are now forced to use privately owned cars. Towns The Shanghai region has a centrally organised urban structure for historic reasons. Towns and districts in the region are distributed centrifugally around the central metropolis, concentrating on the City of Shanghai, its facilities, and infrastructure. The clear focal point for the economy is also the metropolis of Shanghai. The concentration of commercial districts downtown, and trade areas on the city periphery have led to the necessity to travel long distances. In view of the exploding population figures and the limited supporting capacity of the infrastructure, this principle cannot be maintained in the future. For this reason, since the beginning of the twenty-first century, an attempt has been made to structure the region polycentrically with strong, medium-sized centres, and to establish autonomous satellite cities around the centre of Shanghai. New towns are fêted when they plan and construct “European architecture” in their region. Many of the examples of “European architecture” and urban planning have a good standard; even though European designs do appear misplaced in Shanghai. Very little is known about the actual significance and symbolic meaning of these city images within the principles of Tao, and in regards to the actual motivation. Nor is it understood why these new towns were completely constructed even before the first resident moved in: the newly built

58

CHALLENGES

Fig. 3

Shanghai and its satellite towns [ISS]

towns of Anting and Thamestown have only been occupied for a few months and are already showing the first signs of deterioration even during their marketing period. Another important aspect which needs to be addressed is the development of green space. The total area of urban parks, gardens, and green areas has steadily increased (+860% since 1990) and covers 38% of the urban area (34,256 ha), but, for instance, the majority of the public green area (circa 90%) consists of roadside green space [CSP 2010]. Mobility The current modal split of passenger-kilometres–travelled shows that public transport (39%) and the bicycle (27%) still remain the dominant modes of transportation (car 15%, scooter 12%, and pedestrian 7%) [CSP 2007]. The degree of passenger-car motorisation is presently 34 cars/1,000 residents. This is very low due to the city’s controlled licensing, although this will certainly increase. However, motorisation on the magnitude of western industrial nations appears impossible. A Chinese motorisation rate like Europe or the US would absorb the complete oil production of the world. Also this cannot be realised due to the extremely high building density; the space for parking required for each car exceeds the present area occupied per resident. The central energy problems in Shanghai are the result of both the urban structure and traffic. For example, from 1990 to 2002, the electrical power consumption increased by 2.5%, the consumption of fossil fuels by 1.9%. The greatest increase involved the traffic and—to a lesser extent—private households, while the increase resulting from industry was significantly lower. The consequence is a bottleneck, so that the availability of electric power is not always guaranteed by the production facilities.

59

SHANGHAI

In planning practice, the concept of a “city designed for automobiles” still appears to be quite widespread. In searching for solutions for traffic jams, the quick (and incorrect) answer is to plan new streets before public transportation facilities. Even the latest new towns developed are not included in any effective public transportation concept for the region; sustainable mobility beyond the town itself is therefore not possible; in the new towns, themselves, footpaths and bicycle paths are often not integrated and therefore rarely ensure non-motorised mobility within this limited space. Buildings The Shanghai region is one of China’s main growth centres and a cynosure for the poorer rural population and many migrants. The population of the city of Shanghai has increased rapidly. Initially, a mono-central structure formed, including problems of high density without the presence of sustainable traffic infrastructure. The area of the core city has more than doubled, and the residential density has increased; new high-rise residential and office buildings have been erected (21% of total building floor space); old and historic residential blocks and run-down housing have been demolished. The total building floor space has increased by 300% since 1990 (703 million m2). The residential floor space has increased by 360% (409 million m2), and the floor space of staff dwellings by 650% (365 million m2). This particular building type now has a share of almost 90%. Non-residential built floor space has also increased enormously (+250%, 294 million m2). Investment has taken place in the construction of public and social infrastructure (schools, hospitals, theatres/cinemas), but overall, the commercial and industrial areas have increased exponentially (shops by 840% and offices by 680% since 1990) [CSP 2007]. Traditional Chinese architecture was particularly sustainable and ecological in terms of its fundamental principles. Clearly, it is not possible to continue construction using the traditional architectural styles, as requirements have changed over time. However, one approach would be to use this architectural style as a prototypical model for residential communities. The climate in the Shanghai area requires that houses be air-conditioned in the summer and heated in the winter. In China, the energy consumption for buildings is still primarily based on coal, gas, and, above all, electricity. Floor space has increased from 4 m2 per urban resident (1978) to 7 m2 in 1990 and 16 m2 in 2006; in the newest plans, even 25 m2 per resident, and more, have been used. The result is that the volume of areas to be heated and air-conditioned are increasing exponentially, and the energy demand for buildings is increasing in the same manner. Presently, the building sector consumes approximately 25% of energy. An increase to 35% is expected by 2020. Furthermore, residential buildings in China still consume approximately 50–100% more heating energy than buildings in comparable climatic zones. The present level of the building energy efficiency in China and in Shanghai is also low due to technical limitations, the low efficiency of building materials, and the building equipment. It is therefore necessary to promote and foster the establishment of energy efficiency standards for buildings [Ogawa 2005]. The basic problem of urban development is known. In the Shanghai region, approaches for sustainable urban development are being followed systematically at various locations; these can be used for further urban development in Shanghai and as models for other cities.

60

CHALLENGES

Fig. 4

Urban planning system in China [UDE 2007 on the basis of Tang 2006]

Planning China’s cities are experiencing a phase of extraordinary growth, which is historically unique. Today’s plans may be outdated tomorrow. In 2001, only 37.6% of the Chinese population were living in cities, while in 2012, 52.6% lived in urban conurbations [STATISTA 2013a]. In view of this dynamic development, the main focus of current Chinese urban planning is to organise the rapidly expanding habitat. Due to this rapid growth, concepts and plans are presently subject to short-planning perpetuity and the permanent pressure of change. The Chinese planning system with various planning levels, planning instruments, and responsibilities is intangible and not fully developed. A completely coordinated planning system is absent and decisions are therefore made randomly [Bielefeld 2006]. The People’s Republic of China is the fourth largest country in the world in terms of area and is subdivided into twenty-two provinces, five autonomous areas, and four government cities, as well as the special administrative districts of Hong Kong and Macao. Chinese urban planning includes elements from the Imperial periods, western influences from the mid-nineteenth century, and socialist city planning (1949–80s), as well as international influences since the economic reforms [Kim 2005]. In April 1990, the important executive law “City planning code for the People’s Republic of China” was issued for the regulation of urban planning in China and is included in a series of other laws and ordinances. Therefore, an entire series of laws and ordinances exist that require observance for Chinese urban planning. The Ministry of Construction (MOC) is responsible for the national planning directives for cities and communities while the provincial governments are responsible for the provincial cities and communities. The city government is responsible for overall urban planning. Concrete planning intentions are taken over from the city planning offices of the counties and communities [Tang 2006]. The hierarchical system for the administrative levels is subdivided as follows: · National People’s Congress of the People’s Republic of China · Chinese State Council · People’s Congresses of the Provinces, the cities responsible directly to the government and the autonomous districts

61

SHANGHAI

· · ·

Planning offices of communities, counties/districts, and cities The administrative system especially for urban planning in China is organised as follows: National Ministry of Construction Construction offices, construction committees, and planning offices of the provinces, and the cities are accountable directly to the government and the autonomous districts · City planning offices of the cities and counties/districts The planning offices of the cities and counties/districts are under the control of the government at the level in question. The higher-ranking planning offices of the provinces have functional supervision over the subordinate offices, i.e., over the city planning offices of the cities and counties [STADTKULTUR 2007]. At present, an authoritative, logically intermeshed and effective planning system is still missing in China. An unclear number of laws, procedures, and approvals exist [Holler 2006], whereby laws in China are understood to be more a tool of governmental power [Gloyer 2006]. Until now, urban planning and urban design have been characterised by sectoral planning structures. This is reflected in the rarity of cooperation between departments, faculties, or government authorities. Due to this, the complexity of the urban systems is not exposed. Instead it is split into independent parts or technical plans. More often than not, transport infrastructure projects or street dimensions are developed according to prefixed patterns without the slightest reference to uses, density of population, or the environment. Furthermore, street grids are designed with a uniform width, planned, and implemented; the content of the sites are determined in design competitions only afterwards. Sometimes the dimensions of the sites turn out to be too small due to the predetermined street width, and consequently result in “Red Lines” so that the intended uses can no longer be economically incorporated into the urban design. Overall, an integrated view of the city is absent, there aren’t any approaches that deal with urban planning practices that transcend the limits of departments, and faculties, that apply in-depth expert knowledge, or that regard the topics in a multi-disciplinary manner. Both Shanghai research projects, Hongqiao und Xinkai, are linked by their integrated approaches. Urban form, mobility, construction, and renewable energy, have continually shown that serious deficiencies remain. This system-related view urgently needs to be taught in the advanced training of urban planners, mediated in the information of politicians, and included in the training of architecture and urban planning faculties. Administrative Structures For future decisions concerning urban development and urban design, better-qualified participants are favoured. If politicians in urban design competitions currently make decisions based on lotus blossoms or Ying-Yang patterns in the layout plan, this—as the only decision-making basis—cannot be beneficial to the city or the urban quality. Currently, China experiences a lack of qualified urban planners, who have research know-how of the twenty-first century on sustainability, climate adaptation, new mobility concepts, historic downtown centres, etc. This is unfortunate, as old districts based on old concepts (for example, US textbooks from the 1980s and 1990s) worthy of preservation were discarded, and new cities and city districts have emerged, the development of which will not lead to a new sustainability. This is also the starting point for the future of urban planning in China: low carbon should no longer be regarded the goal, but should rather be seen as an approach and a process. Low-car-

62

CHALLENGES

bon principles are universal, but the implementation has to be adapted to local and regional conditions especially with regard to the “Chinese Dream”. This also refers to the integration of the urban society into the urbanisation processes—regarded as essential nowadays. It is only in this way that Chinese cities—whether small or huge—can be reinvented to have a higher living quality and healthier living conditions.

Challenges In 1980, 20% of the Chinese population lived in cities; thirty years later, in 2012, the percentage rose to over 50%. There are predictions that as much as 75% of the Chinese will live in urbanised regions by 2025. According to this prediction, about 250 million people will have to relocate from rural areas to urban regions. At the beginning of 2013, the new Prime Minister, Li Keqiang, issued a statement to say that a planned urbanisation is the primary objective as a growing economy is also affected. Li Keqiang has been pushing for “healthy“ urbanisation, rather than rapid urbanisation without social infrastructure, to provide for the large population shift from rural to urban areas. This has pushed the National Development and Reform Commission (NDRC) to draft a new “master” urbanisation plan (National Plan for Promoting Healthy Urbanisation (2011-20) [Hasija 2014]. The high-speed urbanisation has long been criticised by scientists and practitioners across the world. This ultra-fast urban growth has created a myriad of problems that are disquieting for both people and the environment. For instance, slums have developed; slums have not been characteristic of Chinese cities thus far. It is likely that criminality might also develop if there is not sufficient job creation in these rapidly growing areas. Furthermore, in many fast-growing cities and urban regions appropriate accommodation and infrastructure are missing. Cities are simply growing too rapidly. Politicians and planners no longer have control of the urban system as a whole. The speed of urbanisation has to be reduced if it is to be affordable, sustainable, and environmentally compatible—this is how Chinese scientists assess the situation currently. The question the Chinese have to answer is: how can urban regions and new cities be developed at an appropriate speed to become a sustainable urban region with high living qualities? Against this backdrop, essential challenges can be listed: · Urbanisation cannot continue at the present speed. The question arises: how can existing cities and districts be transformed so that they become more sustainable and energyefficient. At the same time, ways need to be explored as to how urban expansion in an agriculturally valuable region can be controlled in a sensible way. · Thus far, climate protection has been regarded as a technically solvable problem that can be added to the general architecture. It also has to be understood that, to achieve basic and sustainable changes in the districts and urban quarters, approaches have to be socially sensitive and ecologically aware on planning levels. · Housing construction in China today is still regarded as a problem that has to be solved quantitatively rather than qualitatively. This may be understandable at first glance, as the stream of migrants from the countryside does not abate; housing construction has become a precondition for the settlement of new business locations and further economic growth. · Yet efficiency standards and low-carbon targets, proclaimed from the very top levels, no longer find their counterparts on the implementation level in the districts and urban quarters. Standards are set and distributed on the national level in the NDRC or other

63

SHANGHAI

important party commissions. But implementation on the local level does not function. More often than not, contradictory interests of city administrations are obstacles: on one hand, ambitious projects should demonstrate the break-through of eco and low-carbon cities as political successes, and, on the other hand, every city council has to secure their income for the financing of infrastructure by the sale of land. This is where the vicious circle begins which has not yet been broken, and will finally demand a reform of communal tax revenue or other means of income. Most of all, these kinds of tax revenues are collected which positively encourage sustainable development and even manage the sustainable progress of low-carbon cities. · The damage to the environment wrought by careless urban expansion and infrastructure projects has left an urban landscape with polluted air, polluted groundwater, and contaminated soil that seriously threatens the health of urban dwellers. An urban development that truly takes the preservation of its inhabitants’ health into consideration does not, as yet, exist in China. · In light of the rapid urbanisation in China, a lack of performance in the field of sustainable urban development is becoming increasingly obvious and severe. Not only a result of a shortage of manpower, the lack of performance fundamentally results from a low level of training of urban planners who are educated and certified on the basis of out-dated curricula resulting in their being unable to meet the demands for supporting a modern and sustainable urban development. Ultimately, this lack of capability does not offer decision-makers up-to-date advice and hinders the advocating of sustainable urban development projects and the advancement of integrated planning and design concepts. · An entirely new challenge has only recently emerged: the economic progress and urbanisation in the past decades took place, for the most part, in the urban regions of eastern and southern China. In these regions, the mistakes in the development and path dependencies of a largely unsustainable, resource-consuming, energy-intensive urban development could therefore be seen. The developments of the megacities in the Pearl River Delta, Shanghai, Beijing, or Tianjin are examples of this. In the years to come, and in accordance with a balanced progress, it is vital to develop the western provinces and districts of China that have been neglected thus far. Regions east of Chongqing desperately call for progress similar to the progress in the eastern regions. However, according to the Urban Planner Society China (UPSC), the Energy Foundation China, and the Mercator Foundation Germany that founded a university alliance with the leading universities, as well as some international and Chinese academies, this is exactly what should be prevented! Therefore, the programme offers training of professionals and politicians and new content for urban planning study courses to shift from the undesirable developments in eastern China and the unsustainable urban development in western China, to sustainability, eco city and low-carbon developments right from the onset.

64

CHALLENGES

GAUTENG: Most townships lack even basic infrastructure [IER University Stuttgart]

Sheetal Dattatraya Marathe, Ludger Eltrop

Gauteng: A Sprawling Region Profile Gauteng was founded in 1994 after apartheid came to an end. It is one of the nine provinces in South Africa—as depicted in Figure 1 •—and it shares its borders with the province North West to the west, Limpopo to the north, and Mpumalanga to the east. On the southern border is the Vaal River, which separates it from the Free State. It is the only landlocked province of South Africa without a foreign border [Figure 1 •], [Gauteng 2007]. Most of Gauteng is located on the Highveld, high-altitude grassland (circa 1,500 m above sea level). Between Johannesburg and Pretoria there are low parallel ridges and undulating hills, some part of the Magaliesberg Mountains and the Witwatersrand. The north of the province is more subtropical, due to its lower altitude, and is mostly dry savannah habitat. Gauteng’s climate is mostly influenced by altitude. Even though the province is at subtropical latitude, the climate is comparatively cooler, especially in Johannesburg, which lies 1,700 m above mean sea level (Pretoria is at 1,330 m). Most precipitation occurs as brief afternoon thunderstorms. The winters are crisp and dry with frost often occurring in southern areas. Snowfall is rare, but it has occurred on some occasions in the Johannesburg metropolitan area. With 18,178 km² or 1.5% [Stats SA 2006] of the landmass of the country, Gauteng is the smallest province and supports more than 20% of the population of South Africa; this makes it the most densely populated region in the whole of South Africa [Stats SA 2012]. According to the 2011 census, Gauteng is home to almost twelve million people. It comprises three metropolitan municipalities—Johannesburg, Tshwane, and Ekurhuleni—and two district municipalities, Sedibeng and West Rand [Figure 1 •].

Fig. 1

Location map of study area Gauteng [Marathe 2013]

66

CHALLENGES

Fig. 2

Population growth in Gauteng between 1996 and 2011 [Stats SA 2012 and author’s own calculations]

Johannesburg was established around the gold mine region in the late eighteen hundreds [Reid and Lane 2004]. Today Johannesburg is the provincial capital of Gauteng and also the world’s

largest city that is not situated on a river, lake, or coastline. It also counts as one of the fifty largest agglomerations in the world [City population 2010]. Ekurhuleni is home to the international airport, O. R. Tambo, and is an important manufacturing centre in South Africa, famously known as “the workshop of South Africa” [City Report 2011]. Tshwane is the northernmost and the biggest metropolitan municipality in Gauteng, which includes one of South Africa’s three capital cities,1 Pretoria. Besides being the most important political centre in Gauteng, Pretoria has been the traditional centre of government and commerce, and houses many corporate offices, small businesses, and shops in, and around, Pretoria’s Central Business District (CBD). Gauteng is the economic powerhouse of South Africa. It contributes substantially to the financial, manufacturing, technology, telecommunications, and transport sectors. The province is responsible for a third of South Africa's gross domestic product (GDP). Gauteng generates about 10% of the total GDP of sub-Saharan Africa and about 7% of total African GDP.

Population and Urban Growth Since its formation in 1994, Gauteng’s population has shown constant growth. Figure 2 • shows the population growth between 1996 and 2011, along with the number of households and the household size. Between 1996 and 2001, the population in Gauteng grew at a rate of 28%, and by 31% between 2001 and 2011. The urban area grew by 25% between 1991 and 2001, but this rate dropped suddenly to 7% between 2001 and 2011. The average household size decreased from 3.62 persons per household in 1996 to three persons in 2011 [Figure 2 •]. The population is spread fairly unevenly in Gauteng. Figure 3 • shows the population distribution at ward level in 2011. The population is concentrated in the three metros, Johannesburg 37%, Ekurhuleni 26%, and Tshwane 22%. Other municipalities house only 14% of Gauteng’s population.

67

GAUTENG

Fig. 3

Population distribution at ward level [Stats SA 2012 and author’s own calculations]

Due to the high fertility rate, HIV deaths, and migration into and out of the province by working adults, Gauteng’s population is relatively young. 28% of the population is under fifteen years of age and only 4% of the population is over the age of sixty-four [Landau and Gindrey 2008]. 68% of Gauteng’s population is productive (population of working age that is 15–64). Moreover, the dependency ratio (people who are below fifteen years old and more than sixty-four, divided by the 15–64-year-old population) in Gauteng is only 39% compared to 62% in the other provinces [Stats SA 2011]. Gauteng’s population is comprised of various ethnicities, illustrated in Table 4 •. Around 78% of the population is black, followed by Indians/Asians with almost a 16% share of the population. Whites and Cape Coloured are in the minority. Tab. 4

68

Ethnic composition in Gauteng, 2011 [Stats SA 2011] Black

77.9%

White

3.5%

Cape Coloured

2.9%

Indian/Asian

15.7%

CHALLENGES

Tab. 5

Ethnic composition of the migrant group in Gauteng, 2011 [Stats SA 2011] Black

81%

White

2%

Cape Coloured

3%

Indian/Asian

13%

As it is the economic powerhouse of South Africa, Gauteng attracts migrants not only from South Africa, but also from all over the African continent. South Africa’s political history and the mining roots of Gauteng’s economic development have resulted in the province’s heavy reliance on immigration to provide labour. Since the discovery of mineral wealth in the province, immigration has played an important role in the development of Gauteng. According to the 2011 census, only 54% of the population in Gauteng was born in Gauteng, whilst 9.25% were born outside South Africa [Stats SA 2011]. Table 5 • shows the ethnic composition of the incoming migrants. 81% of the migrants in Gauteng belong to black ethnicity, followed by Indian/Asians at 13%. Gauteng receives a major influx of the migrants coming to South Africa. As seen in Figure 6 •, more than 70% of the total migrant population ends up in the province. Most of the migrants travelling to Gauteng tend to settle in one of the three metropolitan cities of Ekurhuleni, Johannesburg, or Tshwane due to better job prospects compared to Sedibeng and West Rand. This is evident through the high share of migrants in metros as seen in Figure 7 • [Oosthuizen and Naidoo 2004]. Fig. 6

Migration in South Africa [Adapted from Oosthuizen and Naidoo 2004]

Fig. 7

Migration in province Gauteng [Adapted from Oosthuizen and Naidoo 2004]

69

GAUTENG

Fig. 8

Distribution of black homelands in South Africa during apartheid [Based on 1970 Census]

Indians Cape Coloureds Whites Blacks Black homeland SWAZI Homeland name

Spatial Structure of Gauteng The spatial structure of a city or region is defined as the arrangement of the public space. The average population density (people/km²), the spatial distribution of this density, and the population, together with transport patterns, are the main characteristics of city’s spatial structure. Various forms of spatial, or urban, structure can be found around the world. London, Jakarta, and Paris are a few examples of a compact city structure [Bertaud 2008], whereas Chicago is an example of a “zonal model”2 [Burgess 1924] and Calgary is a “sector model”3 [Hoyt 1939]. In most of these models, higher densities are observed around the city centre, or near a business sector. Regions like Gauteng, Brasilia, and Moscow, on the other hand, have rather dispersed and low-density spatial structure (also known as “urban sprawl”), where the densities increase along with the distance from city centre [Bertaud 2008]. Lack of public transportation and crime-related safety issues are the major reasons why people in Gauteng have abandoned the city centres. Two central business districts in Johannesburg and Pretoria and the scattered industry all over the region have also influenced the dispersed distribution in Gauteng. Another special characteristic of Gauteng’s spatial pattern is the segregation based on race/ethnicity, which came to effect during the apartheid era [Gauteng 2001, Western 2002].

70

CHALLENGES

Fig. 9

Dispersed spatial structure based on population density in Gauteng [Population based on Census 2011 Stats SA]

Apartheid legislation in South Africa comprised a series of acts and laws (started in 1949), which helped the apartheid government to enforce the segregation of different races and the cement power and dominance by the white population over the other races. This legislation did not just give rise to new social inequality, but was rather the conclusion of a long historical development of racial segregation. During this era, society was classified along racial lines at workplaces, schools, universities, residential environments, healthcare institutions, and social and sports activities. Starting in 1948, millions of non-white (black, Indian, and Cape Coloured) people were forcibly moved to Bantustans, areas of land centred on the rural labour reserves, which comprised a mere 13% of the total land for almost 80% of the population. Besides segregating the races, the apartheid government also adopted a policy of deliberate substandard education of non-white people, which led to vast income inequalities in society, with low education levels and high unemployment rates in these groups. Figure 8 • shows the distribution of black homelands in South Africa during the apartheid era. Most of the economically active areas, such as Pretoria, Johannesburg, Durban, Cape Town, Bloemfontein, and Port Elizabeth were explicitly designated as white areas. Even today, this segregation is quite visible in various parts of Gauteng. Large black communities, like Alexandra and Soweto, which were located just outside the white communities in the apartheid era are today’s living examples of historical racial segregation. Figure 9 • shows higher density areas south of Johannesburg where Soweto is located. Not only were these communities forced to live in certain areas, but most of them also lacked basic necessities, such as water and proper sanitation facilities.

71

GAUTENG

Fig. 10 Monthly expenditure on public transport [GCRO QoL 2009 and author’s own calculations]

Impact of Urban Sprawl in Gauteng The poorly planned urban structure of Gauteng has led to its high level of car dependency. With more than two thirds of the population earning less than 6,400 ZAR (640€) per month [Hector et al. 2009], car dependency proves to be unaffordable for the poor population. The Quality of Life Survey, which was carried out by Gauteng City Region Observatory (GCRO) in 2009, revealed that households from low-income groups spend as much as 20–40% on average of their income on public transport [Figure 10 •]. The expenditure on public transport in high-income groups is negligible compared to their income. The apartheid era forced poor people to live far outside the city centres, which resulted in a haphazard growth of informal settlements on the periphery of the city leaving people isolated without proper infrastructure and other facilities, like electricity, water, good sanitation facilities, and road networks. More than half of the population lives in areas with little or no access to public transportation, which results in long journeys to and from work. Due to high crime rates, high-income communities started forming gated communities far away from employment areas, also resulting in long travel time between work and home. These gated communities are usually formed outside the city centre or on the urban-rural fringe areas. This results in encroachment into open land, conservation, and protected areas. In a developing country like South Africa, where over half of the population is underprivileged, a strong public transportation system and closer proximity to jobs would help enhance the standard of living. Besides being uneconomic for the poor, urban sprawl in Gauteng has resulted in the following controversial issues: · Inflated infrastructure and public service costs: studies have shown that dispersed development causes rises in infrastructure costs, especially in the provision of community-level

72

CHALLENGES

Tab. 11 Various sub-categories belonging to the category forest and area under each sub-category [Marathe 2013] Sub-Category

Area (km²) 1991 1723

695

500

71.00

Dense trees

484

271

118

75.56

296

590

241

18.78

2503

1556

859

65.70

Total

·

·

· ·

·

2009

Woodlands Wooded grasslands

·

2001

Change (%)

infrastructure [Priest 1977; Frank 1989]. In Gauteng, increased demand on various public utilities, such as schools, hospitals, roads, water and wastewater systems, fire stations, and police stations, puts pressure on existing saturated infrastructure. Loss of fertile land: land under plantation has reduced from 325 km² in 1991 to only 133 km² in 2009, i.e., more than half of the land under plantation has been lost. Loss of forest area: forested areas include woodlands, areas with dense trees, and wooded grasslands. According to table 11 •, there has been a constant decrease in the three categories over the years. A total decrease of 1,644 km² (approximately 66%) occurred during this period. Loss of open space: open space is one of the first “victims” of increasing urbanisation. Between 1991 and 2009, a decrease of around 48% took place, i.e., a total of 172 km² area was re-classified from “open” to “other category”. Reduction in wetlands: Gauteng lost almost 4% of its wetland area during the last two decades between 1991 and 2009. Increased ecological and urban footprint: the sprawling nature of Gauteng has resulted in a bigger ecological and urban footprint of the region. The ecological footprint of Gauteng for 2009 was 4.83 gha4/cap/a [Özdemir and Marathe 2013] compared to a global average of 2.8 gha/cap/a. The high urban footprint of Gauteng (446.95 m²/capita) is also comparable to other highly urbanised megacities such as Paris (271.24m²/capita) and Mumbai (217.31 m²/capita). Disparity of wealth: when inner city-centers are compared with their suburbs one can detect disparity in wealth, e.g. gated communities vs. scattered shacks. The sprawled structure makes it impossible to establish an efficient public transport system [Benfield et al. 1999; Kunstler 1993; Mitchell 2001; Stoel 1999]. In Gauteng, urban sprawl has taken place in the peripheral areas without proper planning or zoning. This has resulted in blocking the ways for possible future quality services.

Status-Quo of Planning System in Gauteng and South Africa After 1994, when apartheid eventually came to an end, various laws, ordinances, etc. related to spatial issues were approved to address minority interests. This occasionally led to confusion [MALA 2001]. Sometimes disparate land-use management systems exist in different former “race-zones”. This can lead to a disjuncture between inherited schemes and newly drawn-up plans. There has also not been a clear government position on the desirability of urbanisation, nor have government policies been based on clear spatial assumptions or arguments [Pillay et al. 2006]. There has been an attempt to address these

73

GAUTENG

Fig. 12 Spatial development framework at national level [Adapted from Huck et al. 2011]

Constitution National Environment Management Act

Land Use Management Bill

Local Government: Municipal System Act

Local Government: Municipal Planning and Performance Management Regulations

National Spatial Develompent Perspective

Breaking New Ground

Environment Conversation Act

Reconstruction and Development Programme

Other Policies

problems through a white paper on Spatial Planning and Land-Use Management (2001) and the Land-Use Management Bill (2008). The current South African spatial development framework is guided by national, provincial, and local government levels [Verna 2009]. Only national- and provincial-level frameworks are discussed here. The spatial planning at national level, which shows the connections between main planning and environmental regulations, is illustrated in Figure 12 •. The most important legislation for spatial planning is the Land-Use Management Bill (2008). It has been approved to provide a uniform regulatory framework, directive principles, compulsory norms, and standards for land-use. It identifies directive principles that have to be followed by organs of state on all three levels of government. These principles have to be considered in land-use schemes or any legislation regulating land-use management. The National Spatial Development Perspective (NSDP) provides planning principles as well as guidance for investment and spending decisions for specific spatial areas [South Africa 2006]. However, it is not considered a national development plan that is backed by the force of law. The NSDP states that “In opting for sustainable development, spatial interventions and impacts have to be designed and monitored for the broader economy and human settlements, for specific sectors in the economy (e.g., water and energy consumption, air pollution and waste management, brick making, etc.), and at household level (e.g., exploring renewable energy alternatives, reducing and re-using waste as well as providing efficient public transport use)” [South Africa 2006, p. 12]. Furthermore, it applies to the development of activity corridors and nodes. The analysis section of the NSDP states that “The natural environment provides

74

CHALLENGES

Fig. 13 Spatial development framework at provincial level [Adapted from Huck et al. 2011]

National Legislation Gauteng Planning and Development Act Integrated Development Plan (IDP) incl. Spatial Development Framework (SDF) Gauteng Spatial Development Perspective

Gauteng Provincial Growth and Development Strategy

Other Policies

the foundation for the efficient but effective functioning of ecological and socio-economic systems upon which we all depend for our existence” [South Africa 2006, p. 62]. However, it does not state clear goals or measures, and rather provides general evidence of the spatial dimension of the topics listed above. Sustainability, environmental protection, or climate change–related targets are not given priority by the NSDP. Figure 13 • shows the development framework that shapes Gauteng’s spatial planning. It includes important legislation, plans, and policies used in Gauteng Province. The most important guideline for Gauteng Province is the Gauteng Spatial Development Framework (GSDF), which is integrated in the Integrated Development Plan (IDP). Its targets provide a clear future spatial structure for the province that is sufficiently robust (i) to accommodate growth and sustainability; (ii) to specify a clear set of spatial objectives for municipalities; (iii) propose a set of plans that municipalities have to prepare in their pursuit of these objectives; (iv) to provide a common planning language; and (v) to enable and direct growth. Even though the national and provincial legislation form the framework conditions for Gauteng’s spatial development, IDPs at the municipal level play a major role in shaping Gauteng’s spatial structure. Although the annual review of the IDP is legislated by the Municipal Systems Act of 2000, the municipalities in Gauteng strive to update their IDPs based on the changing priorities and political environment. Especially after the Quality of Life Survey (carried out by the GCRO) and the 2011 Census, the municipalities realised that there was an urgent need to change/revise various key activities. Together with the EnerKey project members, various provincial and municipal representatives and scientists from local universities and research institutions, an EnerKey Long-term

75

GAUTENG

Perspective Group (ELPG) was formed in order to initiate discussions on IDP issues. The idea behind the formation of this group was to create a common platform for stakeholders in Gauteng to discuss various issues. After the successful project completion of EnerKey in April 2013, these ELPG meetings still take place on a regular basis. The GSDF identifies factors that are most likely to affect spatial development, such as water, energy, pollution, and environmental degradation. It supports a sustainable, compact urban structure with a clear, defined edge and open spaces; mixed-use development; efficient patterns of energy consumption; and the protection of the natural environment. Furthermore, it demands using ecological principles within physical development to bring the natural environment and the urban system into a mutually reinforcing and integrated relationship to enable communities to minimise their ecological footprint. All these aspects are connected to other policies like poverty alleviation, equity, and economic growth. 1 South Africa has three capitals: Pretoria serves as the executive (administrative) and de facto national capital, Cape Town as the legislative capital, and Bloemfontein as the judicial capital. 2 Zonal model: according to this model, a city grows outward from a central point in a series of rings. The innermost ring represents the central business district [Burgess 1924]. 3 Sector model: Hoyt’s sector model proposed that a city develops in sectors instead of rings [Hoyt 1939]. 4 Gha: The global hectare (gha) is a common unit that quantifies the biocapacity of the earth. One gha measures the average productivity of all biologically productive areas (measured in hectares) on earth in a given year.

76

CHALLENGES

INTEGRATED DESIGN SOLUTIONS

LIMA: Urban developement in the dry eastern parts of the city, district of San Juan de Lurigancho [Evelyn Merino Reyna]

Bernd Eisenberg, Eva Nemcova, Rossana Poblet, Antje Stokman

Lima: Lower Chillon River Plan Design Solution: Towards a Water-sensitive Future in the Lower Chillon River Watershed The three main rivers of the area of metropolitan Lima—Rimac, Lurin, and Chillon—show similar water flow patterns: extreme dryness during the Peruvian winter (between May and November) and floods during the Peruvian summer (between January and April). Flood protection dikes and walls are put in place to control the river flow. The parks adjoining the rivers are developed above the dike or behind the flood protection wall, completely disconnected from the riverbed, which becomes an empty channel during the entire dry season. A new approach to the design of seasonal river corridors was developed for the Chillon River in the lower watershed, close to the river mouth to the Pacific Ocean. The design is the result of an overall Strategic Landscape Framework Plan based on the hydrological process and seasonal variations of the river landscape. Lower Chillon River Watershed The lower Chillon River watershed, on the border between the two provinces Lima and Callao and the districts San Martín de Porres, Callao, Ventanilla, and Puente Piedra, was chosen as a study area by the LiWa research project to demonstrate water-sensitive urban development. The Chillon River does not carry any water in the lower watershed between May and December, and the sediments from the riverbed are used for construction materials (gravel). Shortly before the river reaches the ocean, the outflow of a wastewater treatment plant establishes an artificial water flow. Between January and April, the river becomes a torrent of water and sediments, causing floods in urban areas. In the last decades the maximum flow of 32.01 m3/s was measured at the hydrological station Desembocadura (March 2005). However, there have been historical maximum flow rates exceding four to six times this number, which stress the need to plan a retention area along the river. Fig. 1

Lower Chillon River watershed [Institute of Landscape Planning and Ecology 2012]

79

LIMA

Fig. 2

Pre-Inca monument El Paraiso [Institute of Landscape Planning and Ecology 2012]

Several pollutants affect the water quality in different sections of the river, including the discharge of raw domestic wastewater and industrial wastewater, drainage from agricultural areas with high concentrations of fertilizers, and insufficiently treated effluent from the wastewater treatment plant. Irrigation channels divert water from the river to irrigate the remaining agricultural fields in the valley. The lower watershed is rich with sites of cultural heritage from pre-Inca times, like, for example, the temple El Paraiso, which was built before 2000 B.C., or the remains of the Chuquitanta wall. Thus far, traditional planning concepts have failed to address the environmental degradation and rapid land-use change, resulting in the occupation of vulnerable areas in the flood zone of the river, loss of agricultural land and river flood plains, and the occupation and the neglect of archaeological sites. To reverse the current development, the proposal focuses on landscapes and the potential of landscapes to serve as a framework for sustainable urban development.

Strategic Landscape Framework Plan A Strategic Landscape Framework Plan for the lower Chillon River watershed was developed. This plan integrates water management and landscape planning with social, cultural, and economic aspects, thus guiding the implementation of a water-sensitive demonstration area. This strategic plan was presented to the local planning authorities of metropolitan Lima with the aim that it be considered in the planning instruments such as the Land Management Plan (POT) and the Urban Development Plan for metropolitan Lima, which is currently under development. The main concept was to demonstrate possibilities for a water-sensitive urban development along the lower watershed that can serve as a model for the entire watershed through an integrative approach.

80

DESIGN SOLUTIONS

Within the lower Chillon River watershed, strategic planning proposals were presented with the aim of reducing physical fragmentation and supporting social inclusion through integrative water-sensitive landscape planning, urban design, and water management. This approach attempts to connect people with their landscapes, protect the local water resources, recover the river ecosystems, re-invent agricultural production, protect the seasonal loma habitat, and, overall, to create a habitable lower Chillon River Valley. Additionally, different prototype solutions were designed, built, and tested in an effort to promote water-sensitive solutions at a larger scale. These on-site solutions were developed within two interdisciplinary summer schools attended by German and Peruvian architecture and engineering students, as well as social science students. By designing and constructing a series of temporary installations relating to the different water sources within the area, the viability of different concepts was discussed both with experts from different institutions, as well as the local community. The students tested minimal strategic interventions that focused attention on the topics and the necessity of water-sensitive urban development in this zone. In parallel, conceptual designs were developed for the linear river park and for the agricultural park in the floodplain of the river, in order to demonstrate future possibilities of modern urban development, whilst improving the natural environment, cultural landscape, and archaeological heritage. The river park project was developed in detail, in order to trigger the implementation of this and other projects in the area. It was accepted by the municipal administration Services for Parks in Lima (Servicios de Parques de Lima—SERPAR). The research project supported the elaboration of a technical study called “Perfil” necessary for the approval and the allocation of municipal funds. This project is currently in the process of technical and legal resolution. Control and Dynamics How much control is required and how much dynamic can be maintained in the riverbed? The aim of the proposal is to provide space for the river according to its hydrology, in order to reduce the risk of flooding during extreme water flows. Different types of flood protection for people and for the river landscape were developed, defined by the hydrology of the river and the topography [• Fig. 3]. Thus far, only part of the river has been canalised (zone 5). In other parts, the natural terrain, the hills, or the river canon, provides sufficient protection (zones 2 and 4). In the area between the hills and the canyon the river widens into a floodplain. In this zone (zone 3) two flood-protection lines are proposed; the outer protection line is for the protection of residents, whilst the inner protection line is for the protection of the river floodplain and the agricultural land. During extreme flood events the river can reclaim its area and extend over the entire natural floodplain up until the hills in the north and the area of the elevated Chuquitanta wall in the south. This line is the outer flood protection boundary that protects the settlements. The inner flood protection line is closer to the riverbed and protects the agricultural area located above the floodplain. The agricultural area would only be flooded during extreme flood events, which render this flood zone suitable for agricultural production, but not secure enough for permanent residence. As a result of the layered flood protection, the agricultural land and the vulnerable river floodplain would become more resistant to informal occupation and land use change. The area around the river mouths (zone 1) has already been urbanised, whilst limited space has been left for the river, allowing only one protection line to be developed.

81

LIMA

Fig. 3

Different types of flood protection for people and for the river floodplain [Institute of Landscape Planning and Ecology 2012] Zone 1: SOFT DIKE

Zone 2: NATURAL TERRAIN

Zone 4: NATURAL TERRAIN

Zone 3: LAYERED FLOOD PROTECTION

Zone 5: HARD DIKE - existing

Industria PUENTE PIEDRA

Industria diq ue

V E N TA N I L L A diq ue

parque porcino Pe nd ien te na tu ra l

Río

Ch

illó

n ex cantera

dique

d iq pr im pr im

CALLAO

diq M ur

Océano

Industria

er di

er di

de

agricultural land zone de agrícola - zona de inundable en caso de inundación extrema

qu e

agricultural land zone de agrícola - zona de inundable en caso de inundación extrema

ue

al la

C hu

qu

it an

ta

ue

Pendiente natural qu e

Chuq

itant

aW

all

Pendiente natural

Dikes protecting agricultural

faja marginal Muralla de Chuquitanta area de parque ribereño

chacras urbanas

Tipos de los diques crear la línea de inundacion principal dique „duro“ - existiendo

ex cantera

dique en el río - propuesta dique en el interior - propuesta Pendiente natural protege contra las inundaciones Dique que se inunda en caso de inundación extrema: primero dique - propuesta vivienda expanción urbana

0

200m

500m

1km

SAN MARTIN DE PORRES

industria agropecuario

New Hybrid Ecologies An open-space system will be created that purifies polluted water from the canals and the wastewater treatment plant, infiltrates groundwater, provides agricultural products, and is attractive for recreational activities. A purification corridor will be created along the river treating the outflow from the wastewater treatment plant. An agricultural park is proposed in the floodplain that maintains the unsealed surface and allows for the recharge of the aquifer. A system of treatment reservoirs improves the quality of the water used for irrigation and a system of paths will be established to make the agricultural land accessible and transform the agricultural area into a green area for urban recreation for the inhabitants of Lima. Irrigation channels will be reintegrated as a purification/irrigation system. Due to the change of land use, the channels are losing their value for irrigation of agricultural land, are in the process of formalisation and consolidation, and are being canalised, covered, or completely closed. Through the function as an irrigation system of public parks, the channels regain their value and will be re-integrated into the urban fabric as an linear open space. A system of paths connects the sites of cultural heritage with the various landscape elements. The inner dike lines with promenades provide connections along the river edge. The outer dike on the southern riverside will be combined with the remains of the Chuquitanta wall and the irrigation channel system. On the northern side, the path echoes the existing street system, which corresponds to the natural topography of the valley. Panoramic paths in the surrounding hills provide new landscape perspectives of the river valley. The path system increases the potential to re-establish the cultural heritage and transform the area as a recreational reserve of the city.

82

DESIGN SOLUTIONS

Fig. 4

Strategic Landscape Framework Plan for the lower Chillon River watershed [Institute of Landscape Planning and Ecology 2012] c o s ta

o ma

o rit im

mirador

o de

V E N TA N I L L A

im o

se

parque porcino

m as

mirador

lo

rit o ma

PUENTE PIEDRA

Industria

pa

pa se

p a seo de l o m as

p a seo

pa se

bocatoma

mirador

Industria

mirador

huaca pu ri fi ca

ny

p a seo

ca n el c ió od se pa

mirador

pu

p r ifi a se o ca c ió d e l ca n

Río

Ch

on

illó

n yo

huaca

n

ex cantera

reforestratión

c o s ta

n

puente

reforestratión

pu ri

Josefina

Be

ió n

qu

ey

e sp

lan

ad

a

huaca Diq ue y parque esp lana da

o

mirador

agrícola

casa de bombeo San Diego

puente

chacras ecológicas

Diqu e y espla nada

salida de la PTAR

parque agrícola

pa

CALLAO

nt

Di

fic ac

mirador

a lc de a o nt s e uita

na

le

sd

e

ri e

go

p a Chuq

se m as

eo

M ur

al la

de

C hu

qu

Verá

it an

PTAR SEDAPAL

Fran

lo

p as

huaca mirador

Higa

de

Industria

ci a

o

Océano Pacífico

Jo

se

fin

Sa nt

a Sa

ra

chacras ecológicas Ce

m au i

Bento

ch n

Jo

sé

pa

se

o

de

lc

an

a le

sd

e ri

eg

nt

ro

O je

nd

o

o

sistema de purificación de agua parque agrícola parque porcino chacras ecológicas

D am

as

o

Ju

vi

s

Sa

reforestratión

la agricultura urbana en el dique árboles plantaciones y caminos en el parque agrícola parque a lo largo de los canales de riego canal de riego(cubierto)

steg ui

ta

Ya

ex cantera

lomas sistema de purificación de agua

reutilización de aguas grises area de parque ribereño

a

sitio arqueológico mirador panoramico mirador - torre Panoramatic senderos paseo/ camino vivienda A sc

0

200m

500m

1km

en

ci os

expanción urbana

SAN MARTIN DE PORRES

industria agropecuario Muralla de Chuquitanta

Fig. 5

River park design [Institute of Landscape Planning and Ecology 2012, flux Dieterle Landschaftsarchitektur] PARQUE DE LAS FUENTES

SAN MARTIN DE PORRES | LIMA | LIMA

PLANO ESTRATÉGICO PARA LA CUENCA BAJA DEL CHILLÓN Augusto 2012

Ecological Chillon River Park The river park design covers the southern riverbank of 300 m and an area of 11.5 ha of the inner flood protection line on the southern bank of the river. A new dike system is proposed which is designed for the extreme seasonal variation from dry, medium, to high water flow. Such a dike not only provides flood protection, but also space for recreation in the river corridor during the low water season. River vegetation can be established on the different levels. A system of pathways will allow the use of the river dike during the dry season for recreational activities, whilst during high-water periods only the upper walkway that lies above the flood line will be able to be used [• Figures 8 and 9]. The inland-oriented side of the dike is designed for permanent uses: urban agriculture and as a purification system. The low-tech treatment technology constructed wetland is integrated into the river dike to provide an additional treatment to the outflow of the wastewater treatment plant of insufficient quality. At the same time, the vegetated constructed wetlands create a green area on the otherwise dry, elevated riverbank, which will be used as a recreational area.

83

LIMA

Fig. 6

Section 1 of the river park [Institute of Landscape Planning and Ecology 2012, flux Dieterle Landschaftsarchitektur] Principles: Flood defense & gabions

Water sources & water cycle Improvement and reuse of grey water

< Flood defense line

Improvement of river water quality

extreme flood event high water level

Groundwater for hygiene use

low water level

Esplanade

Gabions

Gabion embankment & river walk

Section 1

Section 1

Lower espla

C

Improvement and reuse of grey water

< Flood defense line

Improvement of river water quality

Riprap extreme flood event high water level

Groundwater for hygiene use

low water level

Esplanade

Gabions

Gabion embankment & river walk

Section 2

Section 2 & 3

Lower esplanade

Construc

Improvement of water quality of WWTP effluent

< Flood defense line

Rubble breakwater

Improvement of river water quality

extreme flood event high water level low water level

Gabions & esplanade

Gabions & wetland walk

Section 3

Gabion embankment & river walk

Section 4

Esplanade

Improvement of water quality of WWTP effluent

< Flood defense line

Rubble breakwater

Riprap

Constructed

Improvement of river water quality

Section 4

extreme flood event high water level low water level

Dam & esplanade

Constructed wetland

Gabion embankment & Gabions & wetland walk river walk

Section 5

purification of contaminated water of irrigation ditches

< Flood defense line

Riprap

Rubble breakwater extreme flood event high water level

Improvement of river water quality Section 5

Constructed wetland

low water level

Dam & esplanade

Gabions Groundwater recharge

Section 6

6

84

DESIGN SOLUTIONS

5

4

3

2

1

Section 6

Fig. 7

Section 2 of the river park [Institute of Landscape Planning and Ecology 2012, flux Dieterle Landschafts architektur]

sources & water cycle Improvement and reuse of grey water

Activity Area

roundwater for ygiene use

Park centre

Esplanade

Constructed wetland

River Gardens

Riprap & arid gardens

River Gardens

Gabion embankment & River walk

Gabion embankment & River walk

Rio Chillon

Rio Chillon

Improvement of river water quality

oundwater for giene use

Section 2

Community gardens

Lower esplanade

Esplanade

Riprap & arid gardens

Constructed wetland

Improvement of water quality of WWTP effluent

ation of minated of on ditches

Riprap & arid gardens

Section 1

Lower esplanade

vement use of ater

Esplanade

Improvement of river water quality

River Gardens

Gabion embankment & River walk

Rio Chillon

Improvement of river water quality

Section 3 Esplanade

Improvement of water quality of WWTP effluent

Constructed wetland

Gabion embankment & wetland walk

River Gardens

Gabion embankment & River walk

Rio Chillon

Improvement of river water quality

Section 4 Constructed wetland

Esplanade

Gabion embankment & River walk

River Gardens

Rio Chillon

Improvement of river water quality Section 5

Constructed wetland

dwater ge

Section 6

85

LIMA

Esplanade

River Gardens

Rio Chillon

Fig. 8

River dike design for seasonal variations of water flows [Institute of Landscape Planning and Ecology 2012, flux Dieterle Landschaftsarchitektur] Flood protection + Recreation

> Flood event

+ Green area

= one investment = saving water for irrigation and reducing maintenance of green areas

Dam & Esplanade

Riprap layer & arid gardens

Gabion wall River gardens Gabion embankment & River walk

Rubble breakwater Rio Chillon

> Extreme flood event

Typical section: Neighborhood Park - Waterside

Fig. 9

Constructed wetland as part of the flood protection dike [Institute of Landscape Planning and Ecology 2012, flux Dieterle Landschaftsarchitektur] Water purification + Green area + Recreation = saving cost of water for irrigation of large green areas and reducing maintenance of green areas, low maintainance intensity of wettlands

> Flood event

Dam & Esplanade

Constructed wetland Gabion embankment & wetland walk River gardens

Gabion embankment & River walk Rubble breakwater Rio Chillon

> Extreme flood event

Typical section: Watergardens - Waterside

86

DESIGN SOLUTIONS

TEHRAN-KARAJ: Building site of Hashtgerd New Town, 65 km west of Tehran [ISR TU Berlin]

Elke Pahl-Weber, Annette Wolpert

Tehran-Karaj: Reshaping New Towns Background Hashtgerd New Town's first comprehensive plan, enacted in 1993, expected a population of 500,000 for 4,300 hectares of land. But as the population of Hashtgerd New Town only reached 16,000 inhabitants in 2006, it was obvious that the concept had proved to be unsuccessful and needed to be revised. The population goals needed to be adjusted and adapted to the demographic, social, and economic changes of the modern Tehran-Karaj region. A new comprehensive plan, effective from 2005 onwards, was taken as the authoritative framework for the Share Javan Community pilot area with determination of physical aspects, access networks and with statements of the predicted economic and population development. The Share Javan Community aims to create 2,000 housing units for 8,000 inhabitants, complemented with a social and cultural centre, office space, and retail units.

Integrated Planning and Sustainable Urban Design Sustainable planning is a relatively new form of planning and is not generally defined in international scientific studies and practice. Although planning is often regulated in national or international codes, the specific project process requires contextualised measures and approaches in order to generate successful, regionally and locally adapted sustainable planning results. In general, sustainable planning requires the integration of at least the following disciplines to respond to ecological, economic, and social demands: regional and urban planning, architecture, landscape planning, and landscape architecture. The main task for these disciplines is the development of a balanced design for a human habitat, which incorporates the requirements of all stakeholders and planning disciplines. Because there is no binding international code (UN-Expert Group working on outline of the International Guidelines on Urban and Territorial Planning, comment Prof. Elke Pahl-Weber, active member) for the planning disciplines and their fields of action, a precise process definition, per task and context, is necessary. To begin with, the interfaces between disciplines can be defined in terms of scale (e.g., urban or building), planning measures (e.g., process governance and spatial design), and physical characteristics by national or regional legal regulations, although professions like “urban planning” do not have official descriptions [Pahl-Weber 2010]. Engineering and planning disciplines, including transportation, energy supply, and water and wastewater management, as well as environmental assessment, need to be integrated into one holistic approach for resource-efficient and climate-sensitive neighbourhoods. Two main groups of stakeholders within the planning process can be identified by analysing influences on urban development: · the stakeholders affected by the process result, e.g., target groups, investors, administration · the stakeholders who are process actors, e.g., the planning disciplines, investors, and responsible administration. Some people are based in both groups.

88

DESIGN SOLUTIONS

Fig. 1

New Town’s master plan [NTDC/ graphics Schäfer et al.]

Planning Procedure—Process and Stakeholders One central task, and benefit, of a successful integrated planning process is the consideration and balancing of various interests. Intensive involvement of all relevant interest groups helps to exchange and communicate demands and requirements from various user perspectives. Early integration of all relevant stakeholders allows for conflicts between programmatic and technological requirements to be more easily identified and helps to avoid expensive corrections during the implementation phase. Moreover, synergies between disciplines can be identified, thus increasing resource efficiency. Although there is no pre-defined optimal planning procedure, at either regional or international development levels, international developments of recent decades show movement away from the ideal visionary master planning to the process-oriented strategic planning [UN-Habitat 2009, p. 47]. Planning is an interactive process, flexible enough to be adjusted to changing conditions, but fixed enough to fulfil set goals. The process is defined by a strategic approach with three planning phases [OBauB Bay 2010, p. 48]:

89

TEHRAN-KARAJ

Fig. 2

The integrated planning and design process and district plan of pilot area Share Javan Community [PahlWeber et al.]

Transportation and Mobility

Project Management

Urban Design and Architecture

up

Urban Planning and Design

cd

Capacity Development

ar

ea

ae

cl

Architecture and Engineering

Architecture and Energy

pm

tm

ua

Evaluation and Monitoring

ev Awareness Raising

ds aw

lp

Landscape Planning

ww

em

Environmental Assessment

Climatology

Design, Structure and Materials

Energy Management

Water and Waste Water Management

· The first phase is the analysis and definition of goals, which form the framework for further planning. Though a discussion-based process, political, administrative, and citizen stakeholders come together with various experts to define and evaluate project goals in light of the local socio-geographical background. · The second phase is the planning process of the disciplines as they define goals for scale-specific and legally binding planning products. · The third phase is project implementation, followed by a monitoring phase, which evaluates the project results, including stakeholder satisfaction. Although this phase-model suggests a linear process, feedback and adjustment loops between the phases are a beneficial and necessary part of the process and avoid top-down master planning. This participative, balanced method characterises the entire project—from goal-definition to the final development. [See also: Pahl-Weber, E./ von Seggern, H. (1996): “Planung und Kommunikation. Gestaltung von Planungsprozessen”. In: Quartier, Stadt und Landschaft. Grundlagen, Methoden, Praxiserfahrungen.]

In general, the integrated work of shaping the urban layout is based in the disciplines of spatial design, such as urban planning, architecture, landscape planning, and landscape architecture. The disciplines and stakeholders, which have to be integrated, are based on two levels: · programmatic level · technical execution level The programmatic level is characterised by the requirements and goals of stakeholders. These emerge from the economic, social, and environmental goals and the needs of a project. Stakeholders in urban development projects include political and administrative authorities, investors, present and future users, and any other relevant representatives. The technical and executional aspects of all disciplines involved in planning have a direct impact on the final urban layout. The following aspects are the most relevant:

90

DESIGN SOLUTIONS

· land-use and density · building configuration and design · movement and access · open-space design · energy supply The applied method of this project can best be characterised as a research-by-design process. In all disciplines involved, positive and negative aspects, as well as effects, have been filtered out through scenario works, by considering different options. Of course, this runs parallel to the process of always weighing up the (sometimes contradictory) goals of the various disciplines. In the following section—after a short analysis of the urban, geographical, and cultural context—the single dimensions with their specific goals, methods, and outcomes will be described. The sequence in which they are presented is not in any way indicative of their importance within the project, nor gives any information about the interdependency between the disciplines. For example, compact urban form is directly linked to mixed-use schemes, architecture, mobility, water and wastewater, but can only be in the direct vicinity of one of the themes within this discourse. The interplay between the dimensions is diverse and dependant on the specific context of each project, therefore even in Figure 2 •, no precise interactions are graphically highlighted. Urban, Geographical, and Cultural Context Resource-efficient urban planning is a spatial arrangement of urban agglomerations, which capitalises on synergetic benefits between various planning needs and disciplines. The local context and specific project conditions need to be analysed on a project-by-project basis in order to accurately identify potential beneficial synergies. A major characteristic of the MENA region is its socio-cultural background rooted in the religion and culture of Islam. The lifestyle associated with this common background influences and creates a framework for future development. Although local specifics deviate from the broader character, general assumptions and principles are still useful. Wirth [2002] gives general information about the culturally rooted tradition of urban form in the MENA region. One main characteristic of traditional urban design and architecture in the MENA region is a specific spatial and functional arrangement of the Middle Eastern city [Bianca 1991; Wirth 2002]. From ancient to modern times, a cultural definition of privacy within the spatial hierarchy— from city to district, neighbourhood, and to house—greatly influences the region’s urban form. In traditional cities based on this spatial hierarchy, the urban form was tailored to the population, vehicles, and energy sources of previous eras. The contemporary context of today’s MENA region is defined by individually based mobility and the consumption of fossil-based energy. Contemporary neighbourhood design in the region often tries to merge the culturally rooted sense of place with modern lifestyles, combining the formal organisation scheme of traditional neighbourhoods with the needs of current infrastructure systems. Another major relevant aspect of resource efficiency is the geographic context. Topography and climate have a direct influence on resource- and energy-efficient design for urban form. Almost 70% of the MENA region is characterised by an arid climate, but the great bulk of the region requires a local microclimate analysis. Wind, sunlight, and temperature all influence vegetation, while vegetation influences the microclimate. Wind and sun incidence depend on the specific local climate and are influenced by the topography of the site.

91

TEHRAN-KARAJ

Fig. 3

Low-rise construction and densification [Wehage]

The urban form, the arrangement of built and open spaces, influences the microclimate by determining sun and light exposure (e.g., incidence and shading), as well as by affecting natural ventilation (e.g., wind and air exchange). Thus, the urban form can allow for the use of renewable resources. The high level of solar radiation in the arid and semi-arid climate in the MENA region offers extensive passive energy potential. However, this impact needs to be consciously regulated to avoid overheating. The basis for designing a resource-efficient urban form is the analysis of the local context. Analysing the geographic and socio-cultural context allows planners to develop criteria for design scenarios. With the integration of relevant planning disciplines at the technical execution level, the main strategies for resources-efficient urban form are as follows: · the minimisation of thermal loss · the maximisation of passive energy impact · the minimisation of land use · the optimisation of mobility · the optimisation of infrastructure · the optimisation of synergies through land division and use Optimising the volume of a building can stabilise a building’s thermal behaviour through compactness and surface-to-volume ratio. This also reduces thermal loss through building surfaces and efficiently regulates the interior climate against extreme outside temperatures and seasonal or daily temperature peaks. Depending on surface-design and material, the influence of outside climate on interior spaces can be greatly reduced. This strategy has to be developed in tandem with architectural design. Maximising passive energy impact means that urban form is adapted to use regenerative energy. The main regenerative energy sources are the sun, wind, and water. Passive energy impacts help to reduce the active energy demand for cooling and heating and, in turn, CO2 emissions. Solar radiation is very intense in most MENA region climates. Many of the region’s traditional urban form patterns were created in response to the intensive sun and wind exposure. Street layout was intended to combat high outdoor temperatures by channelling wind and providing shade. In regions with cold winters, sunlight on south-oriented surfaces helps to reduce the need for heating. Growing urban settlements require available land to construct new neighbourhoods. To limit the impact on natural resource cycles by such developments, the consumption of land should be reduced to a minimum. The compact and dense urban form of traditional MENA cities is a suitable approach for minimising land consumption with defined spatial systems. Patterns with this low-rise, high-density approach are both economically and resource-efficient. The “gained” land is an environmental asset and could also, for example, be used for agriculture (a crucial resource for regions with little fertile ground). Because of water scarcity in arid MENA regions, the resource cycle value of open soil is

92

DESIGN SOLUTIONS

Fig. 4

Basic principle—passive solar impact [Wehage]

significant. Innovative concepts for active resource recycling can be installed in a close relationship to newly built areas. Some examples include wastewater treatment, microclimate benefits of plant evaporation in green areas, or infiltration of rainwater for closed water cycles. Urban form is, in parts, determined by functional processes, and, thus, mobility systems influence design. Each transportation mode requires specific provisioning and dimensioning of space. Mobility in the MENA region is primarily composed of individual vehicles, thus creating one of the largest sources of CO2 emissions. Sustainable alternatives to individual vehicles ought to be found. An efficient public transport system needs to be developed and integrated within a city or region’s concept in tandem with efforts to minimise the necessity for long-distance daily travel. This requires a good work-life balance based on a balanced land-use and mobility approach. The provision of places to work and shops for the supply of everyday needs in close vicinity to neighbourhoods, through mixed-use areas inside or nearby housing districts, can greatly reduce the need for motorised travel. Advanced para-transit systems such as car-sharing and e-mobility can also help to reduce emissions and minimise spatial demand for traffic. The optimisation of technical infrastructure also helps to reduce the use of fossil energy by installing semi- or de-centralised systems, or by implementing devices to use regenerative energy. The spatial provisions for this infrastructure have to be integrated into the urban form at an early planning stage.

Design—The Share Javan Community Low-Rise/High-Density Pattern as Compact Urban Form The “low-rise/high-density” pattern of traditional Islamic cities served as a model for a climate-sensitive design, as it reflects the cultural need for privacy with its clear definition of private, semi-private, and public space. From the very beginning of basic organisation of compact urban form clusters, various requirements of different dimensions had to be considered and weighed up. The height, length, and width of each block had to be considered in combination with street width and orientation in order to do the following: · achieve a flexible organisation of the block with a large variety of unit sizes and numbers · reduce energy consumption through the optimised use of shading in summer and direct sun impact in winter · optimise the channelling of wind for cooling effects and to minimise air-pollution

93

TEHRAN-KARAJ

Fig. 5 Wind speed simulation within the Share Javan Community with ENVI-met [Langer 2012]

· reduce construction efforts through a low-rise approach, especially with regard to seismic hazards · reduce travel demand through optimised access and transportation systems · minimise soil movement and sealing with regard to seismic risks, and preserve existing, valuable green space for recreational purposes · create an urban identity through architectural design, which can be perceived throughout the spatial hierarchy from urban district, to neighbourhood, to building Four rows and twenty-eight clusters, each measuring approximately 100 m by 60 m, are aligned from north to south. This organisation helps to shield the buildings from the unpleasant prevailing winds from the west and northwest, as well as from the hot, dusty southeasterly summer winds. Furthermore, the north–south orientation of the streets helps to channel and take advantage of the cool northerly winds from the mountains during summer. This effect was simulated using the microclimate software, ENVI-met. Each residential cluster forms a sub-neighbourhood with a central 15x30 metre square as a semi-private focal point. The sub-neighbourhoods are only accessible via 6-metre-wide footpaths, which divide the cluster into four building groups. The buildings, which have a maximum height of three stories, follow the topography of the site, with a more-or-less continuous offset of about one storey. This arrangement and ratio of built to un-built area, together with the north–south orientation, optimises the benefits of potential shading in summer (to reduce cooling demand) and projected solar incidence in winter (to reduce heating demand). The semi-private plaza of each sub-neighbourhood is part of a mixed land-use scheme, which was combined with the urban, landscape, and transportation concepts. Mixed-Use Concept The mixed-use concept was composed of two layers: one central and the other de-central. Central mixed-use means that—apart from a large, regional shopping centre which is positioned on the southeast corner of the site—all main functions, such as the cultural centre, mosque, and schools, are located in the centre of the site in order to make it the focal point

94

DESIGN SOLUTIONS

Fig. 6 Urban path in suburban neighbourhood [Wehage/ Wolpert]

of urban life. The idea was that all main amenities should be within an easy walking distance of every resident. The de-centralised part of the concept translates into smaller commercial units surrounding the semi-private plaza of each sub-neighbourhood, accommodating the everyday needs of the residents and helping to create a suburban, neighbourhood identity and a quality of life. This layout reduces travel demand and, apart from supply and emergency traffic, keeps motorised traffic out of residential areas. Simulations with VISUM proved that this compact urban layout and land-use concept for the Share Javan Community pilot area could reduce individual car trips by 3% and the use of public transport by 7%. Eco-Mobility and Transportation Concept An eco-mobility and transportation concept was investigated for both the Shahre Javan Community pilot project area and the region of Hashtgerd as an entirety. It became clear that too much had been allocated to the future demand for individual motorised traffic and not enough for the alternative of a public transportation system. Developing a well-considered public transportation system would enable people to move out of unsustainable transportation habits, reducing individual motorised traffic. A system with a city-bus, rapid transit buses, and light rail would be sustainable, and comprehensive, and would integrate the Shahre Javan Community pilot project area into the larger city of Hashtgerd. These systems would also complement the planned Hashtgerd-Karaj-Tehran metro line for commuters going in, and out of, the city of Hashtgerd. The benefits of such system include the following: · reduced vehicle-based mobility and thus, lower energy consumption · increased access to services, jobs, and shopping · increased flexibility to accommodate the changing needs of inhabitants and investors · increased urban quality, quality of life, identity, and security · increased level of economic activities in residential areas

95

TEHRAN-KARAJ

Fig. 7

Transportation concept and land-use concept with small-scale, mixed-use areas (striped) [Arndt/ Döge in Schäfer et al.]

Fig. 8 Catchment areas of public transport (orange: minibus, green: tram and bus) [Arndt/Döge in Pahl-Weber et al.]

The clear distinction between motorised routes and pedestrian, or bicycle lanes, together with the relation between high-density built zones and unsealed, partly green corridors, also meets the demands of the landscape architecture, environmental assessment, and water and wastewater dimensions.

96

DESIGN SOLUTIONS

EIA—Environmental Impact Assessment The environmental assessment analysed the environmental factors of flora, fauna, soils, groundwater and surface water, climate, air quality, and landscape, investigated the environmental impact of the proposed urban development, and developed measures for mitigating those impacts. The compactness of the built area should help to reduce the amount of “sealed” soil, while the wind channelling of the urban structure should protect, or enhance the local climate by improving air quality and avoiding urban heat stress by providing a fresh supply of cool air. Valuable green structures have been preserved and measures have been proposed to develop the existing environmental structures. The compact urban form helped to create an expansion of available open and recreational areas for the inhabitants. The project aspired to a minimum of 7m² public greenery per capita, a standard, which could be raised up to 12.5m² per capita if the adjacent open land is preserved. Water and Wastewater Management System The water scarcity challenge has motivated the integrated development of an extensive landscaping concept, as well as an efficient water and wastewater management system. In the early development stage, the dense and mixed-use urban form was interconnected with an efficient wastewater and disposal concept, which includes a separate collection of two different wastewater streams: grey-water from sinks, showers, washing machines, and baths, and grey-water from kitchen sinks and toilets. After being treated in decentralised constructed wetlands, the grey-water can be reused for irrigation purposes or for service water. Water treatment areas (constructed wetlands), especially grey-water, should be located in the near proximity of the residential units of each neighbourhood. Thus, their position had to be carefully considered at the very beginning. The benefit of these relatively simple planning considerations is extraordinary, as they allow up to 70% of used water to be reutilised into the water cycle of the city of Hashtgerd. The introduction of constructed wetlands, with low water-consuming, regionally adapted vegetation, helps to reduce the energy demand by simply reducing the need for pumping. This enhances the microclimate and improves the quality of the open spaces as a design element. Energy Supply Systems Another major factor for achieving energy efficiency is related to the chosen energy supply system and the respective technologies. The aim to achieve “energy efficiency” can be attained with several methods, for example, by using common Iranian building technologies in a different way, or by the improvement of these technologies. Another possibility is the use of available renewable energy sources, for example, the very high potential of the solar irradiation with the help of solar thermal technologies for heating and cooling. Energy efficiency can even be increased with new, imported building technologies, such as centralised, semi-centralised, and de-centralised energy supply systems, based on co- and tri-generation technologies and district heating networks. The first step for the development of appropriate energy supply system was a detailed simulation analysis, which took into account the urban configuration and building physics in

97

TEHRAN-KARAJ

Fig. 9 Wastewater system for the Share Javan Community [p2m berlin GmbH]

Graywater

Treated graywater for reuse

Blackwater

Central wastewater treatment plant

Fig. 10 Distribution for the CWs (olive) over the Share Javan Community pilot area [p2m berlin GmbH]

the context of the local climate. With this detailed information regarding the energy demand and behaviour of the buildings under the influence of the local climate, several supply strategies were analysed. Advantages and disadvantages of the different technologies for the energy transfer from the energy-supply system into the thermal zones of the residential buildings (cooling ceilings, heating, and cooling induction devices) have been computed and compared.

98

DESIGN SOLUTIONS

Fig. 11 (left) Section through 9-m-type residential building [Wehage] Fig. 12 (right) Private courtyard in an energy-efficient home [Wehage/Wolpert]

Architecture Based on an urban concept derived from the pattern of traditional Islamic cities, the building typology of the Shahre Javan Community pilot project area is rooted in the traditional courtyard house of semi-arid and arid regions. This typology offers privacy whilst the courtyards’ microclimate helps to alleviate the severe heat of the local climate. The four building sites within each sub-neighbourhood are 20–35 m deep and predominantly orientated in a north–south direction. These large site depths are only usable when further insertions are introduced via courtyards and niches to allow for sufficient natural daylight. It is well known that the main environmental gains that can be achieved at the building level are through general planning principles such as orientation and compactness, followed by further energy gain through low-cost building optimisation systems—the most expensive active systems have the least relative benefit. This led to a distinction of two approach levels. The Basic Principle is the design strategy for energy-efficient architecture and urban design derived from a spatial approach without any additional technical demand. It contains all planning and design measures to advance energy efficiency by spatial configuration alone, such as building orientation and compactness, adapted to the site and the cultural context. The second level, called the “upgrading level”, contains all measures, that raise the standard of the Basic Principle. Supplementary technologies can be integrated into the spatial approach. The choice of upgrading measures is dependent on the economic and technological context. Given this, the first step towards a climate-sensitive urban structure was the development of a housing typology that allowed for a wide range of building standards and sizes: from single-family duplex units with private courtyards, up to multi-family apartment buildings configured around large, shared courtyards. Multiple variations for site adaptations and construction methods are possible with a modular space design using 1.5 m for unit width, starting with a 6-m minimum and extending up to 15 m.

99

TEHRAN-KARAJ

Basic Level Site Adaptation The design approach of the housing typology respects the urban design concept as a spatial determination, within which buildings have to fit. Thus, every building is a specific unit of a larger spatial arrangement. Due to this arrangement, the design concept of the building should offer suitable adaptive tools. The developed modular spatial scheme allows for morphological adaptations to the specific site: · Length—the length of the house depends on the plot size · Courtyard layout—depending on plot size, the courtyard is enclosed
on two or three sides · Number of courtyards—depending on plot size, a second courtyard can be introduced · Orientation—influences solar incidence, privacy, and identity Functional Adaptation For functional reasons, the typology should offer flexibility in use. The focus on flexibility is determined by the following measures: · Type of staircase—a staircase for two units, or an individual staircase inside private units · Mixed-use commercial unit on ground floor creating a mixed-use building. The commercial unit can be part of the upper apartment or independent of it · Horizontal/vertical layout—units can be organised horizontally or vertically · Unit size and number of units—number of units per plot can vary, depending on plot size and unit size · Apartment layout—the possibility of open and closed apartment layouts (including kitchens) To summarise: the floor layout is flexible to individual needs at the unit scale, and the flexibility of unit size and layout is a suitable tool for housing market requirements. Socio-Cultural Adaptation The introverted courtyard typology in the modular scheme allows for private living in low-rise, high-density housing: the main living areas are organised around a private courtyard, with solar light and warmth even in rear zones of the buildings. A separation of private and guest areas is possible as guestrooms are always accessed directly after entering the apartment/ house without passing through private zones. The shaded courtyards improve the microclimate, especially during the hot summer months. In addition to the morphological arrangement, the design of the facades determines the appearance of the buildings and implies a strategy for an energy-efficient identity on an urban scale. The structural method, floor-plan layout and architectural design of the apertures characterise the buildings’ facades. The typology of the apertures is influenced by the importance of the facades’ role in energy impact, or solar incidence. Indeed, south-orientated facades are highly relevant for passive energy impact and the design of the apertures is a very important tool for energy efficiency. The closed coverage and compact morphological arrangement initially reduces the surface area of the facades to a minimum. The southerly facades of the single units, orientated towards the street, courtyards, and open spaces, are responsible for most of the sunlight that reaches the living spaces. Therefore, the southerly facades should have a high proportion of apertures.

100

DESIGN SOLUTIONS

Fig. 13 Typology catalogue—strategy for energy-based adaptation [Wehage]

The positioning and dimensioning of openings will need to balance energy efficiency with privacy, within the confines of the Shahre Javan Community urban concept. Upgrade Level Beyond achieving energy efficiency through building configuration, optimisation can be achieved through additional measures. Renewable resources, such as sunlight and ground temperature, can be used by applying simple elements. A few examples are listed below: · light-shelves shade the courtyards in summer and during winter they help to lighten the front and back of the yard in equal measures · photovoltaic fabric can cover the courtyards in summer to provide shading, simultaneously producing energy that can be used during the evening. In winter the fabric can be pushed aside · a heat exchanger, installed at the building level, recovers the otherwise “lost” energy of exhaust air · a heat exchanger, installed at the sub-neighbourhood level uses constant soil temperature from a 1.5–4-metre depth to precondition the supply/outside air.

Transfer On the Urban Scale Elaborating the detailed plan in a bilateral process created impacts on two levels: on the one hand the plan provided a legally binding basis for the realisation phase of the Shahre Javan Community pilot project, and on the other hand, it demonstrated how the traditional Iranian instrument of the Tarh-e-Tafsili (Persian for detailed plan) was successfully provided with aspects of sustainability such as resources energy efficiency, and environmental protection. This leads to the distinction of short-term, respectively direct impacts, or long-term potentials with regard to local ecology, and economy, as well as social, cultural, and political aspects.

101

TEHRAN-KARAJ

Fig. 14 Earth tube system in urban unit [Wehage/Wolpert]

44,00

28,89 5

Syste m Se parat ion 6,00 9,20 9,00 9,00

52,70 25 9,00 9,00

intak e

9,00 4,65

Centr alized Fresh Air

29

28

27

26

25 2,40

24 3,00

35

37

38

39

40

41

42

43

44

intak e

45

23

22

21

20

19

18

17

16

15

14

57 46

47

48

49

50

51

52

53

13

58

55

11

10

9

8

7

6 2,85

59

3,00 54

Centr alized Fresh Air

12

56

5,37 5

Centr alized Fresh Air

36

7,70

60

61

62

63

64

65

5

4

3

2

1

2,40 66

67

68

2,40 69

71

71

Centr alized Fresh Air

52,00

Syste m Se parat ion

intak e

5,00

30

5,00

31 2,60

5,00

32

5,00

33

5,00

34

intak e

44,00

Fig. 15 Light-shelves (louvres) in winter position [Wehage/ Wolpert]

Short-term impact Serving as a prototype, the detailed plan can have a direct impact by introducing new regulations for water treatment, energy systems and environmental compensation, and by establishing a mobility concept for the pilot project area, as well as for the entire revised master plan for Hashtgerd New Town (ecological impact). As a framework for the elaboration of feasibility studies and governing, as well as controlling tools, it is a reliable basis for economic development. Due to the improved master plan, the site is now fixed as an “area for special design” and all subsequent plans have to be according to the new energy and resource-efficient regulations (social-cultural and political impact). Furthermore, the awareness of the Iranian partners for sustainable issues has been raised during this long bilateral working process (economical impact). Long-term potential With regard to the realisation of the pilot project, significant energy and resource savings are expected, e.g., the reduction of the energy consumption of buildings by up to 65% through reduced heating and cooling demand, the reduction of individual car journeys through revised transportation and land-use plans, recycling of 50% of the used water through use of grey-water for irrigation, and the preservation of water course and valuable green zones,

102

DESIGN SOLUTIONS

as well as the realisation of compensation measures due to the environmental assessment (ecological impact). With regard to the realisation of the pilot project, integrated measures for sustainability can be economically assessed. Furthermore, low-cost measures due to integrated planning and technological efforts can be evaluated in the local context (economic impact). The approved plan could function as a pilot for physical planning in other new towns. (social-cultural and political impact) On the Building Scale The scenario work for the Shahre Javan site reviews and evaluates the project aims and design results. A morphological study of all basic types resulted in an adaptive typology. It shows how the many variations function as an adaptive tool, providing flexibility in planning and execution, especially regarding functional and technical adaptation, as well as the integration of identity-forming aspects. Elements, components, and standards, with technical, construction-based, and textural characteristics, guarantee functionality and are the basis of this typology. While modifications and adjustments to specific sites and functions are adaptations to fixed characteristics, flexibility within the design typology is required by the planning process. The modular space system serves as a framework for the construction and the organisation of the housing units (fixed). Additionally, the modular framework enables the organisation of private zones and service zones in different floor-plan layouts (flexible). The vertical continuity of the structure offers constructive and technical functionality (fixed). The arrangement of the space modules in building morphologies on different plot layouts aims for functionality, privacy, and energy efficiency in a specific urban context (flexible). Identifying fixed and flexible elements enables the formulation of adaptive strategies, which allow for transfer of research and planning results, as well as the specification of elements for creating architectural and urban identity, as well as variety. The findings of the research and design process for Energy-efficient Homes was transferred to a final design proposal for a single urban unit in the Shahre Javan Community pilot project. The realistic scenario could serve as a basis for cost estimates, energy simulations, and the detailing of construction. A floor-plan layout at 1:100 scale, together with sample detailing of the architecture in the Shahre Javan Community at 1:20 scale, could help to define a standard for materials and energy goals. Degree of Transferability Due to the high degree of variability in unit number and size, as well as morphological adaptation, the typology can be easily transferred to other sites in the region. The developed housing scheme, based on Islamic traditions, offers culturally adapted, energy-efficient housing for the Middle East. The energy-relevant advantages of the compact urban form and its building configurations could create a higher spatial quality for new towns, as the concentrated building volumes create clearly defined public open spaces. Moreover, the simple, basic layout and structure of the introverted, individually regulated housing units respond to the specific technical and economic conditions of the region.

103

TEHRAN-KARAJ

Fig. 16 Urban square in sub-neighbourhood [Wehage/Wolpert]

Fig. 17 Aereal view of urban unit from the southeast [Wehage/Wolpert]

104

DESIGN SOLUTIONS

HO CHI MINH CITY: Individual shop house plots at the urban extension project Saigon-South [Ronald Eckert]

Dirk Schwede, Christoph Hesse

HCMC: Climate-adapted Town Houses Background The rapid economic development in Vietnam has enabled a change of living conditions for a growing population within the mega-urban region of HCMC. With an increasing household income and a larger share of disposable income being available for lifestyle changes and new consumption behaviour, new ways of building and new usages of buildings are also emerging. The construction industry plays a key role in this development. A large volume of construction activity is currently underway with concepts and systems different from the climate-adapted traditional ways. Furthermore, existing building stock is being retrofitted with modern technology for comfort conditioning, although the buildings themselves are not designed for being conditioned. Climatic conditions in HCMC are demanding, and new ways of air-conditioning buildings are usually highly energy intensive. Vietnam’s average annual population growth rate is about 1.3%, with a current population of more than 90 million. About two thirds of the population still lives in the countryside; however, it is predicted that urbanisation levels will rise rapidly along with ongoing economic modernisation. Furthermore, the development towards a modern consumer society in Vietnam will result in more resource-intensive lifestyles, which will also strongly affect the way buildings are designed, built, and operated. Whereas the total economic growth in Vietnam between 1990 and 2006 was 323%, the per capita electricity consumption increased by 511% and the demand for construction materials increased by 1,303% during the same period [United Nations Environment Programme UNEP 2013]. This illustrates the enormous significance of the construction industry in Vietnam, but also, this highlights the low resource efficiency, and far more significantly, an ongoing change in the use of construction materials and building designs. These new designs will also require more resources (energy, water, and materials) in future if no measures are undertaken. In Vietnam, electricity is being massively subsidised in order to provide for the basic needs of the wider population. These subsidies reduce the pressure for the emerging urban middle class to consider energy efficiency and other environmental aspects in their lifestyle. However, since subsidies will be gradually reduced and energy costs will rise, energy costs will become more relevant in the budget considerations of households in future. Furthermore, the growing overall energy demand exceeds the capacities of the available energy supply systems. This increases the need for public investments into new energy infrastructure on all spatial levels and requires effective policies to promote energy efficiency. With climate change and sea-level rises being recognised as threats to large swathes of Vietnam and especially to HCMC, energy consumption and the generation of greenhouse gas emissions need to be limited in order to reduce global and local climate-change impacts. This chapter introduces design strategies, construction principles, and advice for building occupants on how to achieve energy-efficient and comfortable performance in residen-

106

DESIGN SOLUTIONS

Fig. 1

Monthly average daily temperatures (maximum/minimum/average) [Schwede 2013]

tial buildings in the climate of HCMC. While the measures are presented for an individual building project and its users, they are also effective in a larger context for resource saving and climate-change mitigation on the urban scale and beyond. Finally, it will be discussed how these measures can be implemented in Vietnam given socio-economic and institutional constraints.

Integration Climate in HCMC The energy consumption in HCMC’s building stock is due, to a large degree, to the climate as its major constraint, and to the economic feasibility of having technical services in buildings. HCMC has a tropical climate, with warm and hot temperatures that lie between a minimum of 20°C and a maximum of 36°C. The daily average temperatures hover around 29°C in the hottest month and are only slightly cooler at 27°C during the cooler months. The daily temperature shift is up to 12K; the day–night temperature shift is especially large on days with high maximum temperatures. With values between 12–24g/kg dry air, the humidity of the air is high with rather low natural variations during the day. With the daily temperature shift, the relative outdoor air humidity is between 100% at lower outdoor temperatures and about 40–60%, but often also rises up to 80% in times of extreme hot outdoor temperatures. The humidity is almost always too high for comfort under natural conditions. The dry season extends between November and April, and the rainy season between May and October. During the rainy season, cloud cover prevents some solar radiation from reaching the ground with the result that outdoor temperatures are slightly lower. During the rainy season the air humidity increases. The number of monthly sunshine hours is reduced from a maximum of around 270 hours in the dry season, to about 160 hours in the rainiest month of the wet season with high global radiation throughout the year, compared to, for example, Berlin.

107

HO CHI MINH CITY

Fig. 2

Psychometric chart of climate conditions in HCMC, temperature and humidity of outdoor air, daily pairs of coolest and warmest hours of the day [Schwede 2013]

Fig. 3

Comparison of monthly mean solar radiation in HCMC and Berlin [Schwede 2013]

monthly mean solar radiation [kWh/m²/day]

8.0 Berlin, Germany

7.0

HCMC, Vietnam

6.0 5.0 4.0 3.0 2.0 1.0

be r

be r

ce m De

No ve m

r be

to be r

Oc

us t

pt em

Se

ly Ju

Au g

Ju ne

ay M

Ap r il

ar ch M

Ja n

ua ry Fe br ua ry

0.0

Comfort Considerations and Adaptive-Use Behaviour In contrast to conditions in cold areas, natural outdoor conditions in tropical climates are not life-threatening, but are sometimes uncomfortable and not conducive to being productive. Although building users might feel uncomfortably hot in warm and humid conditions, no one dies of cold and very seldom do people die from overheating, since people in the tropical region are used to these conditions. Human beings are able to adapt to the thermal conditions in a tropical climate, through selection of clothing, adaptation of activity, and by taking a position that is supportive to comfort. For instance, people in Vietnam people drink iced coffee to stay cool and gather outside in the shade. As opposed to professional work environments, occupants in residential settings are fairly free to adapt (act and dress) in order to feel more comfortable. In urban environments the

108

DESIGN SOLUTIONS

adaptive opportunities might be more constrained than in rural settings; however, urban spaces and urban housing can also provide adaptation opportunities if designed well. Architects, planners, and also managers of residential neighbourhoods should design and operate the buildings in ways that support adaptation. The perception of comfort is influenced by a number of physical environmental conditions, such as ambient air temperature, the temperature of surrounding surfaces, air movement, and the relative air humidity. Furthermore, the exposure to direct sun and glare will influence thermal comfort in tropical climates. When occupants are in direct contact with surfaces, the surface conductivity and the surface temperature is effective. In this way the selection of materials is crucial for comfort performance. Personal factors, activity, and clothing can be adapted and human beings can act and change their stance to be more comfortable. They can also move to a new location in order find better physical comfort conditions in and outside of buildings. These adaptive opportunities need to be developed in the design of sustainable neighbourhoods. While in mechanically conditioned situations, the environment is more or less controlled in accordance with the needs of the users using energy; in free flowing spaces (naturally ventilated and not air-conditioned), occupants should be more aware of the building’s physical behaviour and its natural response to weather conditions. It might be that places with acceptable thermal conditions (temperature, humidity, and air movement) will vary during the day, so that people would gather in the lower level living room or the roof terrace in the course of the day and might only find comfort in the bedroom during the night. In tropical climates, such as in HCMC, weather patterns are usually rather predictable with little variations in temperature, humidity, and sunshine. Crucial for comfort perception in a tropical climate is the air velocity. Air movement is effective to improve thermal comfort. Despite air temperature and high air humidity, sensible heat transfer is increased and also cooling through sweat is more effective when sweat is removed from the body surface through air convection. In well-designed, naturally ventilated buildings natural air drafts appear through wind and buoyant forces. Air movement can also be naturally supported by passive ventilation cowls, active ventilators, or fans.

Design Bioclimatic and Passive Measures in Tropical Climates Bioclimatic measures make use of the natural climatic conditions that surround a building to improve comfort performance and to reduce demand for mechanical conditioning through the utilisation of natural environmental flows. Bioclimatic design influences the natural climate conditions at a site though the design of the natural environment and the built environment. The microclimate is affected by urban form and urban vegetation. Passive measures are effective to provide comfort and to reduce energy demand for active conditioning by constructive means, material selection, and simple geometric systems (sun protection, operable windows, and screens). A combination of bioclimatic and passive design measures is effective in reducing mechanical air-conditioning demand and thereby reducing energy consumption, and increasing comfort indoors and outdoors.

109

HO CHI MINH CITY

Fig. 4

Town house ensemble with passive and bioclimatic design principles [Hesse 2010]

Building Form and Orientation The form and orientation of town houses are crucial. In general, the amount of surface that is exposed to direct sun radiation should be as small as possible. On the one hand, narrow facades should be oriented in a north–south direction, and, on the other hand, adjacent buildings should protect the long facade against excessive radiation. In case it is not possible to shade east and west facades in this manner, secondary spaces like staircases, storage spaces, or bathrooms should be located in the exposed areas. Additionally, walls could be executed in two layers with space in-between to allow internal air circulation. Furthermore, the east and west facades should only have a few small openings. When these design priciples are followed, most direct solar radiation will reach the building through the roof and via the southern facade. Therefore, the form and design of a building are especially important. As demonstrated in the section (see figure 6), these parts of the building should be covered by a heat buffer zone. Overhangs and louvers provide constructive shading. On the upper levels, loggias and balconies reduce the impact of the heat by thermal air movements before it enters into the indoor spaces. At roof level various design techniques can be executed. Solar panels or reflecting double shell materials can be used as active sun protection. Green roof constructions and bright surface materials are sufficient alternatives for passive sun protection. Rough textures provide self-shading and also multiply the surface area for cooling during the night. Building Openings The design of residential buildings in tropical climates should support natural ventilation. The floor plan should be laid out to allow for cross-ventilation of all living spaces. In case of a conflict between sun direction and outdoor wind direction, the orientation of the house can be adjusted between 0–30 degrees off the main wind direction without losing the cooling effect of the airflow. Since the prevailing wind direction in Ho Chi Minh City is from the southeast during the dry season and the southwest during the wet season, the building can be slightly reoriented towards these directions and is probably best oriented towards the south for wind

110

DESIGN SOLUTIONS

Fig. 5

(left) Energy-efficient form of a town house: 1. The short facades should be oriented in north-south direction. 2. East and west facades are protected by adjacent buildings. 3. Overhangs, louvers, and balconies provide constructive shading. 4. Double shell roof for shading and natural air ventilation [Hesse 2011]

Fig. 6

(right) Heat buffer zones of the town house: 1. Southern facades: constructive shading with balconies, loggias, overhangs, and double skin 2. Roof: shading with panels and double shell construction with air ventilation 3. Northern facades: light building materials for cooling off faster at night 4. Basement: cistern tanks for rainwater storage and active cooling of the ground floor [Hesse 2011]

utilisation and sun protection. To achieve an optimal advantage of natural ventilation, the facades should have openings, doors, and windows that are as large as possible. However, this has to go along with effective sun protection. Rain, insects, and air pollution also have to be kept away from interior spaces. Inlet openings should be located on the windward side at a low level in the room. Conversely, outlet openings should be located at a higher level of the room on the leeward side. If both were placed on a higher level, as we can observe in many houses in Ho Chi Minh City, the air would certainly move, but the user of the room would not experience the cooling effect. Rooms with openings on one side only should be avoided. Particularly, the long and narrow building form of the house depends on cross-ventilation. The floor plan is often as deep as 15 m, so that a small air space or atrium will contribute to increase the “stack effect” for natural ventilation in the house. Internal Space Composition The spatial composition of the rooms should follow their designated function and the heat load that is expected to occur in them. All spaces that are primarily occupied during the day should be located in the northern part of the house. The kitchen and dining room, working spaces, like home offices and playrooms for the children, should be situated here. These rooms do not necessarily need to be protected by the heat buffer zone like those on the southern facade. Moreover, it is recommended to reduce the weight of the walls to achieve a faster cooling-down effect during the night. This can be achieved through the selection of

111

HO CHI MINH CITY

Fig. 7

Longitudinal section of the town house [Hesse 2011]

Fig. 8

Heat buffer zones of the town house: 1. Free air path to allow natural ventilation 2. Operable windows for cross ventilation 3. Air draft induced by fans 4. Closed zones with mechanical cooling 5. Separate air path in zones with loads [Hesse, Schwede 2011]

light construction materials or through the fitting of ventilated screens to shade the wall from the sun. The kitchen and bathrooms, which usually produce additional heat and moisture, should be separated from the living areas and arranged to the leeside of the building or the atrium, in order to expel the exhaust air directly to the outside. The layout of the room composition divides the house into independent zones that can be air-conditioned separately. Each zone can be cooled to a temperature favoured by its users. However, the house is designed to provide acceptable conditions through natural breezes flowing through the interior. The main intention is to minimise the use of air-conditioning in order to save energy and energy costs. The airshaft, placed in the very heart of the building, accelerates the existing air movement and draws it up to the rooftop. A small water basin on the ground floor, as well as vegetation on the wall of the atrium will support the cooling effect by evaporation (adiabatic cooling).

112

DESIGN SOLUTIONS

Sun Protection and Shading In contrast to the central-European climate, solar gains are cooling loads in Ho Chi Minh City’s tropical climate, since temperatures are always on the higher end of the comfort range. Therefore buildings and rooms need to be protected from the sun. Solar gains will affect buildings in three ways: firstly, through transparent openings, such as windows, doors, and skylights; secondly, through the opaque building elements, via conduction from the heated outside surface to the interior of the building; and thirdly, by ventilation with overheated air from heat islands around the building. All three impacts can be reduced by smart design that is able to reduce the indoor temperature and thus effectively save on cooling costs. The sun path is rather uniform in Ho Chi Minh City, with only minor variations between the summer and winter months of the year. The sun starts its ascent in the morning in the east, rises fast to a high position above, and sets in a westerly direction. This path allows fixed and constructive shading systems to be used. Traditionally, buildings in tropical climates employ ventilated screens with a distance in front of light and ventilation openings to allow moderate lighting and sufficient airflow, while reducing the solar gains effectively through shading and convective heat loss. Also, overhangs in the form of roofs and balconies are often used to protect the southern and northern facades from the sun. Solar protection of the eastern and western facades requires vertical systems, either in the form of vertical screens (grids or lattices) in front of the openings, or moveable sunshades, if transparent openings cannot be avoided by the design layout of the building. If possible, buildings should be oriented to make optimal use of these principles with openings to the south and to the north, but mostly closed to the east and the west. Since moveable systems are more expensive and require more maintenance to operate, constructive shading in the form of fixed devices is preferred in a robust energy-efficient design concept. External shading is more effective since the sun cannot enter into the room in the first place. Internal shading does not serve the purpose well, since energy from the sun, which is absorbed by the internal shading device, will still increase the heat load of the room through radiation and convective heat gains. If the building does not exceed a certain height, and wind loads are not significant, external shading is the best choice. Fixed constructive systems are robust and also perform well in windy conditions and should hence be preferred. In order to avoid heat gains through opaque building parts, three strategies should be used. The first is shading: external building elements should be shaded through screens, trees, vegetation, or other building elements and buildings. This reduces the amount of heat that reaches the building. The second strategy is to use light colours for the outside surfaces, in order to reflect the light, rather than to heat the wall. The third strategy is the reduction of conduction through the wall. This can be achieved through double-layered wall constructions, with an air gap to interrupt the heat conduction, through a thermal insulation layer, or through materials with low heat conductivity, such as insulation materials or aerated concrete. Heating with overheated air can be reduced by generating a favourable microclimate around the building. This can be achieved by using light colours, plants, and, if possible, water features.

113

HO CHI MINH CITY

Ventilation and Cooling Buildings in the tropical climate, such as in Ho Chi Minh City, are ventilated for three reasons: firstly, to supply fresh air from the outside, secondly to remove used air, moisture, odours, and potentially harmful substances from the inside, and thirdly, because moderate air movement can increase comfort in occupied spaces. In naturally ventilated and otherwise unconditioned buildings, therefore, a moderate airflow is positive and always helpful to create thermal comfort and indoor air quality. This is true in Ho Chi Minh City most of the time. In air-conditioned spaces, however, where indoor air is treated through mechanical systems, air exchange with the outside should be controlled and reduced as much as possible in order not to lose the energy previously conditioned for air-conditioning. The hygienic, fresh air demand of occupants in homes and also the air exchange to remove used air and odours from the building are rather low compared to the air flow in naturally ventilated buildings. Consequently, for air-quality reasons, it is not necessary to maintain a high level of natural airflow all the time. Since natural ventilation is a very effective, energy-efficient, and pleasant way to create comfort in homes in the hot and humid climate, this mode should be supported by the architectural design—also in new buildings—and should be utilised as frequently as possible. Large ventilation openings and a free air path through a shaft to drive airflow need to be included in the design, but this air path needs to be able to be shut during times when mechanical conditioning is being utilised. Zoning of the building into air-conditioned and not air-conditioned areas in a hybrid ventilation concept [Figure 9 •] is a good way to secure and to maximise comfort in an energy-efficient manner. Where air draft cannot be achieved naturally, moderate air movement can be driven by fans to create and to enhance thermal comfort. This is true in situations with natural ventilation and also when cooling is operated. In modern buildings, occupants generally choose to use mechanical means of cooling. These mechanisms should be able to be individually controlled in order to closely meet the demand. Energy-efficient equipment should be chosen, i.e., high-performance cooling systems. A labelling system for air-conditioning in residential applications has recently been introduced, so that the client, the architect, and also the engineer are supported in their selection of the most efficient equipment. Mechanical Air-Conditioning in Tropical Climates In order to treat outdoor air to comfortable conditions, the air must be dehumidified throughout the year. During night time hours, when outdoor temperatures are relatively low, no cooling and only dehumidification is needed, but cooling is constantly needed during the heat of daytime hours. At no time during the day are, the natural outdoor conditions in HCMC able to support the natural discharge of humidity loads or to dry materials effectively, since natural humidity loads in the outdoor air are too high. Dehumidification without active cooling is possible, but the process of utilising adsorption and absorption phenomena is seldom applied in small units for residential applications due to economic reasons and also due to process reasons. However, the principle will be introduced below, since absorption dehumidification can be expected to be part of the solution for energy efficiency and comfort in tropical climates in future.

114

DESIGN SOLUTIONS

Fig. 9

Mechanical conditioning and natural ventilation concepts, (a) traditional ventilation concept (b) mechanical ventilation and conditioning concept (c) retrofit of mechanical conditioning in traditional concept (d) hybrid ventilation concept [Schwede 2010]

a.

b.

c.

d.

The absorption of humidity into the material is driven by the relative humidity difference between the air and the material. For absorption dehumidification, an absorbent material is brought into contact with the humid air stream. Thus, humidity is transferred from the air stream to the material. The material is then regenerated (that is, dried) through contact with a dryer airstream. The process is designed in order that the “dried” airstream is supplied to the building and that the humid airstream is released to the external environment in order to remove the humidity load from the inhabited environment. The more commonly used principle of dehumidification is condensation through cooling of humid air to the dew point temperature, whereby the humidity in the air is condensed into water and then discharged as a fluid. The treated air is undercooled for psychometric reasons and would need to be reheated in order to achieve comfort conditions. As the reheating is not applied in many cases, spaces with dehumidification demand are often chilled, and are uncomfortably cool when the temperature and the humidity outside are uncomfortably high. This undercooling has the effect that the indoor temperature is lower than the outdoor dew point temperature, so that unwanted condensation occurs on the external surfaces of (single-pane) glazing and on solid building parts. In turn, this can lead to damage, reduced durability of the building construction, and a higher maintenance and cleaning demand. Since dehumidification is an expensive and energy-consuming process, the room volume, or more accurately, the air volume, to be dehumidified ought to be reduced to the minimum functional degree. Furthermore, it is a prerequisite of energy-efficient buildings in these climates that air-conditioned spaces are airtight, so that uncontrolled air exchange is reduced. In residential settings and especially in situations where air-conditioning equipment is retrofitted to previously naturally operated buildings, cooling devices are often combined with natural, and therefore uncontrolled, ventilation modes. In these situations energy loss remains high. An additional strategy for the reduction of energy consumption is to implement systems that are controlled stringently to the demand of the occupants. For air-conditioning applications, it is appropriate that equipment is switched off when rooms are unoccupied. For such control, surrounding building elements should not expose a high thermal mass to the room, so that thermal storage effects do not extend the cooling response times. Thus, the time between the start of the equipment (switch-on) and cooling is controlled by the occupant effectively. According to the survey undertaken by Michael Waibel [Waibel 2009], the occupants in the buildings in HCMC operate systems to support their needs only for the hours during the day when the room is occupied. In this way, current user behaviour is energy saving. This user behaviour should be maintained and supported through the design of the building and with the systems installed.

115

HO CHI MINH CITY

Transfer Technical Development and Design Accordingly, it is of utmost importance that a future design standard for residential buildings in tropical climates should enable energy-saving occupants. Therefore, design principles, operation modes, and phenomena utilised in the past should also be enabled in modern building designs. However, since clients and occupants of modern residential buildings demand comfort provision through available (technically and economically feasible) means of air-conditioning, the integration of passive design principles and energy-demanding mechanical cooling devices must perform well. Zoning of the building layout is crucial, so that only dedicated spaces are mechanically cooled and the rest of the house is effectively ventilated and cooled through natural processes, such as drafts, evaporation, and shading. Although mechanical cooling should be reduced as far as possible, more efficient air-conditioning devices would help to reduce the inevitable increase of energy consumption in future. The introduction of a labelling system for air-conditioning units in Vietnam has been a positive step in the right direction; however, more advanced systems currently available, which are produced in Korea, Japan, and part s of China, ought to set the technological benchmark in future, also for the assessment of systems produced and applied in Vietnam. A big step forward would be the development of small-scale heat-and-moisture recovery systems that can be utilised for controlled ventilation of residential buildings in tropical climates in the same way that sensible heat-recovery systems are commonly utilised in low-energy buildings in the central European climates. Such small-scale heat-and-moisture recovery systems are currently not available and ought to be developed. Extrapolation to the Urban Level While energy-saving measures affect the performance of the individual buildings, they also have an impact on the larger neighbourhood scale and the urban scale. The saving and reduction potential for carbon emissions can be extrapolated by multiplying results from single buildings to a group of buildings. The simple extrapolation from the building concept in an urban quarter of a 150 tube houses has been calculated and the results are listed in Table 11 below. Additional benefits are achieved through the reduction of heat and noise emissions in the neighbourhood, when the energy demand of single buildings is reduced. The quality of the space, as well as the architectural appearance will improve when buildings rely less on mechanical means for conditioning. Transfer All the above-mentioned aspects indicate the importance of implementing these principles for modern residential buildings in practice and implementing them into design briefs and the developed designs of private, commercial, and institutional clients. Furthermore, design standards and design-and-sizing guidelines need to reflect such principles to support practitioners in their work. Even more urgently, the justification and reasoning of adapted design solutions that do not achieve compliance with fixed conditioning requirements must occur, such as fixed room temperatures and humidity set points, in order to be energy and resource efficient.

116

DESIGN SOLUTIONS

Fig. 10 One hectare of typical shop houses in HCMC as baseline for the calculation [Schwede 2013]

1ha urban quarter 150 tube houses

Tab. 11 Carbon reduction by simple measures extrapolated to 1 ha urban quarter [Schwede 2013] baseline power consumption, 1 ha urban quarter, 150 typical tube houses

344 to CO2/a

efficient AC units (2-star compared to 5-star)

-50 to CO2/a

efficient lighting (2-star compared to 5-star)

-29 to CO2/a

solar water heaters 10 m2 PV-system per building

-73 to CO2/a -117 to CO2/a

In the urban scale, the interaction between the urban climate and energy-efficient building design needs to be understood and implemented in the design of urban neighbourhoods and the wider urban context, through urban green and ventilation corridors in the city layout. Although it is difficult to prove the economic benefits of energy saving measures of this kind, economic feasibility and increased functional and environmental performance can be demonstrated holistically, also in the climatic, economic, and social context of Vietnam. In the HCMC Megacity project funded by the German Ministry for Education and Research, the authors have chosen several ways to transfer advice on energy-efficient and climate-adapted design into practice. The content has been disseminated through lectures at university for future professionals, in workshops for design and building professionals, consultation with administration on local construction departments, and also on ministry levels. As a tangible reference, the Handbook for Green Housing [Hesse, Schwede and Waibel 2011] has been published and presented to the market and professional stakeholders, as well as to the general public in Vietnam. The response received in discussions with local stakeholders on all levels is promising, so that further steps will extend the success of the efforts made thus far. The practice indicates that action and actual implementation still lag behind the interest and the understanding of this topic. However, the involvement of students and young professionals in the issues of environmental protection and sustainable design is promising and will hopefully lead to these topics receiving ever more attention in professional practice. The current economic development and the connected increase of construction activity in the entire tropical region (of which HCMC and Vietnam is only a small area), however, will require fast and effective action with concepts that reduce emissions of greenhouse gases and increase adaptation to climate-change effects. These efforts should be able to provide the quality of life an increasing number of the urban and rural population is able to afford.

117

HO CHI MINH CITY

SHANGHAI: Historic neighbourhood with public and walkable streets [ISS]

Sabine Drobek, Hannah Baltes, J. Alexander Schmidt

Shanghai: Shanghai Harmonious City Design Background Shanghai is a fascinating megacity that provides researchers with the opportunity to explore hyper-urbanisation in China, as well as conduct research on the potentials of reducing energy demand and CO2 emissions. Observing developments in Shanghai also allows researchers to make projections about development trends in emerging megacities. The economic boom and the dynamic process of urbanisation in Shanghai make the city a place where active measures and their impacts can be read extraordinarily quickly; this immediacy of change is hard to find anywhere else. The dynamics of urban development also present challenges for the project. The fundamentals of city planning can be changed or added to in very short time frames. Whereas, until recently, peripheral “satellite cities” that were supposed to reduce the strains on central Shanghai were being planned (some of which were completed), “new towns” are now being developed. These “new towns” are close to the city centre and are being planned with connections to public transport services in mind [UDE 2010a]. The design of the urban space largely depends on the mission statement of a car-dependent city. A car is an important status symbol in Chinese society. Cars symbolise financial success and secure social prestige, but, most of all, they dominate the dimensions of urban space and characterise its configuration. A change of conscience is only becoming noticeable by degrees—the daily traffic jams in the megacities of Chongqing, Shanghai, Guangzhou, or Beijing make people reflect on whether motorisation can continue at this rate. Furthermore, there is smog and noise pollution in the city, which has increased to a health-threatening extent. In many cities, people in the streets wear respiratory protection to prevent them from inhaling emissions hazardous to their health. However, an active regaining of traffic space for slower traffic, or even for the sake of higher living quality—a laborious exercise—cannot be seen anywhere yet. Cycle paths—originally designed alongside roads—are sacrificed to improve the flow of traffic and to create extra lanes. There are numerous publications on architectural design in China. Glossy magazines for global architecture celebrate the strange, single solitaire building that serves image-conscious investors. The topic of “urban landscape” has not yet been explored in China. Contextual design is not yet being promoted—neither by Chinese, nor by the army of foreign architects who work there. This becomes evident in the many fractures that are created by construction projects in the Chinese urban cityscape. Moreover, there is no place-specific architectural style; Chinese cities are being covered by interchangeable new architecture which ignores specific regional contexts and their architectural roots. Genius loci or the “soul of the city,” these are foreign terms in the everyday urban planning schedule. It should not be forgotten that it is not only architects who have a say in architecture; stakeholders, investors, and politicians also play an important role. Signature design and exceptional building forms are popular among politicians and investors. In this way, progress can be best observed. The success of politicians, mayors, and politically appointed commissioners is commonly measured by what is built and concretely visible within their first three years of office! Patience is

119

SHANGHAI

Fig. 1

Green axis of Hongqiao business district [SBA 2010b]

a foreign word in this context. The built success seems to define future careers. It will take a long time to dismantle this erroneous belief.

Integration Hongqiao District is an example of a mixed-use, multi-functional, “low-carbon” urban development oriented towards the city centre. An upmarket, low-carbon business district and one of Shanghai’s largest traffic hubs are being planned in close vicinity to the Hongqiao domestic airport. Within the scope of the planning and implementation phases, the joint project team is responsible for developing guidelines and codes for different blocks for buildings, urban public space, and mobility, with the help of the “Low Carbon Index” (LCI®), as well as for investigating the effects of low-carbon measures on actual energy consumption and CO2 emissions (EEC®). The Xinkai district is a residential and mostly mono-functional area with public housing that is being built in three phases. The site was previously agricultural land. The question of finding the best moment for investing in low-carbon measures is vital. Hongqiao The Hongqiao Development Area is located 13 km west of Central Shanghai, on the peripheral ring road. The entire development area is 86 km2 and is currently the most important development project in Shanghai (apart from the Expo2010 site) to be planned as a low-carbon area (according to the plans of the municipal government). Hongqiao Airport, currently under construction, is located on the periphery of the planning area. The airport currently serves 18 million air passengers annually and will serve 30–40

120

DESIGN SOLUTIONS

Fig. 2

Planned development of Hongqiao Business District with adjoining traffic hub [SBA 2009]

million after the expansion. Other projects on the periphery are the new Hangqiao Traffic Hub and the Hangqiao Business District (26 km2), which includes the Hangqiao Business District Focus Area (1.4 km2) as our pilot area. The area also presents an important research environment in the field of mobility efficiency, as the Hongqiao Traffic Hub provides optimal connections to various forms of transport (air traffic, high-speed trains, inter-city trains, magnetic monorail, several metro lines, long-distance coach services, city bus routes, taxis, and private motorised transport). The excellent connection to the public transport network, the density of building in the area, and the general high quality of design for public spaces will most probably have a positive effect on the low-carbon targets. Expert knowledge has been incorporated into the design of the office and trade buildings. From favourable wind exposure and proper solar orientation, to compact structural forms, to the installation of state-of-the-art insulation, to highly efficient building technologies, all sorts of possible measures are conceivable and feasible in the detailed phases of planning. Since Hongqiao has a wide variety of different forms of transport, all of the traffic-related measures delineated in the LCI® list of criteria can be taken into consideration. For example, the accessibility and connection of transport stops/small stations will be optimised. Other measures will also be taken to reduce traffic volume in the area. By instituting parking fees, the number of cars can be reduced. In addition, it is planned to make the area particularly amenable to electric cars. Pedestrian and bike paths also play an important role. In this regard, designing direct paths without long diversions, constructing safe crossings, and creating solutions for potential “trouble-spots” with motor vehicles will be an advantage for the low-carbon features. The primary task of the planning commission is to push for the ratification of the Regulatory Plan by the mayor. The Regulatory Plan regulates the zoning of specific public areas and establishes procedures for selling the rights of use for parcels of zoned land for a period of

121

SHANGHAI

Fig. 3

Shen Chang Road and Sky Walk [SBA 2010b]

fifty years. After passing the Regulatory Plan, it is the intention of the current policy to move forward quickly. Thus, most of blocks will be erected by 2015—if the economy helps to speed up the development. There will be an allowance of open space for optimising the buildings themselves (in negotiation with the investors) and for traffic planning (installing sensors for the dynamic EEC® etc.). Since the Honqiao Pilot Area is mostly comprised of office and trade buildings, it has to be considered that the building occupants are not directly responsible for energy costs. Based on experience, this generally leads to a less careful use of energy. Therefore, the conceptual designs of the buildings will need to address this issue with regard to building and energy control technologies. Furthermore, it can be assumed that the users will be high-earning workers. It is believed that members of this socio-economic group—more than other groups— tend to drive their own cars. As a result, it is crucial to restrict the number of private motor vehicles in the area by making other forms of transport attractive and, if necessary, to set up restrictions for cars. Two major issues arise in this context: (1) what potential does the design present in comparison to common designs and (2) what role will individuals play in tapping the full potential of the area? In other words: how much will potential decline when individuals become part of the equation?

122

DESIGN SOLUTIONS

The Hongqiao Traffic Hub is of particular interest to research on megacities. The question is, what are the projected impacts of the traffic hub and its maximised public transport services in terms of energy efficiency and climate protection? The research project will perform innovative, pioneering work in this field and enrich the entire field of research by providing new insights with systematic results. In the framework of the detailed planning phase and parallel to negotiations with potential land buyers, improvements will be identified and designed in detail. Because of the size and diversity of Hongqiao in terms of city planning, buildings, and traffic, and because of the Chinese partners’ willingness to work towards establishing a low-carbon prototype area, Hongqiao is the ideal place to test the EEC® and LCI® and to iteratively improve by analysing both the data and initial knowledge provided during the project. The LCI® was developed simultaneously to the master plan and has already been integrated into the projected implementation plan. Initial suggestions for optimising the detailed building plans and transport systems have already been drafted. Xinkai Xinkai is located southwest (circa 25 km) from the centre of Shanghai in the sparsely settled Songjiang district and is north of the “new centre” called the “Shongjiang New District”. The area in question was previously used as agricultural land. This shift in land usage is also typical of urban development in Shanghai. Xinkai is a mono-structured residential area and part of a “New Town” settlement composed mostly of public housing intended for residents of the city centre of Shanghai who are to be resettled. Thus, this area represents the processes of resettlement from the centre to the periphery prevalent in Shanghai. Living space for 73,400 residents is to be provided in 8- to 18-storey apartment buildings. Thus, this planned area includes building typologies characteristic of Shanghai and is a document of the increasing dominance of high-rise apartment buildings, which are an important addition to the “Shanghai Building Type Database”. The planning area is split up into three main sub-developments: the first sub-development, intended to provide living space for around 11,000 people, was completed in 2008 and is currently 30% occupied; the second sub-development (completed in 2010) will provide living space for 9,800 residents; the third sub-development is still in its planning phase and is intended to provide apartments for up to 52,600 people. As a result of these various states of development, three areas have been observed. In sub-developments one and two, post-evaluations were the basis for the recommendations for planning the sub-development three. Small retail areas, kindergartens, schools, sports facilities, and a business centre are also integrated into Xinkai to ensure that there are enough infrastructure facilities and jobs that serve the surrounding residential area. The site area is also in close proximity to sports facilities, green areas, and water, thus providing residents with the opportunity to spend time outdoors. The area will be connected to the transit network (two metro lines and several bus lines); the network of pedestrian and bike paths is currently poorly developed. Xinkai excellently fulfils the prerequisites for making an area relevant for research. This applies to the following areas: “Type of Area”; “State of Planning and Implementation”; “Flexibility of Planning and Implementation”; “Relevance to Research”; and “Transferability of Research Results”. The “Low-Carbon Goals of the Municipal Government” only apply indirectly in Xinkai. Here, the focus of our research is on the question of which standards of

123

SHANGHAI

Fig. 4

First and second construction phase of Xinkai (model) [ISS]

quality can be expected of buildings today and in the near future, especially when considering economic interests and profitability (90% of the public housing is to be sold). These questions are of key importance and will be explored in a series of analyses, which will consider (both ex-ante and ex-post) income, energy prices, life-cycle costs, financing, and value appreciation. Research on behaviour will also be carried out over a time period yet to be decided. Using two typologies of buildings in the area, we will also test our model calculations. Residents’ mobility behaviour will also be recorded ex-post. The stakeholder here is the Shanghai ChengTou Corporation, Shanghai’s largest municipal investor. Their objective is to provide an economic solution for public residential building projects within their investment framework. A variety of measures are being conceptualised for sub-divisions one and two (already completed) and for the third sub-division (in planning). In the first two sub-divisions, the integration of energy-efficient building technology, dependent on the typology of building, is essential. In terms of city planning, measures need to be taken in the spatial distribution of zones (more thorough mix of usage), in the areas around traffic hubs, and in the design of green areas and public spaces. In terms of traffic management, there are only a few areas that can be optimised since the infrastructure is already in place. Existing bus routes can be optimised, as well as the network of foot and bike paths between the sub-divisions. More comprehensive measures can be taken in the third sub-division. In terms of building services engineering, one can go further than just installing energy-efficient technologies by working to improve the structures themselves (building materials, insulation, paint, and windows). Here, urban planning measures are also related to spatial distribution and the mixing of usage, especially around traffic hubs, planning green areas (distribution, networking, and design) and designing public spaces. Public transit can be optimised in terms of transit routes and the network of pedestrian and bike paths between the sub-divisions, as well as within the sub-division itself. The investors have given the research team the opportunity to plan and, if the situation arises, implement the integration of modern insulation and housing technology in two prototype buildings (a high-rise apartment building and an entrance building with public spaces) in cooperation with two German partners, Viessmann AG and the Bayer Sheet Company. The project also investigated to what extent intervening in a partially completed area is feasible and how to conceptualise a workable and financially feasible concept for making modifications and upgrades to building technologies. How can residents—who can freely choose their own air-conditioning and ventilation systems—be convinced to choose more

124

DESIGN SOLUTIONS

Fig. 5

South-oriented high-rise buildings (left), semi-private green (middle), traffic roads in Xinkai (right) [ISS]

expensive, but also more energy-efficient technologies that also increase their general level of comfort? Investors need to be shown that additional investments in energy-efficient buildings, not only lead to lower energy consumption and lower bills for the residents, but also that the buildings can be marketed better in the long-term as demands for higher comfort rise. Since the decision-making processes of the investors are bound to their financial framework and since they aim to sell 90% of the apartments after completion, the low-carbon issue is directly connected to the marketability of the units. The latter is relative to the incomes and buying power of the potential buyers. Since incomes are rapidly rising in the area, an interesting optimisation problem has arisen regarding the connection between income and other variables to making higher-quality investments at a particular point in time. This is the task of the “Optimum Investment Calculator” (OIC). Within the framework of the post investigations, the effects of the actual scope of available structures and amenities will be compared to the resulting effects of user behaviour by applying the dynamic EEC® and through observations of behaviour. Thus, improvement of the structure of the area, building use, and mobility was made possible.

Design Since the 1990s, China has slowly begun to reawaken some of its own traditions. The use of historical Chinese elements and methods in architecture is becoming more evident. In the past, planners and builders were not allowed any particular creative freedom; the architecture only reflected the social status of the owner. Wooden courtyard houses were the traditional building forms. The weathering of wood is certainly a factor for a different attitude towards architecture and its history. Chinese architecture concentrated on proper application at the appropriate time; it did not focus on expression of an architectural form [Szesny 2006]. In China, residential areas will be constructed quickly and abundantly in the coming years due to the migration from rural areas to urban centres. This will increase the significance of integration of the present topography and natural space, present city areas and architecture, as well as historical infrastructure. The development of China is causing the new generation to develop and perform urban planning without preliminary knowledge. This circumstance frequently leads to the replication of international models without reflecting local aspects. This results in interchangeable cities. Fortunately, the level of professionalism has increased highly within a very short time period [Werlin 2006].

125

SHANGHAI

Fig. 6

Map of traditional architecture in China [CHINAHOUSING 2007a]

Experience with Chinese planning authorities and discussions with Chinese planners and architects indicate that in addition to the legal planning system, a second, unexpressed reality exists. This is reflected in dealing with cities and frequently does not appear exclusively rational, but rather indicates close affinities to the Chinese Taoist philosophy. Particularly for this reason “Western” systems should not simply be copied without modification. The history of Taoism is over 1,800-years old and is the only indigenous religion of China. Despite the Cultural Revolution, Taoism as a religion and a philosophy, is still deeply entrenched in traditional Chinese culture and is also important in forming attitudes toward, and dealings with, the city. Carl Fingerhuth [Fingerhuth 2004] focuses in detail on this phenomenon and deals with the city as influenced by Taoism in his thesis “Urban Construction Beyond Modernity”. These concepts are briefly listed below [Fingerhuth 2004]: · urban construction in its totality ought to include human senses, emotions, intuition, and spirituality in a balanced way · the form of the city should have a symbolic meaning · “form follows function” is not sufficient for an aesthetic city · the transformation from a traditional city to a new image should not be based on ideologies or an “either/or” proposition; all factors must be included and lead to a coexistence of different elements · city designers must perform the work of urban transformation carefully and without prejudice · harmony between humans and nature/the universe should also be reflected in urban design i.e., in the sense of Feng Shui In present-day China, the different Weltanschauung of East and West, of spirituality and rationality appear to converge. This is not necessarily evident, or obvious, for Chinese planners. In contrast, this knowledge would provide a basis for understanding Chinese cities and the apparently heterogeneous planning approaches for western planners, as well as a basic framework in the development of planning recommendations.

126

DESIGN SOLUTIONS

Fig. 7

Xinkai housing within agricultural land (left), large-dimensioned roads (middle), pedestrian paths (right) [ISS]

Xinkai With regards to design, Xinkai [UDE 2009] represents a typical housing development in Shanghai regarding site, function, target group, intended uses, mobility options, building typology, and energy efficiency. Xinkai—developed by the communal investor on behalf of the city government—does not have particularly significant housing developments and, in view of the low budget, stands for a typical development to house the rural population or “relocated” people from the city centre. Economic interests were paramount here, especially with regard to the site. As is typical, this housing development was built in the open countryside on inexpensive farmland. The future inhabitants were not included in the planning process, neither were their requirements considered, especially regarding mobility and demands concerning public space. There is a link to public transport, but unfortunately it does not operate well and it is unreliable. The local services and various public amenities and leisure facilities (kindergarten, schools, shops/small pedestrian zone, sports facilities) were planned, yet not yet completed by the time the first residents moved in. The standard architecture is comprised of south-facing, high-rise residential buildings, and the anonymous stacking of flats does not fulfil the living and communication demands of the target group. Except for the southern orientation of the buildings—positive from an energetic standpoint—there is no link to traditional architecture. Given the limited budget, the standard of efficiency is not attained; among other things, the installation of the building technology (heating and cooling technology) is left to the residents. The low building quality is mainly due to cheap construction materials, so that within twenty years the buildings are likely to already be dilapidated. Additionally, the public space offers no outdoor space for social interaction (no open space, hardly any footpaths), so that adaptable structures have to be planned beforehand through neighbourhood committees or urban planning authorities, which were to be planned in detail only after the residents had already moved in. Thus, the intended short lifespan of the buildings constitutes the main problem for the realisation of long-term, culturally identifying, and energy-efficient urban structures. Hongqiao Contrary to Xinkai, Hongqiao represents a low-carbon-oriented planning which attached great importance to architecture, the design of public space, and mobility services. The planning includes all of the desired sustainability models: Transit Oriented Development (TOD), intermodal mobility, mixed use, decentralised settlement/urban structures, pedestrian zones.

127

SHANGHAI

Fig. 8

Mixed-use development and public transport in Hongqiao [SBA 2010a]

Fig. 9

Green space and green roofs (left), pedestrian map (middle), wind design guidelines in Hongqiao (right) [SBA 2010a]

Moreover, low-carbon guidelines were stated in detail. In the course of numerous discussions and design phases with participants from various fields—design bureaus, commission members, planning experts, planners, designers, among others—it became apparent that many tools are missing to promote a design in a target-oriented way so that the low-carbon aspects are not only added at the end as afterthought. This is tricky; as for the truly sustainable characteristics, a draft needs to be developed at the very onset, and each draft decision tends to move the project further away from the intended sustainability. The very first decisions that are made have the greatest impact on the approach and cannot be redefined easily at a later stage in the process. Hence, in the course of the discussions we have been talking about “front-end loading” of the integrated low-carbon criteria that have to be inherent from the start in the draft, and that need to include urban form (green and public space, walkability), density, distribution of functions and mobility, the urban quarters, and buildings, as well as renewable energies. This led to the development of the LCI®. The same is true for control and monitoring; which politicians and which commissions know what sustainability measures are being built? People tend to talk about “sustain-

128

DESIGN SOLUTIONS

ability” and “low carbon”, but what is eventually transferred will no longer be controlled afterwards and remains uncertain. Many cases showed that only one prototype was built, a building of high quality just for display. The remaining parts of the building or the district remained at the usual (low) standard, where low-carbon or sustainability aims were ignored. Furthermore, mobility is also affected. Eventually, this led to the development of the EEC®. The same is true for the OIC: many investors and developers, politicians and planners did not know that capital invested in sustainability now will be a wise investment in the longterm. In view of rising energy costs, rising comfort demands, threatening vacancies mid-term, and rising investments for sustainability, it will be calculated when exactly investments are economically and ecologically advisable. This led to the development of the OIC.

Transfer The transferability of the work is basically a given: although the methods have been developed for Chinese conditions, with a few modifications the methods can be used in other countries and regions as well. As to the LCI®, the criteria, the weighing and the evaluation scale have to be adjusted to the conditions in specific areas. An adaptation of the LCI® has already been undertaken for the city of Essen in the context of the BMBF-funded research project, “Climate Initiative Essen” [KWSE 2013]. Apart from the basic methods, the EEC® cannot be entirely transferred. As the technical system remains unaltered (geo-data based server/client system), the developed interfaces, and the coding, as well as the automation processes can be adopted. However, the EEC® models based on different efficiency standards, climate conditions, energy calculation methods, user behaviour (comfort demand...), and data availability, etc., have to be developed from the start with every new pilot quarter. The EEC® dynamic also has to be adapted to prevailing conditions, because it depends on the existence and use of models and on-site data. The need might arise to develop new interfaces. An adaptation of the EEC® has also been carried out for Essen in the context of the BMBF–funded research project, “Climate Initiative Essen” [Drobek/Schnabel 2013]. As for the OIC, time-series parameters will need to be customised in order to reflect the conditions in specific areas. User manuals for all three tools (LCI®, EEC®, and OIC) will be drafted as part of the project. Partner institutions in Shanghai will test the transferability of the tools in the field in different areas of the city. In the long run, these tools should be able to be used in different countries and regions; the transferability will be assessed in each particular scenario. The results of the pilot areas can be developed further into general guidelines and serve as directives for further planning projects. The Xinkai project, particularly, can be taken as a role model for other similar building projects. The Hongqiao project was developed under special circumstances that made a direct transfer difficult to implement. Nevertheless, it serves as a beacon project and can therefore bring the topic to the fore in other areas and show how to deal with sustainability issues.

129

SHANGHAI

JOHANNESBURG: Rush-hour traffic on M1 (major freeway) in downtown [IER University Stuttgart]

Sheetal Dattatraya Marathe, Ludger Eltrop

Gauteng: Fighting Urban Sprawl Urban Sprawl in Gauteng Urban sprawl can be defined as a pattern of growth, which can be recognised by lower densities, heavy reliance on cars, and low-density developments on, or around, the edges of cities. Decentralisation and discontinuity can be described as the main characteristics of urban sprawl. Cities or regions that succumb to sprawl often demonstrate outward extension of the city. Segregation of land-use types, race- and class-based settlement formation, gated communities, reliance on private vehicles, frequent traffic congestion, lack of public transportation, environmental damage, and a declining sense of community are a few other characteristics of urban sprawl [Garreau 1991; Downs 1999; Katz and Bradley 1999; Rusk 1999; Lang 2000]. Countries, like the USA, Canada, and South Africa, with ample land availability have fallen prey to such phenomena. Gauteng’s historical background is responsible for its dispersed pattern. The province includes three major metros: Johannesburg, Pretoria, and Ekurhuleni. In the late nineteenth century, Johannesburg came under the spotlight with the discovery of gold and started attracting a flow of migrants [Reid and Lane 2004]. Pretoria, on the other hand, experienced rather slower growth until it became the first capital of South Africa on 1 May 1860. Ekurhuleni is one of the most important industrial towns in the country. The discovery of gold and coalmines, the establishment of other industries such as explosive factories and railway workshops, and the installation of electricity made Ekurhuleni better known [Ekurhuleni 2010]. As these three major cities grew at different rates, Gauteng did not have one dominant city centre around which urban development could take place. Moreover, the fact that these three cities have grown at various rates at different times, has given Gauteng more of a polycentric/ sprawling structure. Another major cause for this sprawling development was apartheid. As the trio of cities were booming, the labour force comprising the black, Indian, and Cape coloured population was forced to move away from white settlements and resettle in designated areas away from city centres are far from “white” suburbs. This resulted in congested informal settlements like Soweto and Alexandra on the periphery [Gauteng 2001]. In the late 1960s and 70s as South Africa experienced economic stability, following a long economic crisis, which led to many affluent (white) South Africans leaving the city centres and settling on the outskirts [Horn 2009]. The total area of Gauteng is 18,178 km² and the total urban population is spread over an area of 4,707 km² [Marathe 2013], which makes the establishment of an efficient and effective public transport system nearly impossible. Furthermore, crime and safety issues have led to a car-dependent lifestyle. Job opportunities are also scattered all over the region, hence underprivileged people have to travel greater distances to work and spend a lot of money to travel to work and to earn money. Urbanisation is an unavoidable process, but efforts can still be made through urban planning to direct it in the most appropriate way [Soffianian et al. 2010]. This has given rise to

131

GAUTENG

the increased importance of accurate mapping of urban environments and monitoring urban growth at the global level [Guindon and Zhang 2009]. As conventional mapping techniques are fairly expensive and time consuming for the estimation of the urban growth, computer-based statistical techniques along with remote sensing and GIS have gained popularity as an alternative to study urban growth [Yeh and Li 2001; Sudhira et. al. 2004; Punia and Singh 2011; Deka et al. 2012]. Significant research has been carried out in recent years on the integrated use of satellite data and GIS for recognising urban growth patterns using Shannon’s entropy approach [Sudhira et al. 2004; Joshi et al. 2006; Sun et al. 2007; Sarvestani et al. 2011]. Studies have shown that the entropy factor is a good statistical measure for recognising and understanding the spatial distribution of various geographic phenomena [Batty 1972; Thomas 1981, Yeh and Li 2001]. Shannon’s entropy is an indicator of spatial concentration or dispersion and can be applied to investigate various geographic entities. Spatial and temporal variations are taken into account to measure the sprawl/compact patterns [Yeh and Xia 1998]. Gauteng’s urban sprawl is been measured with Shannon’s entropy factor for 1991, 2001, and 2009 [Marathe 2013]. Shannon’s entropy factor (Hn) measures the degree of spatial dispersion or concentration of a geographical variable (xi) among n zones [Theil 1967; Thomas 1981; Yeh and Li 2001]. It is calculated by the following equation: Eq. 1

n

Hn= ∑ pi* log (1⁄pi ) i

Where Pi is the probability or proportion of a change occurring in the i-th zone Eq. 2

n

pi = xi   ⁄ ∑ xi i

xi is the observed value of the change in the i-th zone and n is the total number of zones. The entropy values vary from zero to log (n). The lowest value, zero, will occur when the distribution is concentrated in one zone. Inversely, an even distribution will have the maximum value of log (n). To scale the entropy values between zero and one, relative entropy is used. Relative entropy (H’n) [Thomas 1981] is defined as follows: Eq. 3

n

H’n = ∑ log (1 ⁄ (pi ) ⁄ log (n) i

Entropy can be used to indicate the degree of urban sprawl by investigating if the urban development in the city is dispersed or compact. If the value is large (close to one), urban development tends to be dispersed. Values tending towards zero indicate a compact city form. For Gauteng, entropy factor calculations were undertaken for various levels. As urbanisation has grown along the transport corridors in Gauteng, major arterial roads were chosen as one of the categories for entropy calculations [Figure 2 •]. As already seen in Table 4, p. 68 •, Gauteng has suffered from an uneven distribution of population. Three metros—Ekurhuleni, Johannesburg, and Tshwane—receive most of the migrant flow [Figure 6 and Figure 7, p. 69 •]; hence entropy calculations were also carried out at the municipality level to see the impacts of this incoming flow on the spatial pattern. Figure 1 • shows Gauteng with its various municipalities. Shannon’s entropy was also calculated for the Gauteng region as a whole. The results are depicted in Table 3 •. Table 3 • shows entropy factors for 1991, 2001, and 2009 at various levels in Gauteng. Most of the factors lie in the range of 0.80–0.99. Besides Kungwini, all other categories show an

132

DESIGN SOLUTIONS

Fig. 1

(left) Gauteng at the municipality level [Marathe 2013]

Fig. 2

(right) Main roads in Gauteng with 5-km buffer around them [Marathe 2013]

Tab. 3

Entropy calculations for various categories [Author’s own calculations a: Sun et al. 2007 b: Shekhar 2004 c: Araya and Cabral 2010] 1991

2001

2009

Category

0.95

0.97

0.97

Gauteng

0.80

0.86

0.86

West Rand

0.73

0.81

0.78

Nokeng

0.96

0.98

0.98

Emfuleni

0.87

0.84

0.89

Midvaal

0.84

0.83

0.87

Lesedi

0.85

0.85

0.82

Kungwini

0.90

0.94

0.94

Mogale city

0.91

0.92

0.93

Randfontein

0.82

0.85

0.85

Westonaria

0.97

0.98

0.99

Ekurhuleni

0.97

0.99

0.99

Johannesburg

0.96

0.97

0.98

Tshwane

0.95

0.97

0.97

Roads

-

0.91

-

Calgary, Canada (a)

-

0.98

-

Pune, India (b)

0.73 1990

0.83 2000

0.88 2006

Setubal, Portugal (c)

increase in the entropy factor between 1991 and 2009, which means overall in Gauteng there is a trend of increasing dispersed growth. As Kungwini municipality does not have any major industrial or financial centre located within its boundaries, the population tends to migrate to other parts of province with better employment opportunities, resulting in population decrease, and hence a decrease in the entropy factor.

133

GAUTENG

Fig. 4

Relationship between spatial structure and the spatial form [Bertaud 2006] Individual car is the only effective mean of transportation

Dominatly Polycentric

Public transport is the only effective mean of transportation

A combination of public transport, collective taxis minibuses and individual cars are effective means of transportation

Atlanta

Tehran Gauteng 2001

Gauteng 1990

Gauteng after BRT and Gautrain construction?

Jakarta (Jabotabek)

Paris

Mumbai

Moscow Singapore

Shanghai

Dominatly Monocentric 50

Very low Density

100

150

200

250

300

350

400

Very high Density

In other municipalities, e.g., Johannesburg, Mogale city, and West Rand, the entropy factors have remained unchanged from 2001. The constant entropy factors could be due to the fact that most of the available land for construction is already in use, reaching saturation of the urban areas. The city centres in Johannesburg and Pretoria have been deserted by the richer white communities who frequently choose to live in gated communities on the periphery, due to security issues. This could also be one of the reasons for constant entropy factors. In Table 3 •, the entropy factors for Gauteng are compared with other cities around the world. Due to vast land availability and car dependency, countries like the USA and Canada are already affected by urban sprawl, but it is interesting to see cities like Pune (India) and Setubal (Portugal) are also affected by this same phenomenon. It can be concluded that urban sprawl is not just a phenomenon in the developed countries any longer; rather it has been recognised in various cities in developing countries as well [Shekhar 2004; Sun et al. 2007; Araya and Cabral 2010; Marathe 2013]. Ecological Footprint of Gauteng An ecological footprint is an indicator of comparing lifestyle and consumption against how much the land can provide. The ecological footprint can be efficiently used to see the impact of a city’s consumption, or to what extent a city uses the land that is available within its territory. The urban form of a city influences its energy consumption, as people tend to travel longer distances daily. Gauteng has a relatively low density and has grown towards a sprawling city in last few decades [Marathe 2013]. Figure 4 • shows the relationship between urban form and the density distribution in a city, and how these two factors influence travelling patterns of a city, which, in turn, affect the energy consumption and ecological footprint. Densely populated cities have an advantage because, if they have an efficient network of

134

DESIGN SOLUTIONS

Fig. 5

Comparison of ecological footprint (black circle) of Gauteng Province with the nature’s carrying capacity (white circle) and the administrative boundaries [Özdemir and Marathe 2013]

public transport, the distances travelled are shorter. Due to longer distances, sparsely populated cities always face problems in establishing an efficient public transport network. The annual ecological footprint of Gauteng Province shown in Figure 5 • is calculated to be 4.86 gha per capita [Özdemir and Marathe 2013]. About 70% of the footprint, i.e., 3.29 gha/cap/a, requirements originate from energy-related greenhouse gas emissions. The dispersed spread of Gauteng and along with the absence of good public transport are a couple of the reasons for high energy consumption in Gauteng, as people tend to travel longer distances to and from work. Gauteng’s ecological footprint is significantly higher than the South African average of 2.0 gha/cap/a in 2005 or the world average of 2.8 gha/cap/a [Lyndhurst 2003]. However, it is close to the values of Cape Town with 4.3 gha/cap/a, or Berlin with 4.2 gha/cap/a. A further comparison is the share of energy (or energy-related greenhouse gases) in the total ecological footprint. This share is about 50% in South Africa [Goldfinger and Oursler 2009], about 65% in Calgary [Calgary 2007], and about 54% in Berlin [Schnauss 2001], whereas it is about 70% in Gauteng. These differences can be explained by Gauteng’s dependency on coal for electricity production and its car-dependant lifestyle, resulting in high per capita energy consumption compared to South Africa overall. As seen in Figure 4 •, a compacter urban form with an efficient public transport network would help to reduce Gauteng’s ecological footprint. Urban Footprint of Gauteng An urban footprint is a measure of the amount of space used by a single human being. Urban footprints are calculated for urban or built-up areas. Worldwide, various attempts have been made to understand urban footprints for different countries [Paccoud 2011]. The term “urban footprint” should not be confused with “ecological footprint”. “Urban footprint” denotes urban space used by people, whilst “ecological footprint” designates resources consumed

135

GAUTENG

by people or the amount of land required to fulfil their needs. Since 2008, more than half of the population live in urban areas [UNFPA 2008]. Urbanisation, although it is inevitable, the proportion and speed of urbanisation vary widely among regions. Migration is a significant contributor to urbanisation and an increasing urban footprint. Besides ecological footprints, urban footprints are a good measure to see how evenly or unevenly the population is distributed over the region. As shown in Equation 4 •, the urban footprint is calculated by dividing the total urban area with the total population supported by that area. Eq. 4

Total urban area (km ) Urban Footprint = Total population 2

Table 6 • shows urban footprint for various cities including Gauteng and Cape Town. Compact cities like London, Mumbai, and Paris have significantly smaller urban footprints compared to dispersed cities like Atlanta or Cape Town. Gauteng lies between these two extremes. If the urban sprawl in Gauteng continues, the urban footprint in Gauteng might tend towards the urban footprint of American cities. In order to achieve an energy-efficient and sustainable spatial structure in Gauteng, a myriad of issues need to be taken into account, such as the following: the reduction of land consumption, i.e., the restriction of urban sprawl; the protection of the natural habitat by creating stricter regulations for nature reserves; the support of local economic and social development in municipalities other than Johannesburg, Ekurhuleni, and Tshwane to stop migrant flow into metros and to encourage local communities; awareness raising for energy savings and energy efficiency (especially in high- and mid-income communities); the strengthening and support of public transportation; the building of new cycling and pedestrian pathways; and the creation of more job opportunities. Various preventive measures have to be taken for the realisation of the above-mentioned issues in order to achieve the ultimate goal of creating a sustainable Gauteng. Densification, the restriction of the urban growth boundary, and the encouragement of nodal and corridor development and efficient public transport, together with mixed-use development, are a few of the measures that need tobe put into action as soon as possible. These issues will be discussed in detail in the third chapter. Tab. 6

136

Urban footprint calculations for Gauteng [Autor’s own calculations] Region

Urban area (km²)

Population

Urban footprint m²/capita

London

1738

8631325

201.35

Mumbai

4355

20040868

217.31

Paris

2844

10485263

271.24

Gauteng

4707

10531300

446.95

Cape Town

2454

3404807

720.75

Atlanta

5080

4691356

1082.84

DESIGN SOLUTIONS

FORMAL AND INFORMAL PLANNING TOOLS

LIMA: Green Coast Costa Verde in Miraflores and San Isidro [Evelyn Merino Reyna]

Bernd Eisenberg, Eva Nemcova, Rossana Poblet, Antje Stokman

Lima: Integrated Urban Planning Lima Ecological Infrastructure Strategy LEIS The Lima Ecological Infrastructure Strategy LEIS is an integrative and interdisciplinary planning and design approach for water-sensitive solutions adapted to arid regions. The strategy has been developed based on green-infrastructure thinking, knowledge of integrative water management, landscape planning, and water-sensitive urban design concepts. It further considers geographic information system (GIS) and satellite image analyses at macro and meso level, defining water demand, water supply, and natural and urban environmental characteristics. Interdisciplinary key-actor working groups were set up and surveys of open-space design typologies and their relationship with water were conducted. The study area was defined, and fieldwork on the lower Chillon River watershed in the north of Lima was organised to demonstrate strategic planning proposals and water-sensitive urban design options for arid conditions. Additionally, contributions to the Regional Development Plan (PRDC) at policy level and support for the city’s green inventory were also provided. The main obstacles for integrated planning include the lack of a unified view of the city that is shared by urban and open-space planners, designers, and water engineers. Therefore, the methodology considered to be fundamental was a participative approach through the establishment of a multidisciplinary key-actor working group. The working group was composed of urban policy-makers, water and environmental engineers, urban planners, and architects working for the state water utility SEDAPAL, the Metropolitan Planning Institute (IMP), the Metropolitan Park Authority (SERPAR), the National and Local Water Authority (ANA-ALA), Lima and Callao Regional Governments, San Martin de Porres District Municipality, and the NGO City for Life Forum (FCPV), among others. The contributions of all these parties were essential for the LEIS development, in order to define the strategy according to the city and the needs of its inhabitants. This participatory process contributed to the definition of primarily LEIS Principles as future policies for integrative urban planning and water management solutions to be included in planning instruments and securing future implementation at different scales. With the LEIS Principles defined, the city is analysed following these principles. Using the LEIS Tool, the urban water cycle and open space available at city level are considered, and via hydro urban units—spatial units that define different typologies of urban spaces in relationship with the urban water cycle—and guidance for the planning processes of both disciplines is provided. Finally, the LEIS Manual develops a set of water-sensitive urban design guidelines for arid conditions in order to implement specific solutions following the Lima Ecological Infrastructure Strategy.

139

LIMA

Lima Ecological Infrastructure Strategy—Methodology The Lima Ecological Infrastructure Strategy is a new approach towards sustainable urban development, which integrates water and wastewater management with existing open space, thus creating a new and strong multifunctional open-space system that can resist informal occupation processes and can give coherence to the city. The LEIS integrates landscape planning, urban planning, and water and wastewater management considers social, economic, and environmental aspects, and looks for a balance between these three pillars. It stresses the need for adapting the current urban water management according to an arid context, and for considering the city as a water source and as a catchment area. It promotes the reuse of non-potable waters, contribution to the closure of the urban water cycle in the city, the increase of green areas in a sustainable way, and, at the same time, the provision of ecosystem services, thereby creating resilience in coping with climate change. The Lima Ecological Infrastructure Strategy attempts to consider urban growth and water scarce resources, due to the limited availability, inefficient use and management, non-consideration of the city as a catchment area, and insufficient wastewater reuse in the city, potable water being the major source for irrigation. Therefore, at planning and urban design level, the LEIS focuses on open space and the potential to frame and articulate the city through multifunctional open-space systems supported by key actors, which include local authorities and the organised community. In this regard, the LEIS proposes integrative solutions related to water, landscape planning, and open-space design through three main components that are interconnected and that feedback to each other. Altogether they cover the metropolitan scale, meso scale, and, to a degree, site scale, but try to overcome scale dependencies as far as possible. The LEIS Principles contain the main objectives of the approach and cover the implementation of LEIS into the institutional framework. Although participation of local stakeholders and institutions is necessary throughout the whole process and related to all three components, it is also essential for the LEIS Principles to be based on local input and deliberation. Within the LEIS Tool for spatial analyses, the question of the quantification of water demand and the supply and localisation of the spatial potentials are regarded as the central focus. Consequently, the spatial framework of the ecological infrastructure was developed and the metropolitan area of Lima was analysed in a meso-scale approach according to conventional and unconventional water sources. The LEIS Manual illustrates how to put the proposed objectives into reality in a correct manner and according to local specifications. The manual adapts the water-sensitive urban design (WSUD) methodology to the arid context and develops it further in relation to local hydro-urban characteristics. With this approach, integrated planning is not only applied in the sense that there is an integration of water management and urban planning, but also with regard to the integration of scales and, most importantly, through the interconnection between the three components of the Lima Ecological Infrastructure Strategy. Fig. 1

LEIS approach [Eisenberg et al. 2014]

What to aim for? LEIS PRINCIPLES

140

PLANNING TOOLS

•

Where to implement? LEIS TOOL

•

How to implement? LEIS MANUAL

Lima Ecological Infrastructure Strategy (LEIS) Characteristic The LEIS approach contributes ideas for spatial and urban planning and design in the context of dry climates, ecological principles, and the relationship between different natural and man-made ecosystems, and water and wastewater management. The study focuses on existing open space, reaching beyond the green patches represented by public parks and gardens, and considers the entirety as part of an open-space system that has the potential for guiding urban development and contributing to the urban water cycle. This framework guides the urban development such that it harmonises the development of the urban structure and open-space system, whilst taking the availability of water into consideration and its optimised distribution between areas with water demand (drinking-water standard and non-drinking-water standard) and areas of water supply, including the definition of priority areas for water supply and non-supply areas. The LEIS has three main characteristics: (1) increasing ecosystem services provision, (2) multiple functions, and (3) multiple scales. Increasing Ecosystem Services Provision The LEIS supports the ecosystem service provision and its enhancement through the implementation of water-sensitive urban design proposals, which can consolidate an urban framework. According to the Ecosystem Millennium Assessment, the ecosystem services are, “… the benefits people obtain from ecosystems” and include: · Supporting services: services necessary for the production of all other ecosystem services, including soil formation, nutrient cycling, and primary production · Provision services: products obtained from ecosystems such as food, fresh water, fuel wood, fibre, biochemical, and genetic resources · Regulating services: benefits obtained from the regulation of ecosystem processes, including climate, disease and water regulation, water purification, air quality, and pollination · Cultural services: non-material benefits obtained from ecosystems; aspects like spiritual and religious beliefs, recreation and ecotourism, aesthetic, inspirational, educational, sense of place, identity, and cultural heritage Therefore, in order to support human well-being in a sustainable way, it is important to identify the ecosystem services and the services they provide in order to support urban areas in a sustainable manner. Through the LEIS, it is possible to contribute to the well-being of the inhabitants. Multiple Functions and Multiple Scales The Ecological Infrastructure has as an important characteristic to provide multiple functions and new uses for open-space areas defined by mono-functional and limited uses. This multi-functionality is represented by overlapped layers which strengthen open-space areas as Ecological Infrastructure, reducing informal occupation, increasing ecosystem services, promoting urban water treatment (surface water, wastewater) and reuse allowing infiltration, supporting groundwater recharge, and protecting potable water for purposes that require drinking-water standards. The ecological infrastructure incorporates areas vulnerable to water risks (floods, landslides, tsunamis, etc.), and areas providing essential ecosystem services (wetlands, lomas,

141

LIMA

biotopes, etc.), and at the same time, it serves as a network of open spaces that include cultural heritage sites and areas of importance for recreational services. By overlaying those multiple functions, the open-space system becomes an essential ecological infrastructure. The multi-functionality increases the robustness of the ecological infrastructure, as well as the resilience to withstand the pressure of construction, and guides and reorients urban development. As a result, this framework directs the urban development in the manner that harmonises the development of the urban structure and open-space system. The framework takes into consideration the availability of urban water and its optimised distribution between areas with water demand and areas of water supply. At the same time, the Ecological Infrastructure Strategy defines the relationships between interacting levels of organisation within a coherent spatial framework, planning from macro scale (overall catchments of the metropolitan area of Lima), to meso scale (scale of different landscapes and urban typologies), and to the micro scale (scale of site or pilot project).

LEIS Principles—What to aim for The aim of formulating guiding principles for future open-space planning and design is to contribute proactively to the improvement and protection of the urban water cycle. The principles integrate multiple scales and are translated into policies that will integrate future urban planning and water management at macro, meso, and micro scale. Put into the context of Lima’s urban development processes and defined in a participative way, the LEIS Principles are a response to negative processes influencing water, natural and man-made ecosystems, and risk and vulnerability at metropolitan level. After discussion within the key-actor working group, five main principles were defined as LEIS Principles: P1. Protect ecosystems and develop and implement ecological infrastructure, taking into consideration the availability and the integrated management of water resources: Due to Lima’s dry conditions and the effects of seasonal changes, major ecosystems have been occupied and degraded by high levels of pollution, reduction of ecological functions and ecosystem services, exhaustion of resources, and general degradation. At the same time, these ecosystems have been replaced by isolated green pockets of open land in urban areas that are not based on ecosystem performance, but on an aesthetic (image) performance, and are also characterised by the consumption of large volumes of potable water. Therefore, in order to reverse this unsustainable process, it is important to identify the natural and man-made ecosystems and the availability and integral management of other urban water resources. Due to its arid climate, not all areas in Lima can be included in a green system, but should rather be part of an ecological system where seasons and changes throughout the year can be visible as part of the specific landscape. In order to create a strong ecological infrastructure network, the open-space system should perform different functions which could include, for instance the following, above river valleys: flood protection during the rainy season, recreation during the dry season, eco-tourism routes throughout the whole year, and urban agriculture over river valleys (see Lower Chillon Framework Plan [Eisenberg et al. 2014]). P2. Protect and preserve agricultural land and add value to transform it as urban agriculture, improving ecosystem performance, water infiltration, and aquifer recharge. During the last decades basic ecological principles have been taken into account. This applies to the pro-

142

PLANNING TOOLS

tection of fertile soil for food production supporting the nutrient cycles, the preservation of pervious open space for water infiltration and the recharge of aquifers, or the establishment of buffer zones above riverbanks for flood protection. Agricultural land is rapidly incorporated into the new urban expansion of the city without consideration of the loss of green areas that have additional functions. Therefore, urban agricultural land should be considered as multifunctional open space that contributes to the supply of food and the consumption of protein and minerals for the urban population. Furthermore, it should also perform the following: provide recreational and leisure opportunities, contribute to resource efficiency and urban recycling management, provide an efficient water-management approach contributing to the urban water cycle, increase ecosystem services, integrate public space functions, serve as buffer areas over riverbanks protecting against flood risk, strengthen connections between urban and rural landscapes, maintain drainage systems in case of maximum flows of water, support climate optimisation, contribute to economic growth, and contribute to the percentage of green areas in the city supporting relaxation and providing beautiful productive landscapes [RUAF 2012]. P3. Transform high-risk areas as part of the ecological infrastructure framework, taking into consideration a sustainable and resilient approach. Cities and communities across the country face high levels of risk and vulnerability and are likely to be affected by the occurrence of droughts, floods, huaycos (mudslides), sporadic rain, earthquakes, tsunamis, etc. In order to reverse this vulnerable condition, and to try and build a resilient and sustainable city and community, it is important to include risk and vulnerability reduction in the principle aims. Thus, problems should be addressed that relate to urbanisation, taking precedence over risk conditions characterised mainly by reckless development above river floodplains, high pending slopes, waterways activated during the rainy season in the upper parts (quebradas), non-resistance soil, tsunami areas, etc. It is important not to generate new risks with new interventions and actions planned in the future urban development. Therefore, the implementation of a multifunctional open-spaces system over risk areas constitutes an important action in the restriction of informal occupation, further urbanisation, and the provision of basic services in areas that do not have suitable conditions for future urban development. P4. Promote a water-sensitive urban development that considers water catchment, saving, treatment, and reuse over existing open space in the urban structure, increasing green areas and ecosystem services provision in the city. Increasing the provision of green areas in the city requires the consideration of water catchment, saving, treatment, and reuse contributing to the urban water cycle. Additionally, the consideration of natural and man-made urban water cycles when planning and designing open green spaces leads to the reduction of potable water consumption; the maximised reuse of other sources of urban water in the city, especially domestic treated wastewater; the minimisation of water pollution before its discharge into the ocean; the inclusion of ecological treatments; the maximisation of groundwater protection; and the refill of aquifer areas. Therefore, the LEIS aims to reduce potable water consumption by promoting the reuse of treated wastewater and other non-potable urban waters. P5. Establish integral and sustainable city management, including an urban vision for a water-sensitive urban development with a sustainable and resilient approach. There is a general understanding that, in order to ensure the implementation of more sustainable approaches and strategies like LEIS in urban development, ecosystems, and water problems, future solutions will demand tighter coordination with different actors and disciplines that are specialised in landscape planning with an ecological approach, urban planning and design,

143

LIMA

architecture, and water and wastewater management. Therefore, in order to adapt the city to the water-scarce conditions of the Lima watersheds and the inefficient use and lack of contribution to the urban water cycle, an integral solution for a water-sensitive urban development should include a multidisciplinary, coordinated, inclusive, and sustainable approach, and a strong city vision and management with a resilient approach. It is believed that a sustainable strategy like LEIS can be implemented by establishing goals for short, medium, and longer terms, whilst considering macro, meso, and micro scales. In order to reach this goal, a strong city vision is needed and the Lima Concerted Regional Development Plan (PRDC) states that by 2025 Lima will be a “sustainable city in balance with its nature”, also stating that, “Lima millenarian and sustainable city, reencountering its nature and cultures, recognized tourist centre and specialised services in the South Pacific basin, organized, secure, and democratic with an inclusive, productive and entrepreneurial citizenship.” [IMP 2013, p. 338]. In order to implement this vision, a strong and committed city government and clear competences and functions at national, metropolitan, and district levels are needed. Only in this way will it be possible to implement solutions for sustaining urban development and strengthening nature and public space to provide basic infrastructure, as well as improving the quality of life, and reducing physical and social fragmentation of the city. Adaptation in the PRDC The LEIS Principles supported the discussion and definition of the proposal for the Lima Concerted Regional Development Plan 2012–2025 [IMP 2013]. The contributions were mainly considered in the Axis 2, which describes Lima in 2025 as a “polycentric city, articulated and sustainable, which redefines the use of its territory in harmony with surrounding ecosystems and provides adequate services.” This axis contains two development policies, seven strategic objectives, and twenty-three specific objectives [IMP 2013]. Those related to LEIS are described in Table 2 •. Conclusion It is expected that by introducing water-sensitive policies for the first time into the Lima Regional Concerted Development Plan, further implementation policies at different scales will be considered, for instance, in the Metropolitan Urban Development Plan and the District Urban Development Plans, leading eventually to the implementation of LEIS measures at different scales. The aims of the LEIS principles were established in order to integrate urban planning and water management and are connected to the question of where to implement changes and how to implement them. This integrated approach is seen as an alternative route to tackle the fragmented planning that Lima suffers from to this day.

Spatial Analyses Tools—Where to Implement? The lack of a unified vision of the city that is shared by both urban and open space planners and water management is one of the obstacles to integrated planning. Therefore, the first priority is to establish a common database for both spheres and an analytical framework in which this information can be jointly assessed. Both the green catalogue as a common data-

144

PLANNING TOOLS

Tab. 2

LEIS contributions to the Lima Concerted Regional Development Plan 2012-2025 [Eisenberg et al. 2014] Specific Objectives

Programmes/Projects

OESP 2.1.4

Conservation, protection and restoration of urban ecosystems that conform to the Lima Ecological Infrastructure, affirming the sustainable use and recovery of degraded environments

2.1.4.1

Conservation, maintenance and enhancement of lomas, wetlands, and urban–rural environments

2.1.4.2

Implementation of the ecological belt and ecosystems of the coastal littoral

2.1.4.3

Integral management of the ecological structure of the Chillon, Rimac, and Lurin river watersheds

2.1.4.4

Protection and enhancement of Agricultural valleys

Implementation of priority initiatives for climate-change adaptation in various areas of the city

2.2.2.1

Protection of productive green areas and generation of new areas through the promotion of urban agriculture

2.2.2.4

Preservation and natural reserve declaration of Coastal Lomas

Promotion and implementation of infrastructure for irrigation with treated wastewater over green areas and public spaces

2.3.1.1

Construction of mini wastewater treatment plants and pipe network for green-area irrigation (if necessary)

2.3.1.2

Development of green areas, parks, gardens, and public spaces with domestic treated wastewater

Increase and improvement of green areas, incorporating integral water management to strength the ecological structure of the city

2.3.2.1

Environmental education oriented to the reduction of potable water consumption and the efficient use and reuse of the water source

2.3.2.2

Fog water catchment experimental program for green-area irrigation over lomas

2.3.2.3

Incentive program to promote increasing private green areas irrigated with non-potable water

2.3.2.4

Embedding more environmental services in the green and recreation areas, and considering integral management of water resources

2.7.1.2

Afforestation and reforestation in open spaces, for the environmental improvement and protection of vulnerable areas

2.7.1.4

Afforestation and reforestation in slopes and gorges

2.7.1.6

Resettlement program in high-risk areas

OESP 2.2.2

OESP. 2.3.1

OESP 2.3.2

OESP 2.7.1

Risk and vulnerability reduction, coping with natural disasters and climate-change effects in the territory and infrastructure

base for the ecological infrastructure and the meso-scale approach as the analytical framework for metropolitan Lima will be described briefly in the following paragraph. Green Catalogue—Green Areas Diagnosis The development of green public areas is only one aspect among many of urban development, but it is especially relevant for the ecological infrastructure and because it constitutes a descriptor of the LiWa scenarios, it is also relevant for the LiWa project. Prognoses of the development of green areas are difficult to forecast a) due to incomplete and inconsistent data on the current state of open green areas (e.g., using different types of categories) and

145

LIMA

Tab. 3

Total green area in metropolitan Lima and Callao [Eisenberg et al. 2014] Type Berma, linear green area Parks Other green areas Zonal and metropolitan parks, & zoo Total public green area Private green areas (clubs, golf courses) Total public and private green area

Area (ha) 733 1728 587 431 3479 400 3879

b) due to the uncertainty of the city expansion and future development. To overcome this situation, a green catalogue was established to incorporate the divergent data and harmonise it as much as possible in order to make it comparable. The green catalogue consists of the public open green spaces of Lima and Callao. It is part of the wider framework of the ecological infrastructure that also includes e.g., productive green areas, nature reserves (wetlands, lomas), and other areas with multiple functions and ecosystem services. The total area of public green—based on the GIS-objects—is 3,479 ha. When private green areas, like clubs and golf courses are included, the total area is 3,879 ha [Table 3 •]. Uncertainties and Other Assessments There are, however, several uncertainties regarding the total amount. The amounts estimated by ILPE are considerably higher than those published by INEI in 2007 (circa 2,300 ha), or by Wiley Ludena who states in his study “Lima y espacios publicos” that there were 2,555 ha in 2010 [Ludeña Urquizo 2013]. Due to the lack of clarity, the Plan Concertado Regional does not publish any updated statistics and only refers to INEI’s 2.9 m²/inhabitant from 2008 [IMP 2013]. In his report, Julio Moscoso calculated that there are far fewer small- and medium-sized green areas, and that the zonal and metropolitan parks are, by far, larger [Moscoso Cavallini 2011]. As a result, Moscoso estimates there to be 3,727 ha of public and private green areas. Vegetation Analyses—Normalized Difference Vegetation Index (NDVI) In Lima, almost all green urban areas are dependent on irrigation water or other artificial water sources. Therefore, it is not only public green open space that is of interest, but almost all green land, including institutional and private green land. An NDVI-analysis (normalized difference vegetation index = vegetated area)1 from satellite imagery of Lima taken between February and May 2011, and between April and May 2012, shows that the main vegetation areas, with 50% of the total, are the agricultural fields in the valleys of Lurin, Chillon, and Rimac [Figure 4 •]. The analysis of the percentage of vegetation per green-area type in different planning regions of Lima shows a heterogeneous distribution of vegetation. Parks in the central districts have almost twice as much vegetation as parks in the periurban areas (Este, Norte) [Figure 5 •].

146

PLANNING TOOLS

Fig. 4

Distribution of vegetated green areas–ownership and land use [Eisenberg et al. 2014] ha

7000

6527

6000

5000 4000 2706

3000 1764

2000

1258

1000

541

330

0

,

Fig. 5

Percentage of area with vegetation per green area type—Norte, Est etc. are the planning regions of Lima [Eisenberg et al. 2014] 70 60 50

Berma, linear green along streets

40

Metro./Zonal Parks

30

other green areas

20

Parks

10 0

Norte

Est

Callao

Centro

Sur

More surprisingly is the relation between areas with vegetation in public parks and green areas on one hand, and private green areas (gardens) or institutional environments (campus areas, golf courses) on the other hand, which is roughly one to two respectively [Figure 4 •]. This opens up a new field of debate about the focus of water-saving activities, as well as water justice in general. Figure 6 and 7 • illustrate the situation for an area in central Lima. Multispectral satellite imagery can be shown as composite images, which show a “normal” appearance with colours and shading that looks familiar to the observer [Figure 6 •]. The area illustrated shows parts of central Lima. After performing a NDVI-analysis, the information was overlaid with land-use information. A large proportion of the vegetated green area is not accessible to the public [Figure 7 •] with golf courses, huge campus areas, and villas in the more affluent eastern part.

147

LIMA

Fig. 6

Consolidated area of Lima [satellite imagery Rapid Eye 2011/12]

Fig. 7

Overlay of ownership/main land use with vegetation areas. Green: public green areas, purple: private or insititutional green areas, white: unknown uses [ILPÖ 2013 based on satellite imagery Rapid Eye 2011/12]

148

PLANNING TOOLS

Meso-Scale Approach The meso scale spatial units define different typologies of urban spaces in relationship to the urban water cycle and provide guidance for the planning processes of both disciplines. “Meso scale”, as it is understood for the analytical framework of LEIS, means the intermediate scale between the urban planner’s city-block scale and the regional planner’s city scale.2 For Lima, this intermediate scale is usually represented by the districts, even though these are by nature too heterogeneous to be equally comparable, with populations ranging from 20,000 in the smallest district, La Punta, to almost 1 million in the district of San Juan de Lurigancho. For the analysis, a more homogeneous spatial unit is needed that also incorporates key information about water, its consumption, and its potential supply. The water management sectors that are used by the water company, SEDAPAL, for managing the distribution of potable water fulfil these criteria. There are 450 of these sectors with an average population of 20,000 and an average size of 95,500 m². They cover the SEDAPAL service area which extends over almost the whole built-up area of Lima and Callao. A few sectors (units) were added in order to cover the entire area of investigation with similarly sized, discrete spatial units, which are known as “hydro urban units” to distinguish them from the water management sectors. Hydro Urban Units Fig. 8

Hydro urban units, meso scale entities that contain aggregated or disaggregated information [Eisenberg et al. 2014]

Water Demand

Hydro Urban Unit

Water supply

Natural & Urban Environment

The hydro urban units consist of aggregated and disaggregated information, derived from topography, natural and man-made water sources, population statistics, the state of the water infrastructure, and the structure of the urban pattern, as well as open-space and environmental functions. The units can be distributed into the spheres of “Water Demand,” “Water Supply,” and “Natural and Urban Environment”, including population and society [Figure 8 •]. The combination of certain information results in specific hydro-urban characteristics; the combination of all relevant aspects eventually leads to a set of distinct hydro-urban typologies that are proposed to urban planners and water management as a basis for their analysis, programmes, and projects.

Application The usability of this approach will be shown with the following planning task that is derived from the principle P1 of the Lima Ecological Infrastructure Strategy: Protect, develop, and implement ecological infrastructure taking into consideration availability and integral management of water resources. This results, e.g., in a need to quantify green areas, the demand for irrigation, and an estimation of the potential supply for the irrigation of green areas.

149

LIMA

Fig. 9

Water consumption in public green areas serviced by SEDAPAL from May 2011–April 2012 [SEDAPAL 2012, elaboration Eisenberg et al. 2014] 1.000.000 900.000

800.000 700.000 600.000

500.000 400.000 300.000

200.000 100.000 0

Water Demand For Lima, there are estimations for water demand of green areas, ranging from 1.5 m³/m²/ year to 3.14 m³/m²/year. Julio Moscoso states in his report that for the parks managed by SERPAR, 1.89 m³/m²/year are needed [Moscoso Cavallini 2011]. The most extensive source of information for water consumption in parks is provided by SEDAPAL [SEDAPAL 2012]. For the period between May 2011 and May 2012, monthly consumption rates for more than 3,000 parks of different size, function, and design were provided. Figure 9 • clearly shows the seasonal aspect, during the Peruvian Winter, i.e., July–September, the water demand drops to 50% of the consumption of the summer months. Although the database is extensive, an average water demand is not easy to estimate. Taking into consideration values that are neither too high nor too low, an average consumption of about 1.5 m³/m²/year seems likely, including losses through irrigation, excluding, however, general losses due to management issues. Given a demand of 1.5 m³/m²/year and a total area of 34,790,000 m², a total water demand of 52,650,000 m³ or 1.67 m³/second for the irrigation of green open spaces—excluding agricultural land—can be assumed. In comparison, the total amount of potable water distributed through water pipes in 2011 was 18.22 m³/second. The future demand for irrigation is calculated depending on three factors: · Enhancement of irrigation regime and adaptation of water-sensitive design schemes for open spaces: A realistic estimation of the overall reduction of water consumption through an improved irrigation regime and the adaptation of water-sensitive design schemes for open spaces, as proposed in the LEIS-Manual, is more likely to lie between 10–15% in a time span of 10 years, than at the potential reduction of 40%. Therefore, for any future water demand, 1.35 m³/m²/year is the amount used for further calculations. · Population growth: The city’s population is expected to grow by more than 25% within 15 years, from 8,470,000 inhabitants in 2007, to 10,850,000 inhabitants by 2021 in a heterogeneous manner [IMP 2011]. · Ratio of m² green area per inhabitant: The current ratio of m² of green public space per inhabitant in Metropolitan Lima and Callao ranges from 2.4–3.7 m²/inhabitant depending on the data source and the selection of the areas that account for “public green space”. In the Regional Concerted Plan for Lima, an intermediate ratio of 5 m²/inhabitant is envisaged as a planning goal [IMP 2013].

150

PLANNING TOOLS

Tab. 10

Water demand changes according to irrigation regime and green ratio. Note the difference in total area (and water demand), which depends on the application of the ratio for the whole city or the number of local hydro urban units [Eisenberg et al. 2014] Green area total m²

Water dem. m³/second

whole city

34,790,000

1.67

5.0 m²/inh.

whole city

54,250,000

2.32

5.0 m²/inh.

each HUU

61,300,000

2.62

Water demand m³/m²/year

Population

1.5

9,450,000

3.7 m²/inh.

2021 water saving

1.35

10,850,000

2021 water saving

1.35

10,850,000

Year/ irrigation regime 2012 present

Ratio green area m²/inhabitant

Analysis Considering the city as a whole, a ratio of 5 m² green area/inhabitant will lead to a demand of 5,425 ha in 2021 and a water demand of 2.32 m³/seccond if water-saving measures are applied. However, if the calculations are based on green areas per hydro urban unit, this leads ultimately to higher amounts as, in this case, the green areas in a hydro urban unit with a density of more than the 5 m²/inhabitant do not compensate for a deficit in another hydro urban unit. The future demand for green areas would result in 6,130 ha of green open spaces and 5.65 m²/inhabitant for the entire city and would have a total water demand of approximately 2.62 m³/second [Table 10 •]. The calculations can also be made with a GIS-based tool that requires population data, water consumption, and desired green ratio as input parameters and delivers total water, demand quantities, as well as a map with the deficit areas. The map of the hydro urban units [Figure 12 •] shows a very diverse image of the city with a high demand for an increase in the south of Lima and the northeast, but large areas that lie in the centre and the consolidated districts with only a small demand. According to Julio Moscoso, presently only a tenth of the treated wastewater is used for irrigation of green areas and agricultural land, which amounts to roughly 0.3 m³/second [Moscoso Cavallini 2011]. It is widely acknowledged that there needs to be an increase in the use of treated wastewater, but the question is how and where. An increase of the re-use of treated wastewater could, in theory, compensate for the demand that results from the population growth. But is water available where it is most needed? In order to answer that question, the second step of the analysis identifies the hydro urban units with a high percentage of households that are not connected to the sewage system [Figure 12 •]. Therefore, these areas are potential areas for the connection to new, decentralised treatment plants that clean the wastewater first of all and also provide irrigation water. With a follow-up analysis, specific areas can be outlined and the respective design prototypes for “wastewater treatment parks” and other proposals and designs can be implemented that are adequate for these areas and which are developed within the LEIS-Manual.

151

LIMA

Fig. 11 Lack of green areas per hydro urban unit in 2021 if 5m²/inhabitant is the threshold—green areas: elaboration [ILPÖ 2013], based on Sedapal [SEDAPAL 2012] and Serpar [Mamani Ccoto 2013]; population growth rate based on IMP estimations [IMP 2011] Fig. 12 Housholds not connected to sewage system—potential areas for treated wastewater supply [Eisenberg et al. 2014], population information [National Institute for Statistics and Informatics (INEI)], water connection [National Institute for Statistics and Informatics (INEI)]

Conclusion The green catalogue is an informal planning tool that helps to collect all relevant information for open green spaces, in particular, and for ecological infrastructure, in general. The meso-scale analysis based on hydro urban units is adequate to localise specific demands for water consumption, as well as the divergent potentials for water sources. The example only shows one of many possible solutions to overcome the shortage of public green areas and to identify potential water sources for irrigation at the same time. In this case, the areas that are currently unconnected to the sewage system are situated in the future potential catchment area for wastewater that can be treated and used for irrigation. More complex combi-

152

PLANNING TOOLS

nations of hydro urban characteristics will eventually be useful to identify distinct typologies that are understood by urban planners and water management experts alike, and that may lead to a common vision of the metropolitan area of Lima and Callao.

Water-sensitive Urban Design Patterns—How to Implement Water-sensitive Urban Design Approach There is (almost) no green land that is not irrigated in Lima. Beside the seasonal lomas, natural wetlands, and sporadic green in the river corridors, all other green areas would dry out without irrigation. Currently, green areas in metropolitan Lima can be characterised by a decorative design approach. Grass, flower beds, and non-native species that consume a great deal of water can be found in similar open spaces in the established settlements, as well as in the city expansion zones [Figure 13 •]. Water-intensive vegetation such as these puts more stress on the limited water resources of the metropolis. There is a disconnection between open spaces, the hydrological system, and the local ecology. To keep up with the increasing demand for recreational open space and on limited water resources, there is a need to shift from image-based design towards an ecosystem-based design of green areas that pro-actively improves the urban water cycle and the local ecology. The main objective is to create open spaces that save water, treat polluted water, or absorb water from fog. Such design is referred to as “water-sensitive urban design” here. This approach is based on the water-sensitive urban design concept that integrates water management, environmental protection, and landscape planning and design, and is adapted to the arid climate of metropolitan Lima, as shown in Figure 14 •. Fig. 13 Desire for decorative green areas. District Carabayllo, Metropolitan Lima [ILPÖ 2011]

153

LIMA

Fig. 14 Components of water-sensitive urban design (WSUD) adapted for arid climate of metropolitan Lima [Adapted from Hoyer et al. 2011]

Water Sensitive Urban Design Concept for Lima, Perú Sustainable water management Treat/ recycle wastewater

Provide water supply

Provide/ improve water quality

Catching fog

Urban Planning Protect superficial and underground water bodies

Engineers, scientists and environmental planners

Consider ecological demand

Consider economical demand

Consider social demand

Landscape Design Visualize aesthetic quality

Support urban infrastructure and services

Landscape architects

Urban planner/ architects, etc.

Consider cultural demand

Landscape and urban planners, city consultants, architects/engineers, etc.

Integrate

Manage the whole water cycle Promote sustainability in urban areas Propose appropriate life standards for inhabitants Insitute of Landscape Planng and Ecology 2013. Adapted from: Hoyer, J. et al., 2011. Water Sensitive Urban Design. Principles and Inspiration for Sustainable Stormwater, Management in the City of the Future - Manual. Berlin: jovis Verlag GmbH, p.18

Focus Water Demand and Water Sources There is a large potential to re-establish the connection with the arid context and to lower the water demand of green areas by a selection of the vegetation cover and the irrigation schemes that is mindful of the context and is water-sensitive. Even though there are projects that utilise more sustainable vegetation schemes in metropolitan Lima, the challenge remains how one integrates such knowledge into the daily design practice, as well as how to integrate it into programmes and projects. Increasingly, water sources other than potable water and groundwater are being used for irrigation of green areas. One of the challenges of using other water sources is their poor water quality. The treatment and reuse of polluted water or domestic wastewater is approached as solely a technological/engineering task. Little has been elaborated on how the design of open space itself can contribute to the treatment and the improvement of water quality, while improving the site ecology, and providing space for recreation and aesthetical experience. Here, open space will be seen as a potential treatment infrastructure that improves the quality of treated water for reuse, provides water for irrigation, and is an alternative wastewater treatment system for areas that lack adequate services. Synergies have to be found and developed between the water treatment, the use of open space, and the ecology of the site, in order to combine functions and develop new qualities and aesthetics while adhering to safety regulations. To meet this aim, the task is to provide links between water engineering, ecology, and the design of open space. Design Process The aim is to provide tools to overcome the different rhythms of the conceptual design phase of a project development and the exact calculations of water demands and technology dimensioning. The conceptual design phase is characterised by the quick development of dif-

154

PLANNING TOOLS

ferent variations and the need for adaptations of the project to new circumstances. However, the exact calculations require proper data (exact areas, water flows, and water quality, often based on laboratory tests), time, and cost, and are therefore usually only calculated when the last version of the design proposal has been completed. This workflow does not allow any major revisions or changes of the design proposals to change vegetation in order to lower water consumption, or to dedicate more land for treatment of the water source. Instead, high-tech treatment facilities are implemented that require little space, but have high operational costs and a low potential to improve the local ecology and provide additional services for recreation.

Methodology The design recommendations were developed in a multidisciplinary team of sanitary engineers, environmental engineers, landscape planners, and architects with the support of local authorities. In order to assess the approach to dealing with water in the design of open space, a study of twenty different open spaces in metropolitan Lima was carried out within the LiWa project in 2012. For this study, information on vegetation categories (grass, gardens, trees, etc.) and species was collected, as well as data on water demand, water sources, irrigation systems, and treatment technologies. The information was collected from administration authorities, and by evaluation of maps, aerial photographs, and photographs taken by project team members. The results provided a closer understanding of the urban water system in relation to open space and qualitative observations. While analysing the interrelationship of the open space, the urban water flows, and the hydrological processes in each of the study areas, intermediate design proposals were developed, discussed, and reflected upon. These design proposals are the basis for the definition of the water-sensitive design recommendations. Other findings were gleaned from the planning and design work in the demonstration area of the LiWa project in the lower Chillon River watershed. The design recommendations are structured into three main parts guided by three leading questions. Part 1: How to save water by the design of open space? Part 2: How to treat polluted water by design of open space? Part 3: How to create water-sensitive urban design in different urban settings of metropolitan Lima?

Saving Water by Design of Open Spaces This section provides knowledge of the water demand of vegetation categories with the application of different irrigation systems. It describes irrigation systems and provides recommendations for different vegetation categories and provides knowledge about water quality requirements for irrigation of green areas. Finally, all the information is combined in the design testing and water-demand calculation tool.

155

LIMA

Fig. 15 Water demand and water-quality requirements of vegetation categories [Eisenberg et al. 2014] Xerophytic plants

Vegetation categories

Xerophytic lawn

1 ha

Gardens

1 ha

Water demand with gravity irrigation (m3/day)

1 ha

Nursery

1 ha

58

6

7 - 17

18

Water demand with pressurised irrigation (m3/day)

34 3

Quality 1

Grass

Faecal coliforms (MPN/100mL): < 1.0 E+3 Helminths (egg/L): < 1 BOD5 (mg/L): ~ 30

12 - 29

10

10

Quality 2

Helminths (egg/L): < 1 BOD5 (mg/L): ~ 30

Design Testing and Water-Demand Calculation Tool The Excel-based tool can be used in the design process to quickly and inexpensively provide rough estimates of how much water the planned open space will require for irrigation. It contains pre-defined values and functions and the only inputs required to run the calculation are: · area (ha) of vegetation categories, which can be taken from the design proposal and · select type of irrigation system Use of the Tool Results for Design Testing The tool provides a fast feedback loop between the planning and design proposal in a drawing and the water demand as a numerical value. In response to the level of the calculated water demand, the proposal can be altered and new variations proposed. The water demand can decrease by: · reducing the total area of the vegetation category that consumes large amounts of water (for example, grass) · replacing water-intensive vegetation category with another category that consumes less water · selecting a more efficient irrigation system

156

PLANNING TOOLS

18

7 - 17

Nursery

Conventional forest

1 ha

1 ha

Seasonal agriculture

Dry forest

1 ha

1 ha

Perennial agriculture

1 ha

1 ha

19 - 67 23 - 43 35

18

12 - 15

11 - 39 21

2 - 29

10

14 - 26

7-9

The size of a truck with the capacity of 18 m3 is used as a reference for the visualisation of the water demand.

The water consumption data are based on selected representative species for each vegetation category and can be used only for general reference.

The tool facilitates quick and simple testing of different alternatives. The water-consumption and water quality–requirements, shown in Figure 15 •, gives a general overview of the water consumption of the vegetation categories and can be easily utilised during the design process. Use of the Tool Results for the Estimation of the Space Demand of Treatment Technologies The water-demand value is essential for the estimation of the area required for adequate treatment. Using the calculated values, the space demand of treatment technology can be estimated by using the estimation charts, which will be described in the following paragraph. The workflow with the tools is shown in Figure 16 •.

Treating Polluted Water by Design of Open Space This first section provides information about treatment technologies recommended for water-sensitive urban design, including lagoons, constructed wetland and treatment reservoirs, and provides information for understanding such treatment systems and their components.

157

LIMA

Fig. 16 Workflow between the water-demand calculation tool and space-demand estimation chart for treatment [Eisenberg et al. 2014] Water Demand Calculation Tool calculating water demand !"#$%$"&'

()"$*+,%$"&'

-."$/%0"/'1% 2'&"$2%

81''$%91'"%

:11*;"#&?

@A&@

N@1+'16

Z'$#

;*M$*M$ J$4

P8)0L$-Q"8:$

@N

?-1*-&'&:-1.)&$& !>'E#10"&-& 6.)#*')&1.)&

.$*,$ R*86/ P8F/

%@ @% @%

\16%[